Biometrics and Border Security
This white paper provides an update concerning the application of biometrics to border security.
Rawlson O’Neil King Lead Researcher, Biometrics Research Group. All information, analysis, forecasts and data provided by Biometrics Research Group, Inc. is for the exclusive use of subscribing persons and organizations (including those using the service on a trial basis). All such content is copyrighted in the name of Biometric Research Group, Inc., Inc., and as such no part of this content may be reproduced, repackaged, copies or redistributed without the express consent of Biometrics Research Group, Inc. All content, including forecasts, analysis and opinion, has been b ased on information and sources believed to be accurate and reliable at the time of publishing. Biometrics Research Group, Inc. makes no representation of/or warranty of any kind as to the accuracy or completeness of any information provided, and accepts no liability whatsoever for any loss or d amage resulting from opinion, errors, inaccuracies or omissions affecting any part of the content. © 2016, Biometrics Research Group, Inc.
About the Biometrics Research Group Biometrics Research Group, Inc. provides proprietary research, consumer and business data, custom consulting, and industry intelligence to help companies make informed business decisions. We provide news, research and analysis to companies ranging from Fortune 500 to small startups through market reports, primary studies, consumer research, custom research, consultation, workshops, executive conferences and our free daily BiometricUpd ate.com news service. Biometrics Research Group has positioned itself as the world’s preferred supplier of pure-play market research and consultancy services focused on the biometric marketplace, which in
particular focus on the law enforcement and national security sectors. sectors. Our portfolio of white papers and full research reports is based upon high-quality quantitative analysis, allowing our clients to gain deeper understanding of the marketplace. We customize customize our research design, data collection, and statistical reporting using proprietary micro- and macroeconomic modeling and regression analysis. Through integration of our research results with qualitative analysis from our BiometricUpdate. com news service, we provide actionable business analysis.
Research Methodology Biometrics Research Group, Inc. uses a combination of primary and secondary research methodologies to compile the necessary information for its research projections. The conclusions drawn are based on our best judgment of exhibited trends, the expected direction the industry may follow, follow, and consideration of a host of industry drivers, restraints, and challenges that represent the possibility for such trends to occur over a specific time frame. All supporting analyses and data are provided to the best of ability.
tive on the issues of market acceptance and future direction of the industry. Biometrics Research Group, Inc. also applies its own proprietary micro- and macroeconomic modeling using a regression analysis methodology to determine the size of biometric and related-industry marketplaces. Using databases of both publicly and privately-available financial data, Biometrics Research Group works to project market size and market potential, in the context of the global economic marketplace, using proven econometric models.
Primary Research
Secondary Research
Biometrics Research Group, Inc. conducts interviews with technology providers, clients, and other organizations, as well as stakeholders in each of the technology segments, standards organizations, privacy commissions, and other influential agencies. To provide balance to these interviews, industry thought leaders who track the implementation of the biometric technologies are also interviewed to get their perspec-
Biometrics Research Group, Inc. al so draws upon secondary research which includes published sources such as those from government bodies, think tanks, industry associations, internet sources, and Biometrics Research Group, Inc.’s own repository of news items. This information was used to enrich and externalize the primary data. Data sources are cited where applicable.
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Report Synopsis Since the United States has stringent visa re- quirements on its inbound international visi- tors, which has been estimated as 88.3 million in number and growing, we expect continued growth of biometrics usage for border security by the U.S. government. The ongoing effects of
these requirements are that other countries will also require enhanced travel documents that encapsulate biometrics. The European European refugee and migrant crisis will also increase biometric usage at international port-of-entries.
United States and Border Security The United States currently claims commitment to secure borders and open doors by welcoming and facilitating legi timate travel to the United States by international visitors while maintaining the integrity of secure borders. By way of the Enhanced Border Security and Visa Entry Reform Act of 2002, the U.S. Congress mandated the use of biometrics for U.S. visas. This law requires that U.S. embassies and consulates abroad issue “only machine-readable, tamper-resistant visas and other travel and entry documents that use biometric identifiers” to international visitors.
Biometrics Research Group, Inc. defines biometrics as measurable physical and behavioral characteristics that enable the establishment and verification of an individual’s identity. Biometrics is the process by which a person’s unique physical and other traits are detected and recorded by an electronic device or system as a means of confirming identity. The term “biometrics” derives from the word “biometry”, which refers to the statistical analysis of biological observations and phenomena. Since biometric identifiers are unique to individuals, they are more reliable in verifying identity than token and knowledge-based methods, such as identity cards and passwords.
Biometric identifiers, or modalities, are often categorized as either “physiological” or “behavioral”. Physiological biometric identifiers are related to a person’s physicality and include: fingerprint recognition, hand geometry, odor/ scent, iris scans, DNA, palm print and facial recognition. Behavioral characteristics are related to the pattern of behavior of a person and include: keystroke keystroke dynamics, gait analysis, voice
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recognition, mouse use characteristics, signature analysis and cognitive biometrics. Biometric technologies are systems or applications that are designed to employ biometric data derived from biometric identifiers or modalities. A biometric system is an automated process that: i) collects or captures biometric data via a biometric identification device, such as an image scanner for fingerprints or palm vein patterns or a camera to collect facial and iris scans, ii) extracts the data from the actual submitted sample, iii) compares the scanned data from those captured for reference, iv) matches the submitted sample with templates and v) determines or verifies whether the identity of the biometric data holder is authentic.
Biometric technologies consist of both hardware and software. A biometric identification device is hardware that gathers, reads and compares biometric data. Biometric data is a sample taken from individual which is unique to their own person. Software embedded within biometric technologies includes a biometric engine that processes gathered biometric data. The software typically works in tandem with the hardware to operate the biometric data capture process, extract the data, and undertake comparison, including data matching.
Biometric technologies can also be classified further according to the type of biometrics being used in the system. The technologies are typically used to either identify persons and their characteristic against a database, such as criminal records, or to authenticate the identity of persons to grant them access to computing resources, devices or facilities.
The best known biometric is the fingerprint, and the U.S. government has mandated that 10 fingerprint scans be collected at all U.S. embassies and consulates for visa applicants seeking to come to the United States.
The use of the fingerprint identifier is an important tool for U.S. na tional security, because fingerprints taken are compared with similarly collected fingerprints at U.S. ports-of-entry. This helps verify identity to reduce use of stolen and counterfeit visas, and protect against possible use by terrorists or others who might represent a security risk to the United States.
