Summary of a Workshop on the Technology, Policy, and Cultural Dimensions of Biometric Systems (2006)

JOSEPH N. PATO, Chair, is a Distinguished Technologist at Hewlett-Packard’s HP Laboratories, where he serves as lab scientist for the Trusted Systems Lab (TSL) and manager for TSL’s Princeton research group. Previously he served as chief technology officer for Hewlett-Packard’s Internet Security Solutions Division. Since 1986, Mr. Pato has been involved in security research and development, spending much of his career studying authentication, identification, and privacy issues. Currently Mr. Pato is developing a research program that will analyze security issues in the health care industry. Mr. Pato’s current research focuses on the security needs of collaborative enterprises on the Internet, addressing both interenterprise models and the needs of lightweight instruments and peripherals directly attached to the Internet. Specifically, he is looking at critical infrastructure protection and the confluence of trust, e-services, and mobility. These interests have led him to look at the preservation of Internet communication in the event of cyberterrorism, trust frameworks for mobile environments, and how to apply privacy considerations in complex systems. His past work includes the design of delegation protocols for secure distributed computation, key exchange protocols, interdomain trust structures, the development of public- and secret-key-based infrastructures, and the more general development of distributed enterprise environments. Mr. Pato is also the founder of the IT-ISAC (IT Information Sharing and Analysis Center), where he also serves as a board member. Mr. Pato has participated on several standards or advisory committees of the Institute of Electrical and Electronics Engineers (IEEE), American National Standards Institute (ANSI), National Institute for Standards and Technology (NIST), Department of Commerce, W3C, Financial Services Technology Consortium (FSTC), and Common Open Software Environment (COSE). He has represented Hewlett-Packard to the Open Software Foundation (OSF) Architecture Planning Council, the technical arm of the OSF Board of Directors. He has also served on the Technical Planning Committee evolving the Distributed Computing Environment (DCE) and chaired the Security and Remote Procedure Call (RPC)/Programming Model/Environment Services working groups. He has served as the vice-chair for the Distributed Management Environment (DME)-DCE-Security working group of the OSF Security Special Interest Group. In the past, Mr. Pato served as the co-chair for the OASIS Security Services Technical Committee, which developed Security Assertions Markup Language (SAML) from June 2001 until November 2002. SAML 1.0 was approved as an OASIS standard on November 1, 2002. For the past 3 years, Mr. Pato has been an instructor at the Massachusetts Institute of Technology, teaching a course entitled Ethics and Law on the Electronic Frontier (electronic surveillance and copyright control). Mr. Pato served as a key member of CSTB’s committee that wrote Who Goes There? Authentication Through the Lens of Privacy (2003). Mr. Pato’s graduate work was in computer science at Brown University.

BOB BLAKLEY is chief scientist for security and privacy at IBM Tivoli Software. He was the general chair of the 2003 IEEE Security and Privacy Conference and served as general chair of the Association for Computing Machinery’s (ACM’s) New Security Paradigms Workshop. Dr. Blakley was a member of CSTB’s committee that produced the report Who Goes There? Authentication Through the Lens of Privacy (2003). He was named Distinguished Security Practitioner by the 2002 ACM Computer Security and Applications Conference (ACSAC) and serves on the editorial board of the International Journal of Information Security (IJIS). He was the editor of the Object Management Group’s (OMG’s) CORBA security specification and is the author of CORBA Security: An Introduction to Safe Computing with Objects. Dr. Blakley was also the editor of the Open Group’s Authorization API specification and the OASIS Security Services Technical Committee’s SAML specification effort. He has been involved in cryptography and data security design work since 1979 and has authored or coauthored seven papers on cryptography, secret-sharing schemes, access control, and other aspects of computer security. He holds nine patents on security-related technologies. Dr. Blakley received an A.B. in classics from Princeton University and a master’s degree and Ph.D. in computer and communications sciences from the University of Michigan.