These two important programs (collecting fingerprints for visa issuance and verifying travelers’ fingerprints when they enter the United States) arguably makes travel to the United States safer for legitimate travelers, and also improves safety and national security security.. The 10-print system enables the State Department and the Department of Homeland Security to more effectively process visa applicant fingerprints.
As a consequence, travelers to the United States from a country without a visa waiver requirement must expect to be subjected to an application process whereby a digital photo is taken and electronic fingerprints are collected. All fingers of a visa applicant are electronically scanned in a quick, inkless process during the consularr officer’s interview consula inter view with the applicant. appl icant.
Under U.S. law, a visa applicant who refuses to be fingerprinted would have his or her visa application denied on the basis that it is incomplete. However, However, an applicant who then later decided to provide fingerprints would have his or her visa application re-considered without prejudice.
The electronic data from the 10 fingerprints collected is stored in a database and is made available at U.S. ports-of-entry to Department of Homeland Security immigration inspectors. The electronic fingerprint data is associated with an issued visa for verification and the pri-
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vacy of the data is protected by storage in the database.
The U.S. Department of State makes data available in accordance with the law governing the use of visa records, to U.S. law enforcement agencies that require the information for law enforcement purposes. Visa records are, by law, confidential. Requests for access to visa records by law enforcement are subj ect to statutory, regulatory and other legal restrictions.
Biometrics collected by the Department of Homeland Security and linked to specific biographic information enable a person’s identity to be established, then verified, by the U.S. government. With each encounter, from applying for a visa to seeking immigration benefits to entering the United States, the U.S. government:
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Checks a person’s biometrics against a watch list of known or suspected terrorists, criminals and immigration violators.
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Checks against the entire database of all of the fingerprints the Department of Homeland Security has collected to determine if a person is using an alias and attempting to use fraudulent identification.
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Checks a person’s biometrics against those associated with the identification document presented to ensure that the document belongs to the person presenting it and not someone else.
The U.S. government, through the Department of Homeland Homela nd Security’s Securi ty’s Offi ce of Biometric Biomet ric Identity Management (OBIM) provides the results of these checks to decision makers when and where they need it.
These services help prevent identity fraud and deprive criminals and immigration violators of the ability to cross our borders. Based on biometrics alone, OBIM has helped stop thousands of people who were ineligible to enter the United States.
HID Global notes that biometrics is the only authentication method that binds a myriad of digital and physical credentials to a person. As such, biometrics plays an important role in eliminating digital identity theft in today’s increasingly complex and vulnerable digital environment.
Fingerprint images were among the sensitive information that was stolen in the 2015 U.S. Office of Personnel Management (OPM) breach. Conceivably,, this biometric Conceivably biometri c data could be used by the perpetrators to hijack a user’s identity and gain fraudulent access to security systems.
It is important to understand that biometric characteristics are not secrets. Facial characteristics are quite public — not only observable, but also generally associated with our names and other personal information. In the OPM example, now that fingerprints have been stolen from government databases and can never be taken back, the key question becomes what can or should be done to render this information useless to any would-be impostor? Given the premise that databases are inherently vulnerable to attack, the challenge is one of minimizing negative impacts of a breach on individuals and organizations.
As always, the answer depends on the use case, and each category of applications must be examined individually and its associated threats
assessed. In this complex and interconnected digital world, systems must be thoughtfully designed and deployed in order to protect user identities and ensure appropriate levels of security within the context of the application. In the case of biometric data that is already “in the wild” (such as that stolen from the OPM), numerous tactics and best practices should be considered in order to render identities useless to anyone but the legiti mate owner. owner. Of critical importance is the ability to detect fraudulent attempts to use biometric data. Liveness detection — the real-time determination that the biometric characteristics presented are genuine and not fake — is a highly effective design feature in solutions where users physically interact with authentication systems.
Augmenting biometric liveness detection with other security layers for multi-factor authentication greatly enhances digital security and renders the theft of any one personal data element inconsequential. There are also a number of concepts that combine biometric data and other data elements to create an even more robust digital credential that will ensure stolen biometric biome tric data is i s insuffi cient and therefore t herefore useless in enabling the fraudulent use of legitimate identities.
Following are the key elements in a strategy that extends beyond breach defense to include tactics for neutralizing the effects of an identity breach after it has happened.
Border Security Impact on Biometrics Market & Other Countries Due to the extensive use of fingerprint recognition for border security with the United States and throughout the world, the market for automated fingerprint identification systems and fingerprint biometric technologies will continue to account for the greatest share of the global biometrics market and is forecast to continue to be the main source of overall market revenues from 2015 to 2020.
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Biometrics Research Group, Inc. estimates that the market for fingerprint recognition was valued at US$10 billion in 2012 and is expected to reach nearly US$25 billion in 2015. One of the main drivers for this revenue sector growth continues to be biometric requirements for travelers.
Since the United States has stringent visa requirements on its inbound international visitors, which has been estimated as 88.3 million in number and growing, we expect continued growth of biometrics usage for border security by the U.S. government. The ongoing e ffects of these requirements are that other countries will also require enhanced travel documents that encapsulate biometrics.
In June 2009, implementation of the Western Hemisphere Travel Travel Initiative (WHTI) required U.S. and Canadian citizens to present standardized, secure documentation denoting identity and citizenship for entry at the U.S. land and sea ports-of-entry. WHTI addresses the vulnerabilities inherent when travelers can present a wide range of documents that are highly susceptible to fraud and cannot be verified. WHTI-compliant documents available to U.S. citizens (including: passport book, passport card, Trusted Traveler Program cards, and Enhanced Driver’s Licenses) are issued in a secure manner and include a biometric (digital photograph) on the face of the card.
Under the Bey Beyond ond the Border Declaration: A Shared Vision for Perimeter Security and Eco- nomic Competitive Competitiveness ness , the United States and
Canada have deployed an entry-exit initiati ve at all automated common land border ports-ofentry. The program was first made operational for third country nationals, permanent residents of Canada and lawful permanent residents of the United States. Under the first stages of the initiative, U.S. Customs and Border Protection (CBP) and the Canada Border Services Agency (CBSA) securely shared entry records on approximately 10,000-15,000 10,000-15,000 travelers daily, as a record of exit from the other country, with no discernable impact on the traveler experience. The Action Plan subsequently committed to the exchange of data on all travelers, including citizens, at all automated land border ports of
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entry by June 2014. The CBSA worked with all partners to prepare the required regulatory and legislative authorities necessary for this additional phase of the entry-exit initiative. The entry-exit initiative enables each country to better identify people overstaying their authorized period of stay and significantly strengthen the integrity of each country’s immigration system.
For Canadian travelers, along with others from select European countries subject to visa waiver,, the only key requirement is that they hold er a valid passport. Regardless of the passport’s age, any presented travel documentation must be machine-readable. Only such a passport can be presented in order to obtain entry into the United States.
By March 2016, Canada is expected to implement the Electronic Travel Travel Authorization (eT (eTA) A) program and to begin connecting airlines to the complementary Interactive Advance Passenger Information (IAPI) System that will allow for the enforcement of the eTA. The measures will allow Canada to pre-screen travelers who are exempt from the Canadian visa requirement, except exc ept U.S. citizens, and to issue “board or noboard” messages to airlines about passengers intending to fly to Canada. These will mirror mirror,, to the greatest extent possible, the Electronic System for Travel Authorization (ESTA) program and the Advance Passenger Information System (APIS) already in place in the United States since 2008.
Depending on the date the traveler’s passport was issued, other passport requirements apply. All visa-waiver travelers are also required to have an approved Electronic System for Travel Authorization (ESTA) before traveling to the United States.
European Refugee Crisis and Biometrics Increased use of biometrics at the border will also be the result of the European refugee crisis. An estimated nine million Syrians have fled their homes since the outbreak of civil war in 2011. The majority have taken refuge in neighboring countries or within Syria itself. According to the United Nations High Commissioner for Refugees (UNHCR), 6.5 million are internally displaced within Syria, while over three million have fled to Syria’s immediate neighbors: Turkey,, Lebanon, Jordan and Iraq. key
UNHCR notes that nearly nea rly 150,000 Syrians have declared asylum in the EU, while member states have pledged to resettle a further 33,000 Syrians. The vast majority of these resettlement spots have been pledged by Germany, Germany, the most prosperous European country country.. Consequently, many of the migrants entering Europe have been attempting to make their way there.
The number of refugees and migrants crossing the Mediterranean to reach Europe has surpassed 300,000 this year. year. The large majormajor ity of people undertaking these arduous and dangerous journeys are refugees fleeing from Syria, Libya, Iraq and Afghanistan. Sixty million people around the world have been displaced due to conflict, according to UNHCR. This is resulting in an acute influx of refugees. However, However, conservative politicians throughout Europe and the West are beginning to react to the potential threat posed by mass migration. While German authorities do not believe terrorists have infiltrated the incoming stream of refugees from Syria and other war-torn nations, politicians in the United States, such as Rep. John Katko (R-NY), noted in public statements that there is a high risk that terrorists could enter Europe during the current crisis.
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An example of Europe’s refugee identity challenge has been illustrated in the following Crossmatch case study that examines the use of biometrics in Germany Germany..
Claiming his identification papers were lost during the journey, a refugee requests asylum from a German border agent upon entering the country.. Even with identification credentials in country hand, there’s still a risk that they may have been falsified or stolen.
How do you maintain a welcoming culture and protect your country from those looking to do harm?
Known for Willkommenskultur, their welcoming culture, Germany struggles with balancing securing its borders and protecting its citizens, while still enabling the legitimate movement of people. With plans to accept 1.3 million refugees for humanitarian reasons and to counterbalance a low birth rate and an aging workforce, the flow of those seeking asylum has been overwhelming. In December 2015 alone, approximately 1 million asylum seeker claims were filed in Europe, with Germany receiving the most migrants.
The large influx of refugees coupled with the terrorist attacks in Paris and Brussels has heightened the European Union member countries’ need to positively identify all travelers crossing sovereign sovereign borders. The challenge is that the most common form of identification is an easily falsified paper document. Checking personal identification is slow and prone to human error. To To secure borders, European nations are moving toward technology that delivers identity assurance – biometrics.
Germany: Germa ny: Securit S ecurityy and Effi cienc ciencyy through Biometrics Germany currently uses Crossmatch’s digital fingerprint capture technology to enroll refugees at registration stations. Each refugee places four fingers of each hand and two thumbs on the scanner to complete enrollment. Additional biometrics, like facial images, are captured and combined with demographic data to create a compliant, electronic identification record. This record is stored in a central management information system and the fingerprint is validated against government agency watch lists.
The Bundesamt für Migration und Flüchtlinge (BAMF), (BAMF ), the German Ger man Federal Fede ral Offi ce for MigraMigra tion and Refugees, has purchased over 1,000 Crossmatch® Guardian® fingerprint scanners for use at more than 36 registration stations. Germany continues to rely on Crossmatch’s Guardian fingerprint scanners for their image quality and the reliability of the scanner.
When a refugee or migrant crosses the German border,, their fingerprints border finger prints are checked against the German Automated Fingerprint Identification System (AFIS) and European Dactyloscopy (EURODAC) (EURODAC) databases. Utilizing Util izing both biographic and biometric data, agents are able to prevent persons with known criminal ba ckgrounds or terrorist connections from entering the country.
With more countries relying on biometrics, the chances of matching an existing identity is growing. The International Civil Aviation Organization (ICAO), a United Nations agency agency,, defines the biometric file formats and communication protocols that are used in passports. Today oday,, ICAO-compliant electronic passports contain a facial image and optional fingerprint or iris biometrics stored on the embedded electronic chip.
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These images are captured at the time of application and linked to a valid government agency credential. Compared to paper travel documents, biometrics provides a faster and stronger level of identity management and tie the individual to the trusted credential.
Whether it’s biometric enrollment to establish one person, one identity or verification of identity for disbursement of services, Crossmatch is helping Germany maintain their spirit of Willkommenskultur while maintaining the security of its citizens.
The United Nations is also using biometrics for the management of refugees. The United Nations High Commissioner for Refugees (UNHCR) is working with Accenture to deliver a biometric technology system for registering and verifying the identities of displaced individuals around the world, providing refugees with the help they need.
After a competitive tendering process, Accenture secured the three-year contract in which UNHCR will deploy Accenture’s biometric identity management system (BIMS) across UNHCR global operations.
Accenture’s system is able to capture and store Accenture’s fingerprints, iris data and facial images of individuals, providing these undocumented refugees with their only personal identity record.