JEANETTE BLOMBERG manages the Work in Organizational Context (WORC) group at the IBM Almaden Research Center. She joined IBM Research in 2002 to help establish Service Research, a group focused on providing research in support of IBM’s Global Services division. Her research focuses on the interplay between people, technology, and organizational practices. Dr. Blomberg is also an industry-affiliated Professor of Human Work Science at the Blekinge Institute of Technology in Sweden, where she advises Ph.D. students and organizes a biennial Ph.D. course on work practice and design for students throughout the Nordic countries. Prior to assuming her current position at IBM, Dr. Blomberg was director of Experience Modeling Research at Sapient Corporation, where she helped establish the Experience Modeling practice and managed Sapient’s San Francisco Experience Modeling group. While at Sapient she directed and participated in research projects for global technology, energy, automotive, transportation, consumer products, and financial services companies. Dr. Blomberg was also a founding member of the pioneering Work Practice and Technology group at the Xerox Palo Alto Research Center (PARC). Over the years her research has explored issues in social aspects of technology production and use, ethnographically informed organizational interventions, participatory design, case-based prototyping, and workplace studies. She received her Ph.D. in anthropology from the University of California, Davis, where she taught courses in cultural anthropology and sociolinguistics.

JOSEPH P. CAMPBELL received B.S., M.S., and Ph.D. degrees in electrical engineering from Rensselaer Polytechnic Institute in 1979, the Johns Hopkins University in 1986, and Oklahoma State University in 1992, respectively. Dr. Campbell is currently a senior member of the technical staff at the MIT Lincoln Laboratory in the Information Systems Technology Group, where he conducts speech-processing research and specializes in advanced speaker recognition methods. His current foci are high-level features for and forensic-style applications of speaker recognition, creating corpora to support speech-processing research and evaluation, robust speech coding, biometrics, and cognitive radio. Before joining Lincoln, he served 22 years at the National Security Agency (NSA). From 1979 to 1990, Dr. Campbell was a member of NSA’s Narrowband Secure Voice Technology research group. He and his teammates developed the first DSP-chip software modem and LPC-10e, which enhanced the Federal Standard 1015 voice coder and improved U.S. and NATO secure voice systems. He was the principal investigator and led the U.S. government’s speech coding team in developing the CELP voice coder, which became Federal Standard 1016 and is the foundation of digital cellular and voice-over-the-Internet telephony systems. From 1991 to 1998, Dr. Campbell was a senior

scientist in NSA’s Biometric Technology research group, where he led voice verification research. From 1994 to 1998, he chaired the Biometric Consortium, the U.S. government’s focal point for research, development, test, evaluation, and application of biometric-based personal identification and verification technology. From 1998 to 2001, he led the Acoustics Section of NSA’s Speech Research branch, conducting and coordinating research on and evaluation of speaker recognition, language identification, gender identification, and speech activity detection methods. From 1991 to 1999, Dr. Campbell was an associate editor of IEEE Transactions on Speech and Audio Processing. He was an IEEE Signal Processing Society Distinguished Lecturer in 2001. From 1991 to 2001, Dr. Campbell taught speech processing at the Johns Hopkins University. Dr. Campbell is currently a member of the IEEE Signal Processing Society’s board of governors; an editor of Digital Signal Processing journal; a chair of the International Speech Communication Association’s Speaker and Language Characterization Special Interest Group (ISCA SpLC SIG); a member of ISCA, Sigma Xi, and the Acoustical Society of America; and a fellow of the IEEE.

GEORGE T. DUNCAN is a professor of statistics in the H. John Heinz III School of Public Policy and Management and the Department of Statistics at Carnegie Mellon University. He was on the faculty of the University of California, Davis (1970-1974), and was a Peace Corps volunteer in the Philippines (1965-1967), teaching at Mindanao State University. His current research work centers on information technology and social accountability. He has published more than 50 papers in such journals as Statistical Science, Management Science, Journal of the American Statistical Association, Econometrica, and Psychometrika. He is a current and past recipient of National Science Foundation research funding and has lectured in Brazil, Italy, Turkey, Ireland, Mexico, and Japan, among other places. He chaired the Panel on Confidentiality and Data Access of the National Academy of Sciences (1989-1993), producing the report Private Lives and Public Policies: Confidentiality and Accessibility of Government Statistics. He chaired the American Statistical Association’s Committee on Privacy and Confidentiality. He is a fellow of the American Statistical Association, an elected member of the International Statistical Institute, and a fellow of the American Association for the Advancement of Science. In 1996 he was elected Pittsburgh Statistician of the Year by the American Statistical Association. He has been editor of the Theory and Methods Section of the Journal of the American Statistical Association. He received a B.S. (1963) and an M.S. (1964) from the University of Chicago and a Ph.D. (1970) from the University of Minnesota, all in the field of statistics.