UNHCR has already begun deploying BIMS with refugee camp locations in Thailand and Chad, the latter of which will enable the enrollment and formal identification of 450,000 people residing in more than 19 refugee camps.
The agency has verified the identities of more than 100,000 residents in Chad, and more than 120,000 people within nine camps in Thailand, to date, with the system handling about 2,500 enrollments per day day..
BIMS is based on Accenture’s software, software, Unique Identity Service Platform (UISP), which works in conjunction with UNHCR’s existing case management system. The software connects verification ficatio n stations statio ns in UNHCR offices and camps cam ps around the world back to a central biometric database in Geneva.
Additionally, Accenture Accenture will provide UNHCR with on-going system maintenance and user training in support of BIMS. UNHCR successfully piloted an early version of BIMS at the Dzaleka Refugee Camp in Malawi in late 2013. However, However, the system experienced issues of maintaining power,, equipment and power a nd online connectivity i n remote areas.
During the four-week pilot program, UNHCR enrolled the biometri c data of more m ore than 17,000 17,000 people and had their identities verified. Accenture is also working wi th several other vendors on the projects, including WCC Smart Search & Match, Green Bit, GenKey, Warwick Warp, Iri-
Tech, SmartSensors SmartSensors and and Cognitec Cognitec.. The UNHCR is utilizing this data -- in conjunction with financial institutions in the Middle East -- to provide refugees with banking services.
Most advanced industrial countries, such as the United Kingdom and Canada that are accepting refugees are also utilizing also biometrics as part of their screening process, in efforts to enhance their homeland security. In the United States, “homeland security” is the umbrella term referring to the e ffort to prevent terrorist attacks, reduce the vulnerability of the U.S. to terrorism, and minimize the damage from attacks that do d o occur.
The scope of homeland security includes: emergency preparedness and response (for both terrorism and natural disasters), including volunteer medical, police, emergency management, and fire personnel; domestic and international intelligence activities, largely conducted by the Federal Bureau of Investigation I nvestigation (FBI); critical infrastructure and perimeter protection; border security, including both land, maritime and country borders; transportation securit y, including aviation and maritime transportation; biodefense; detection of radioactive and radiological materials; and research on next-generation security technologies like biometrics.
Homeland Security Government Reorganization The term “homeland security” arose following a reorganization of many U.S. Government agencies in 2003 to form the United States Department of Homeland Security after the September 11 attacks, and may be used to refer to the actions of that department, the United States Senate Committee on Homeland Security and Governmental Affairs, or the United States House of Representatives Committee on Homeland Security Security..
The concept of homeland security extends and recombines responsibilities of government
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agencies and entities. Homeland security includes 187 federal agencies and departments, including the United States National Guard, the Federal Emergency Management Agency Agency,, the United States Coast Guard, Customs and Border Protection, U.S. Immigration and Customs Enforcement, United States Citizenship and Immigration Services, the United States Secret Service, the Transportation Security Administration, the 14 agencies that constitute the U.S. intelligence community and Civil Air Patrol. Although many businesses now operate in the area of homeland security security,, it is overwhelmingly a government function.
Former President George W. Bush consolidated many of these activities under the United States Department of Homeland Security (DHS), a new cabinet department established as a result of the Homeland Security Act of 2002. However However,, much of the nation’s nat ion’s homeland security activity remains outside of DHS; for example, the U.S Federal Bureau B ureau of Investigation (FBI) and the Central Intelligence Agency (CIA)
are not part of the Department, and other executive departments such as the Department of Defense and Department of Health and Human Services play a significant role in certain aspects of homeland security. Homeland security is ultimately coordinated at the White House by the Homeland Security Council.
U.S. Homeland Security Spending According to the U.S. U. S. Office of Management Mana gement and Budget, DHS funding only constitutes 20 percent of consolidated U.S. homeland security funding, while approximately 40 percent of the DHS budget funds civil, non-security activities, such as U.S. Coast Guard search and rescue operations and customs functions. DHS is the world’s largest homeland counter terror organization, constituting 40 percent of global homeland security funding in 2010.
Biometrics Research Group Inc. has estimated in the past that annual funding for homeland security and defense applications will rise from US$190 billion in 2011 to US$210 billion by 2014.
Funding for homeland security specifically has risen from US$16 billion in fiscal year 2001 to US$71.6 billion requested in fiscal year 2012. Total homeland security spending between Sep-
A tremendous amount of homeland security and defense funding is allocated to mundane physical security measures and provided to state governments through grants to protect infrastructure. However, However, biometric technology is a leading policy driver within the executive branch of the U.S. Government, and has been lauded as a new innovation that can protect and secure national borders.
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tember 11, 2001 and May 26, 2011 has totaled US$635.9 billion. Adjusted for inflation, the U.S. has increased homeland security spending by 301 percent since fiscal year 2001. Of this $163.8 billion has been funded within the Pentagon’s annual budget. The remaining $472.1 billion has been funded through other federal agencies.
Homel and security Homeland securi ty spending spendi ng is incredibly incredibl y difficult to quantify because funding flows through literally dozens of federal agencies and not just through the Department of Homeland Security (DHS). For example, of the US$71.6 billion requested for “homeland security” in fiscal year 2012, only US$37 billion was funded through DHS. A substantial portion was funded through the Department of Defense – $18.1 billion in fiscal year 2012 – and other departments, including Health and Human Services (US$4.6 billion) and the Department of Justice (US$4.1 billion).
Indeed, the National Nationa l Commission on Terrorist Attacks Upon the United States identified biometrics as a key set of technologies that could provide the enhanced security required to protect U.S. borders. Historically, legislation and government implementation have been catalysts for the use of advanced technology. technology. With homeland security initiatives increasing, the escalating use of biometrics is projected to propel growth in the near to mid-term.
Earlier in the decade, biometrics had been identified as a major “killer application” within the information technology field. Not unlike the development of a previous killer application known as the Internet, the U.S. Government is funding biometric technology research projects through the military (i.e., Advanced Research Projects Agency). Of course, due to nature of biometric measures such as fingerprinting, a large proportion of this internal government research activity is also being conducted by law enforcement agencies (i.e., Federal Bureau of Investigation).
Internationally, there are several several criminal and civilian government projects aimed a t improving security, but it is the U.S. Government that has purchased biometric equipment on a grand scale. The U.S. Enhanced Border Security and Visa Entry Reform Act of 2002 required all entry ports to the U.S. to install biometric identifiers by October 2004. This required participating countries in the U.S. Visa Waiver program to issue machine-readable passports to their nationals as well, creating a huge opportunity for providers of biometric technologies.
Use of Biometrics for Homeland Security Applications The Department of Homeland Security coordinates its biometri bi ometric c activities activit ies through throug h the Office of Biometric Identity Management (OBIM). (OBIM). The office coordinates coordina tes what was formerl fo rmerly y referred to as the US-VISIT program, which uses biometrics to simplify travel for legitimate visitors. US-VISIT was appropriated US$232 million and reorganized into the OBIM through the 2013 Homeland Security Appropriations Act.
Arguably, OBIM’s use of biometrics has helped strengthen U.S. immigration and border security to a level l evel that did not exist previously. It is estimated by the Department of Homeland Security that every day, day, 30,000 authorized federal, state and local government users query OBIM’s data in order to accurately identify people and determine whether they pose a risk to the United States.
OBIM provides the results of its biometric checks to decision makers when and where they need it. These services help prevent prevent identity fraud and deprive criminals and immigration violators of the ability to cross our borders. Based on biometrics alone, OBIM has helped stop thousands of people who were ineligible to enter the United States.
OBIM supplies the technology for collecting and storing biometric data, provides analysis of the data to decision makers, and ensures the integrity of the data. By using biometrics, OBIM prevents the use of fraudulent documents, protect visitors from identity theft and stop thousands of criminals and immigration violators from entering the country country..
Trusted T rusted Traveler Programs Programs The OBIM is also responsible for trusted traveler programs. Trusted traveler traveler programs provide expedited travel for pre-approved, low risk travelers through dedicated lanes and kiosks. The programs have proliferated over the past sev-
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eral years due to increased air travel and globalized business. The United States, through its Department of Homeland Security, offers multiple programs: which include NEXUS, SENTRI, Global Entry and Pre ✓.
NEXUS NEXUS is a joint program with the Canada Border Services Agency that allows pre-screened, approved travelers faster processing. NEXUS was established in 2002 as part of the Shared Border Accord, a partnership between the United States and Canada that creates open channels of dialogue and working groups committed to the mutual goals of securing our shared border, while promoting the legitimate trade and travel that is vital to both economies.
NEXUS is an integrated program with one application and fee submission providing expedited passage in the air, land and marine modes of travel. Each approved member will receive a radio frequency identification card. Howe However ver,, individuals who are interested in air travel must undergo an iris capture to have their membership accepted at airports.
Iris recognition biometric technology works with the unique patterns of the iris, which are the colored ring around the pupil of the eye. There are 266 unique characteristics in the human iris, which the technology reads.
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The iris recognition process involves taking a photograph of the irises. The iris is a muscle within the eye that regulates the size of the pupil, controlling the amount of light that enters the eye. It is the colored portion of the eye with coloring based on the amount of melatonin pigment within the muscle. Although the coloration and structure of the iris is genetically linked, the details of the patterns are not. The iris develops during prenatal growth through a process of tight forming and folding of the tissue membrane. Prior to birth, degeneration occurs, resulting in the pupil opening and the random, unique patterns of the iris. Although genetically identical, an individual’s irides are unique and structurally distinct, which allows for it to to be used for recognition purposes. Iris patterns are processed and encoded into a record that is stored and used for comparison any time a live iris is presented for verification. When using the self-serve kiosk, the system will compare irises with the record stored in the database.
To get the clearest iris photo during enrolment, an applicant must remove eyewear, eyewear, including
prescription glasses and contacts, as well as sunglasses and coloured or patterned contact lenses. At the kiosk, NEXUS users do not need to remove prescription glasses or contact lenses, but they do need to remove sunglasses and patterned contacts. There are no known health or safety issues associated with using an iris recognition device. Iris recognition technology involves a monochrome camera that uses visible and safe low-range infrared light.
During the application process, if a person indicates they have a disability that affects their vision which w hich may make ma ke it diffi cult to take a clear photo of the iris, the information is added to their profile. When the person arrives at the airport, instead of using a kiosk, as a NEXUS member they can use a “special services” counter where they would answer standard customs and immigration questions. In these situations, a “non-iris capture” sticker is placed on their membership card at time of enrollment, which allows them to enjoy expedited passage using the special services counter counter..
NEXUS is available at the following Canadian airports: Halifax Robert L. Stanfield International Airport (YHZ), Montréal-Pierre Elliott Trudeau International Airport (YUL), Ottawa Macdonald-Cartier International Airport (YO (YOW), W), ToronToronto Pearson International Airport (YYZ), Winnipeg James Armstrong Richardson International Airport (YWG), Calgary International Airport (YYC), Edmonton International Airport (YEG) and Vancouver Vancouver International Airport Ai rport (YVR).
A NEXUS membership card fulfills the travel document requirements of the West Western ern Hemisphere Travel Travel Initiative (WHTI) that has required a passport or other secure travel document by all U.S. and Canadian citizens seeking entry or re-entry into the U.S. by air since 2007 and by land and sea since 2009.
Individuals may qualify to participate in NEXUS if they are a citizen or permanent resident of the United States or Canada residing in either country,, or if they are a citizen of a country country other than Canada or the United States who plan to temporarily reside lawfully in Canada
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or the United States for the term of their NEXUS membership and who pass various criminal history and law enforcement checks by both countries.
NEXUS is an example of cross-border coordination at work. A key goal of the partnership is to establish and expand trusted travel lanes at airports, waterways, and land crossings. It’s a way to strike the right balance between enhanced securit s ecurity y and faster, fast er, more efficient travel between the U.S. and Canada.
SENTRI Secure Electronic Network for Travelers Rapid Inspection (SENTRI) is a program similar to NEXUS that provides expedited entry into the both the United States and Mexico. Mexico. SENTRI provides expedited processing for pre-approved, prov ed, low-risk travelers. Applicants must voluntarily undergo a thorough biographical background check against criminal, law enforcement, customs, immigration, and terrorist indices; a 10-fingerprint law enforcement check; and a personal interview with a U.S. Customs and Border Bo rder Protection Pro tection (CBP) Offi O fficer.
SENTRI was first implemented at the Otay Mesa, California port of entry on November 1, 1995. SENTRI dedicated commuter lanes also exist in El Paso, TX; San Ysidro, CA; Calexico, CA; Nogales, AZ; Hidalgo, TX; Brownsville, TX; Anzalduas, TX; Laredo, TX; San Luis, AZ and Douglas, AZ.