DELORES ETTER is a professor in the Department of Electrical Engineering at the U.S. Naval Academy. Dr. Etter joined the electrical engineering faculty at the United States Naval Academy in August 2001 as the first recipient of the Office of Naval Research Distinguished Chair in Science and Technology. From 1998 to 2001, Dr. Etter served as the Deputy Under Secretary of Defense for Science and Technology. In that position, she was responsible for the Defense Science and Technology strategic planning, budget allocation, program execution, and evaluation for the Department of Defense science and technology program. Prior to that she was a tenured professor in electrical and computer engineering at the University of Colorado from 1990 to 1998 and at the University of New Mexico (UNM) from 1979 to 1989. In 1998, she served as associate vice president for academic affairs at UNM. She also spent a year in the Electrical Engineering Department of Stanford University as a visiting professor in the Information Systems Laboratory. Dr. Etter is a member of the National Academy of Engineering and the National Science Board. Her research interests are in biometrics and digital signal processing. She is also the author of a number of textbooks on computer languages and software engineering.

GEORGE R. FISHER is formerly a chief administrative officer for Prudential-Wachovia, where he led the merger of Prudential Securities into Wachovia in 2002. Prior to joining Prudential, Mr. Fisher

was chief information officer at Fidelity Investments, where he managed technology oversight, consolidating mutual fund and brokerage platforms. Mr. Fisher also spent 16 years at Morgan Stanley, first as a principal for Technical Services Worldwide, transforming manual, low-volume systems into Wall Street leaders; later he became managing director of finance, administration, and operations for Morgan Stanley Asia, restructuring Chinese operations and managing the explosive growth of Asia’s regional markets. He also oversaw the first audit of a foreign securities firm by the Japanese Ministry of Finance. Mr. Fisher earned a B.A. in economics and computer science from the University of Rochester. He has also earned certifications from the National Association of Securities Dealers (Series 3, 7, 63, 24, and 27), the National Association of Corporate Directors (Director of Professionalism), the American Chamber of Commerce in Japan, and the Association of International Education of Japan, earning Level 4 language proficiency.

STEVEN P. GOLDBERG is a professor of law at the Georgetown University Law Center. An expert in law and science, Mr. Goldberg is the author of Culture Clash: Law and Science in America (1996), winner of the Alpha Sigma Nu Book Award, and coauthor of the widely used text Law, Science, and Medicine. He served as a law clerk to D.C. Circuit Court Chief Judge David L. Bazelon and U.S. Supreme Court Justice William J. Brennan, Jr. He also served as an attorney in the General Counsel’s Office of the U.S. Nuclear Regulatory Commission. Mr. Goldberg is a member of the D.C. and Maryland bars and the Section on Science and Technology of the American Bar Association. He received his A.B. from Harvard College and his J.D. from Yale Law School.

PETER T. HIGGINS, founder of Higgins & Associates, International (which he recently merged with ASCG of Nevada to form the Higgins-Hermansen Group, LLC), has 35 years’ experience in the information technology field and has been involved with biometrics since the late 1980s. He is an instructor of biometrics at the University of California, Los Angeles, Extension School. He chaired the International Association for Identification’s AFIS Committee for 5 years and is a well-known consultant in the field of large-scale biometric procurement and testing. In 2002 he joined John Woodward and Nick Orlans in authoring the McGraw-Hill/Osborne book Biometric Identification in the Information Age. Previously he served as deputy assistant director of engineering with the FBI and was the program manager for the FBI’s Integrated Automated Fingerprint Identification System (IAFIS). Prior to this he served in technical, operational, and executive positions with the Central Intelligence Agency. Mr. Higgins received a B.A. in mathematics from Marist College and an M.S. in theoretical math and computer science from Stevens Institute of Technology in Hoboken, New Jersey.