Under both NEXUS and SENTRI programs, members can enjoy the benefits of Global Entry at no additional cost through using the automated kiosks for entry at participating airports.
Global Entry Global Entry is a CBP program that allows expedited clearance for pre-approved, low-risk U.S. citizens and permanent residents upon arrival in the United States. At specific U.S. airports, program participants proceed to Global Entry kiosks, present their machine-readable passport or U.S. permanent resident card, place
their fingertips on the scanner for fingerprint verification, and make a customs declaration. The kiosk issues the traveler a t ransaction receipt and directs the traveler to baggage claim and the exit.
Travelers must be pre-approved for the Global Entry program. All applicants undergo a rigorous background check and interview before enrollment.
While Global Entry’s goal is to speed travelers through the process, members may be selected for further examination when entering the United States. Any violation of the program’s terms and conditions will result in appropriate enforcement action and revocation of the traveler’s membership privileges. Global Entry kiosks are available at the following participating airports: Baltimore/Washington International Thurgood Marshall Airport (BWI); Boston-Logan International Airport (BOS); Calgary International Airport (YYC); Charlotte-Douglas International Airport (CLT); Chicago O’Hare International Airport (ORD); Dallas/Ft. Worth International Airport (DFW); Denver International Airport (DEN); Detroit Metropolitan Airport (DTW); Dublin Airport (DUB); Edmonton International Airport (YEG); Ft. Lauderdale/Hollywood International Airport (FLL); George Bush Intercontinental Airport, Houston (IAH); Guam International Airport (GUM); Halifax Stanfield International Airport (YHZ); Hartsfield-Jackson Atlanta International Airport (ATL); Honolulu International Airport (HNL); John F. Kennedy International Airport, New York York (JFK); John Wa Wayne yne Airport (SNA); Los Angeles International Airport (LAX); McCarran International Airport, Las Vegas (LAS); Miami International Airport (MIA); Minneapolis/ St. Paul International Airport (MSP); Montreal Pierre Elliott Trudeau International Airport (YUL); Newark Liberty International Airport (EWR); Orlando International Airport (MCO); Orlando-Sanford International Airport (SFB); Ottawa Macdonald-Cartier International Airport (YOW); Philadelphia International Airport (PHL); Phoenix Sky Harbor International Airport (PHX); Portland International Airport (PDX); Raleigh-Durham International Airport (RDU); Saipan International Airport (SPN); Salt Lake City International Airport (SLC); San Antonio
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International Airport (SAT); San Diego International Airport (SAN); San Francisco International Airport (SFO); San Juan-Luis Muñoz Marin International Airport (SJU); ( SJU); Seattle-Tacoma Seattle-Tacoma International Airport-SeaTac (SEA); Shannon Airport (SNN); Tampa International Airport (TPA); Toronto Toronto Pearson International Airport (YYZ); Vancouver Vancouver International Airp ort (YVR); Washington-Dulles Washingt on-Dulles International Airport (IAD); and Winnipeg James Armstrong Richardson International Airport ( YWG).
However,, NEXUS and SENTRI members will However need to check their account status to see if they qualify under Glob al Entry, as they may need to submit their 10-fingerprints or any other necessary documentation in order to receive Global Entry benefits.
Over 650,000 people have registered for NEXUS cards, and the majority are satisfied with the service benefits. By being able to pass through automated passport control, many travelers can spend less than a minute to enter or re-enter the United States. Besides expedited arrival into the U.S. for immigration and customs, those in trusted traveler programs often get expedited security screening at many airports.
Global Entry costs US$100 per person, while NEXUS costs US$50 and SENTRI costs US$122.25 per person.
TSA Pre✓ The Department of Homeland Security also runs Pre✓, administered by the Transportation Security Administration (TSA). The TSA Pre✓ pre-screening initiative allows eligible passengers to volunteer information about themselves to expedite their screening experience. Eligible passengers enter a separate security lane where they will undergo expedited screening, and may pass through screening technology without removing shoes, light outerwear outerwear,, belts, or laptops or 3-1-1 compliant liquids/gels from their carry-on. To be eligible, participants must be U.S. citizens traveling through one of the 25 participating U.S. airports and members of CBP Trusted Traveler programs or select fre-
quent flyers of participating airlines. More than 2.8 million passengers have received expedited screening through TSA Pre ✓ security lanes since the initiative began in October 2011.
Since inception to July 2013, 12 million travelers have used the program, which has so far been deployed at 40 American airports. Roughly 2 million people travel by plane in the United States each day. To initiate the Pre ✓ program, TSA entered into partnerships with companies that offer travel travel incentives. Earlier this year, year, Loews Hotels offered YouFirst Platinum loyalty rewards members complimentary enrollment in the Global Entry program. CBP has also worked with American Express and United Airlines who currently provide reimbursements for their top-tier customers, and continues to partner with other private sector entities to expand the network of Global Entry members.
For autumn 2013, TSA has proposed to open the program up to all U.S. citizens and permanent residents. A single applicant will pay an anticipated US$85 enrollment fee online, or at an enrollment center. Under the program, there will be a five-year term of eligibility, after which members will need to reapply. TSA expects the vetting process to take approximately two to three weeks. A U.S. passport will not be required to enroll. The first two enrollment locations, Washington Dulles International Airport (IAD) and Indianapolis International Airport (IND), will open in fall 2013 with plans to expand to additional enrollment sites nationwide.
Applicants will receive a confirmation letter via U.S. mail. Approved applicants will be issued
a ‘Known Traveler Traveler Number’ to be used when booking travel. Passengers will enter their Known Traveler Traveler Number (KTN) in the ‘known traveler field’ when booking their travel reservations. Passengers may also enter their KTN to their frequent flyer airline profiles, where it will be stored for future reservations.
Current TSA Pre✓ participants, including those eligible via a CBP Trusted Traveler Traveler Program such as Global Entry Entry,, will continue to receive TSA Pre✓ eligibility. Participants who opted-in through their airline frequent flyer program may want to consider applying for TSA Pre✓, as they are more likely to be selected for TSA Pre✓ expedited screening more often if they are vetted via the TSA Pre ✓ application process.
Biometrics Research Group, Inc. projects that trusted traveler programs will eventually become the de facto best practice for airport security clearance. In 2012, CBP acknowledged acknowledged that it had approximately 290,000 people registered in its Trusted Traveler Programs. Biometrics Research Group estimates that trusted traveler program usage will increase to 500,000 people by 2015.