PETER B. IMREY is a member of the Cleveland Clinic Department of Quantitative Health Sciences, teaches in the Clinic’s Lerner College of Medicine of Case Western Reserve University, and is affiliate professor in the Department of Statistics, University of Illinois at Urbana-Champaign. He previously served on the faculties of the Universities of North Carolina (Biostatistics, 1972-1975) and Illinois (Medical Information Science; Statistics; and Community Health, 1975-2002). Dr. Imrey has made research and expository contributions to statistical analysis of categorical data and to diverse health science areas, including meningococcal disease, diet and cancer, and dental data analysis. He has served on editorial boards of three statistical journals and the Encyclopedia of Biostatistics (2nd edition), on numerous federal special study sections and emphasis panels, and on the National Academies’ committee that produced the report The Polygraph and Lie Detection (2003). He has also held major elective posts in the American Statistical Association, the American Public Health Association (APHA), and the International Biometric Society (IBS), including 2005 president of the IBS Eastern North American Region. Dr. Imrey has been honored by APHA’s Statistics Section, and is a fellow of the American College of Epidemiology and a member of Sigma Xi and Delta Omega honorary societies. He received his A.B. in mathematics and statistics from

Columbia University and his Ph.D. in biostatistics from the University of North Carolina at Chapel Hill.

ANIL K. JAIN is a University Distinguished Professor in the Department of Computer Science and Engineering at Michigan State University and was the department chair from 1995 to 1999. His research interests include statistical pattern recognition, exploratory pattern analysis, Markov random fields, texture analysis, three-dimensional object recognition, medical image analysis, document image analysis, and biometric authentication. He received the best paper awards in 1987 and 1991 and was cited for outstanding contributions in 1976, 1979, 1992, 1997, and 1998 from the Pattern Recognition Society. He also received the 1996 IEEE Transactions on Neural Networks Outstanding Paper Award. He is a fellow of the IEEE, the ACM, and the International Association of Pattern Recognition (IAPR). He was the editor in chief of the IEEE Transactions on Pattern Analysis and Machine Intelligence (1991-1994). He has received a Fulbright Research Award, a Guggenheim fellowship, and the Alexander von Humboldt Research Award. Dr. Jain delivered the 2002 Pierre Devijver lecture sponsored by the IAPR. He holds six patents in the area of fingerprint matching and has written or edited three books on biometrics: Handbook of Face Recognition; Handbook of Fingerprint Recognition; and Biometrics: Personal Identification in Networked Society. Dr. Jain was the co-organizer of the NSF workshop on the biometrics research agenda, held in May 2003, and has organized several conferences on biometrics. He received a Ph.D. in electrical engineering from Ohio State University in 1973.

GORDON LEVIN is senior engineer with the Advanced Systems group of Design and Engineering at Walt Disney World in Orlando, where the world’s largest commercial biometric application has been operating since 1997. As a licensed electrical engineer, he is the engineer of record for all physical security system design performed on the 42-square-mile property. Mr. Levin has been a member of the Biometric Consortium Working Group (BCWG) since 1999 and the sole commercial end user to be a participating representative acting under NIST and the NSA to incubate biometric standards for submission to ANSI and the International Organization for Standardization (ISO). In 2002 he was the keynote speaker at the plenary meeting of ISO/IEC Joint Technical Committee 1 Subcommittee 37 on Biometrics. He also participated in the Aviation Security–Biometrics Working Group that was assembled in the wake of 9/11 to report on passenger protection and identity verification. This report was instrumental in the strategic planning for the soon-to-be-formed Transportation Security Administration (TSA) and its plans for adopting biometric technology. Prior to joining Walt Disney World in 1997, Mr. Levin had been a private consultant engineer working in the DOD and commercial sectors in specialized security and electronic system design and construction.

LAWRENCE D. NADEL is a fellow at the Center for Information and Telecommunications Technologies at Mitretek Systems. His current focus is on the requirements for and issues associated with implementing effective and interoperable biometric identification and authentication systems and objective methods for testing and evaluating the performance of these systems. He has provided technical leadership to a variety of national identification and security-related projects for agencies such as the TSA (Airport Access Control Pilot Program), the Department of Defense Biometric Management Office, and the FBI (IAFIS and the Universal Latent Workstation). Dr. Nadel has supported state and local law enforcement and the National Institute of Justice through Mitretek’s Center for Criminal Justice Technology (reference ballistic imaging, the impact of biometric encoded drivers’ licenses on law enforcement, and biometric-based identification credentials for criminal justice and public safety officials). He is coprincipal investigator on a Mitretek-funded research project to assess and develop biometric fusion methods. He chairs Mitretek’s Biometric

Identification Cluster Group, is Mitretek’s tech lead for biometrics, and is a participant in the INCITS-M1 biometrics standards group. He earned a B.S. degree in electrical engineering from Polytechnic University and M.Sc. and Ph.D. degrees in electrical and biomedical engineering from Ohio State University.

JAMES L. WAYMAN is a senior fellow and director of the biometric identification research program of the San Jose State University Research Institute. He served as director of the U.S. National Biometric Test Center in the Clinton administration (1997-2000). He holds four patents in speech processing and is a “principal U.K. expert” (PUKE) on the ISO/IEC standards committee biometrics. Dr. Wayman is a senior member of the IEEE. He was a member of CSTB’s committee that produced Who Goes There? Authentication Through the Lens of Privacy. Dr. Wayman received his Ph.D. degree in engineering from the University of California, Santa Barbara, in 1980.

LYNETTE I. MILLETT is a senior program officer and study director at the Computer Science and Telecommunications Board of the National Academies. She is currently involved in several CSTB projects, including a comprehensive exploration of privacy in the information age, a study on certification and dependable software systems, an assessment of the Social Security Administration’s E-Government Strategy, and an activity on biometrics technologies, among other things. Ms. Millett recently completed a small activity on the topic of radio-frequency identification technologies. She also recently completed a CSTB project that produced Who Goes There? Authentication Technologies and Their Privacy Implications and IDs—Not That Easy: Questions About Nationwide Identity Systems. Before joining CSTB, she worked on static analysis techniques for concurrent programming languages as well as research on value-sensitive design and informed consent online. She has an M.Sc. in computer science from Cornell University along with a B.A. in mathematics and computer science with honors from Colby College. Her graduate work was supported by both an NSF graduate fellowship and an Intel graduate fellowship.

KRISTEN BATCH is an associate program officer with CSTB. She is involved with projects focusing on wireless communication technologies and the work of the Whither Biometrics committee. While pursuing an M.A. in international communications from American University, she interned at the National Telecommunications and Information Administration, in the Office of International Affairs, and at the Center for Strategic and International Studies, in the Technology and Public Policy Program. She earned a B.A. from Carnegie Mellon University in literary and cultural studies and Spanish and received two travel grants to conduct independent research in Spain.

MARGARET MARSH HUYNH, senior program assistant, has been with CSTB since January 1999 supporting several projects. She is currently supporting the projects Wireless Technology Prospects and Policy and Whither Biometrics. She previously worked on the projects that produced Signposts in Cyberspace: The Domain Name System and Internet Navigation; Getting Up to Speed: The Future of Supercomputing; Beyond Productivity: Information Technology, Innovation, and Creativity; IT Roadmap to a Geospatial Future; Building a Workforce for the Information Economy; and The Digital Dilemma: Intellectual Property in the Information Age. Ms. Huynh also assisted with the project Exploring Information Technology Issues for the Behavioral and Social Sciences (digital divide and democracy). She assists on other projects as needed. Before coming to the National Academies, Ms. Huynh worked as a meeting assistant at Management for Meetings, April to August 1998, and as a meeting assistant at the American Society for Civil Engineers from September 1996 to

April 1998. Ms. Huynh has a B.A. (1990) in liberal studies, with minors in sociology and psychology from Salisbury University.