Trusted traveler programs not only expedite passengers, but also information transfer between governments for identity verification at borders. As a consequence, the United States is not alone in using biometrics to enhance security and facilitate legitimate travel. The United Kingdom, Australia, the European Union, Japan, Canada, Mexico and others are implementing biometric identification programs to expedite travel and improve border security security..
International Biometrics Data Sharing The U.S. Government works with the above countries to share best practices and move toward a consistent approach that provides for secure global travel. As countries continue developing compatible biometric systems, the U.S. will be able to more accurately identify dangerous people, while making travel safer, safer, more convenient,, predictable convenient predicta ble and secure, secu re, but diffi -
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cult, unpredictable and intimidating for those who want to attack American interests.
With the goal of improving biometric data interoperability capabilities between countries, Accenture Accentur e was awarded a nine-month contract from the Department of Homeland Security to
expand international data-sharing capabilities and secure Web services for the OBIM.
The contract is worth $30 million and according to the company company,, work under the contract will support sharing between the United States, United Kingdom, New Zealand, Canada and Australia.
Accenture is also set to expand the use of secure Web services for all stakeholders, facilitating access of this data. The company says that since the development of reusable ‘services,’ the time it takes for new users to access the system has decreased from nine months to three weeks.
OBIM also provides biometric information to internal government clients, including the U.S. Department of State, U.S. Customs and Border Protection, U.S. Immigration and Customs Enforcement, U.S. Citizen and Immigration Services, the U.S. Coast Guard and the Transportation Security Administration. Upgrades under the contract also will enable biometric information to be shared in real time with the U.S. Department of Justice and U.S. Department of Defense.
The U.S. Department of Homeland Security tested a crowd-scanning facial recognition system last year, called the Biometric Optical Surveillance System (BOSS), following two years of government-funded development.
The documents obtained under a Freedom of Information Act request determined that a $5.2 million contract for the system was awarded to Electronic Warfare Warfare Associates, an American military contractor, contractor, which was the only company to place a bid.
As the documents outline, the system consists of two towers with infrared sensors that capture two pictures of people from different angles to create a 3D visualization of a person’s face to perform comparison or identification through facial recognition. To test the system, system,
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the Department of Homeland Security hired the Pacific Northwest National La boratory boratory,, though it was ultimately determined that the system was not yet ready. Those developing BOSS are striving for 80-90 percent accuracy at a distance of 100 meters.
U.S. Immigration and Customs Enforcement receives information from OBIM to identify those who may have overstayed overstayed terms of their admission. OBIM matches entry and exit records and provides this information to ICE. This enhanced information sharing process provides an increased capability to identify and apprehend overstays—a critical tool with which to manage the immigration and border system. Before OBIM, international travelers who overstayed overstayed their authorized period of admission were only identified as a consequence of some other encounter with law enforcement.
The U.S. Coast Guard uses OBIM biometrics based services at sea to apprehend and prosecute illegal migrants and migrant smugglers. The Coast Guard uses mobile biometric collection devices—handheld scanners and cameras—to collect and compare migrants’ biometric information against information in the OBIM database about criminals and immigration violators.
One of the manufacturers supplying mobile collection devices to DHS is Cross C ross Match TechnoloTechnologies. The firm’s SEEK Avenger Avenger mobile handheld unit is aimed at immigration, customs, border control, law enforcement and security communities. The SEEK Avenger Avenger weighs just over over 3 lbs. and according to the company company,, is the only multi-biometric handheld capable of capturing stand-off dual iris (SAP 40) and fingerprint (FAP (F AP 45) images in direct sunlight.
A built-in contact card reader and optional MRZ and ePassort readers provide users the flexibility to configure their optimal credentialing solution. A 5MP camera ca mera provides 1D/2D barcode reading, captures evidentiary photos and video, and takes facial images utilizing auto-facial recognition. The optional communications cap incorporates into the device, providing LTE/3G
or other network certified cellular modems for additional connectivity beyond Bluetooth and Wi-Fi.
the numerous sources (10 fingers) available for collection, and their established use and collections by law enforcement and immigration.
This capability is part of a pilot program to collect biometric information from migrants interdicted while attempting to illegally enter U.S. territory through the eastern Caribbean Sea, around Puerto Rico and the U.S. Virgin Islands, known as the San Juan J uan sector. The success success of the program led the Coast Guard to expand mobile biometric collection to the Florida Straits in 2008.
The practice of using fingerprints as a method of identifying individuals has been in use since the late nineteenth century when Sir Francis Galton defined some of the points or characteristics from which fingerprints can be identified. These “Galton Points” are the foundation for the science of fingerprint identification, which has expanded and transitioned over the past century.
U.S. Citizenship and Immigration Services uses OBIM’s services to establish and verify the identities of people applying for immigration benefits, including asylum or refugee status.
Fingerprint identification began its transition to automation in the late 1960s along with the emergence of computing technologies. With the advent of computers, a subset of the Galton Points, referred to as minutiae, has been utilized to develop automated fingerprint technology technology..
U.S. Customs and Border Protection uses OBIM’s services at U.S. ports of entry to help facilitate legitimate travel, protect travelers against identity theft, prevent fraudulent document use, and keep visitors and citizens safe from harm.
CBP offi cers are responsible respons ible for screening scree ning all international travelers to the United States. As part of the t he screening screen ing process, CBP C BP officers collect digital fingerprints and a digital photograph from international travelers. Using OBIM’s services, service s, officers quickly quick ly and accurately accurate ly verify whether the person applying for entry is the same person to whom the visa was issued. And for all travelers, travel ers, with wit h or without witho ut a visa, visa , officers use OBIM’s services to verify that travelers are who they say they are and that they do not pose a threat to the United States.
The CBP therefore uses fingerprint identification to monitor travelers. travelers. Fingerprint identification is one of the most well-known and publicized biometrics. Because of their uniqueness and consistency over time, fingerprints have been used for identification for over a century, more recently becoming automated (i.e. a biometric) due to advancements in computing capabilities. Fingerprint identification is popular because of the inherent ease in acquisition,
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A fingerprint usually appears as a series of dark lines that represent the high, peaking portion of the friction ridge skin, while the valley between these ridges appears as white space and are the low, shallow portion of the friction ridge skin. Fingerprint identification is based primarily on the minutiae, or the location and direction of the ridge endings and bifurcations (splits) along a ridge path.
A variety of sensor types — optical, capacitive, ultrasound, and thermal — are used for collecting the digital image of a fingerprint surface. Optical sensors take an image of the fingerprint, and are the most common sensor today today..
The two main categories of fingerprint matching techniques are minutiae-based matching and pattern matching. Pattern matching simply compares two images to see how similar they are. Pattern matching is usually used in fingerprint systems to detect duplicates. The most widely used recognition technique, minutiae-based matching, relies on the minutiae points, specifically the location and direction of each point.
DHS collects fingerprints from non-U.S. citizens who are either crossing the border as tourists or those applying for immigration. In fact, approximately 300,000 fingerprints are collected per day and stored in the DHS biometric databases, which are interconnected with those of the state and local law enforcement.
OBIM awarded a contract to Ide al Innovations (I-3) in May 2013 to provide fingerprint analysis in support of OBIM’s Biometric Support Center. The contract, with a potential value of US$58.9 million was awarded under I -3’s GSA Mission Oriented Buisness Integrated Services (MOBIS) Federal Federal Supply Schedule. The Biometric Support Center provides fingerprint identification services when the automated matching capabilities of DHS’s central repository cannot determine if two sets match. In addition, the Center provides latent print identification and biometric watch-list enrollment services to DHS and other U.S. Government agencies.
The U.S. Department of Defense and the Intelligence Community use biometric information about known or suspected terrorists on watch lists. OBIM is working across the federal government to promote intelligence efforts in identifying high-risk persons.
OBIM biometric services also facilitate identification of terrorists by matching against latent fingerprints collected from terrorist safe houses and ongoing criminal investigations conducted around the world. The move to a 10 fingerprint collection standard expands this capability by providing additional fingerprints against which to match latent fingerprints.
Department of Justice and State and Local Law Enforcement use OBIM’s services to ensure that they have accurate immigration information about individuals they arrest.
OBIM is furthering integration, accessibility and interoperability with other law enforcement and intelligence systems. The Department of Homeland Security and the FBI are establishing interoperability between the OBIM program’s
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Automated Biometric Identification System (IDENT) and the FBI’s Integrated Automated Fingerprint Identification System (IAFIS) fingerprint databases.
A crucial step in making IDENT and IAFIS interoperable is the transition from a two- to a 10-fingerprint collection standard for the OBIM and BioVisa programs.
OBIM and the FBI tested the first stage of IDENT/IAFIS IDENT /IAFIS interoperability through pilot programs with state and local law enforcement. During these pilot programs, state and local law enforcement had access to immigration status information about immigration violators they arrest on other charges. At the same time, immigration immig ration offi cials received recei ved automated notifinot ification when immigration violators were arrested, so they could take necessary action. With access to immigration violation information, law enforcement enforceme nt officers have more informati in formation on with which to make decisions about subjects they arrest.
OBIM’s Biometric Support Center (BSC) helps many federal, state and local agencies with their investigations. Every week, the highly-trained forensic analysts who verify biometrics 24 hours a day, seven days a week, help solve crimes, identify John or Jane Does and support terrorist terrorist investigations. investigations. Biometric Support Centers are located in San Diego, CA and Arlington, VA.
The U.S. State Department uses OBIM’s services to establish and verify the identities of visa applicants at embassies and consulates around the world through its BioVisa program. Consular officers use this informati info rmation on in determining determ ining visa eligibility eligibili ty..
The U.S. Department of Homeland Security also initiated regulatory policies that require certain levels of security for government agencies and enterprises. Heightened border security, aviation security, and network security are just three of many areas that DHS is targeting. Biometric technologies are also increasingly being
deployed to protect government installations such as military installations, laboratories and hospitals.
DHS also provides logistical control of hazardous materials. In July 2013, MorphoT MorphoTrust, rust, a division of SAFRAN, announced it had enrolled a total of 1.5 million commercial drivers at 135 enrollment centers for the TSA’s TSA’s Hazardous Materials Endorsement Threat Assessment Program.
As the exclusive enrollment services provider to the TSA in support of its Hazardous Materials Endorsement Threat Assessment Program (HTAP), (HT AP), MorphoTrust screens, trains and vets
trusted agents and collects the biographic and biometric data from the 200,000 truck drivers who require hazardous materials endorsements on their commercial dri ver licenses each year.
In 2004, TSA launched the HT HTAP AP program as required under the U.S. PATRIOT PATRIOT Act. With this law,, Congress directed TSA to perform fingerlaw print-based background checks for truck drivers who haul hazardous materials. TSA created HTAP HT AP as an “agent service” offering that allows states to either participate or create their own solutions to meet this mandate. mandate. So far, far, 40 states have elected to use the ser vice since its inception.
Conclusion While the government will still seek to utilize high-end, high technology solutions to protect homeland security, Biometrics Research Group, Inc. notes that future growth in biometrics through government spending will not be exponential due to budgetary restraints.
Previously, our firm conservatively estimated Previously, that the U.S. government was spending at least US$450 million per annum on pure biometric research. We expect that amount will remain steady, but will not be adjusted for inflation due to budget constraints. Consequently, spending growth will slow slightly, though it should b e recognized that the government will still be the primary driver for purchases of biometric technologies and innovation, due to security and legislative requirements.
It is our contention that future spending for biometric technology by government will be extremely strategic. As the Biometrics Research Group stated previously in this research white paper, the National Commission on Terrorist Terrorist Attacks Upon the United States identified biometrics as a key set of technologies that could provide the enhanced security required to protect U.S. borders. Historically, legislation and
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government implementation have been catalysts for the use of advanced technology. technology.
As a result, associated budget spending outlays for biometrics, designed to heighten homeland security,, will increase, but we believe that this security increase will be slight due to economic constraints and budget sequestration.
If any potential for faster government spending on homeland security can be encouraged, Biometrics Research Group projects that it will come through through immigration reform. reform. Previously proposed bipartisan Senate frameworks would would have potentially introduced biometrics to Social Security identification cards and would also require the Department of Homeland Security to complete a system to collect biographic data. Republican Senators have also attempted to establish a biometric exit system which would collect the fingerprints of foreigners departing the United States. While initially rejected, rejected, such a system, if ever implemented, would cost several billion dollars. The outcome of the 2016 U.S. Presidential Election will also be a major influence on that country’s approach to homeland security.