Technology behind Aadhaar

Unique Identification Authority of India www.uidai.gov.in Tampa, 20th September 2012

Agenda
Aadhaar at a Glance Technology Strategy Architecture Enrollment
Process Status

Authentication
Fingerprint PoC Iris Poc

Conclusions

Aadhaar at a Glance Technology Strategy Architecture Enrollment

Process Status

Authentication
Fingerprint PoC Iris Poc

Conclusions

India
1.2 billion residents
640,000 villages, ~60% lives under $2/day ~75% literacy, <3% pays Income Tax, <20% banking ~800 million mobile, ~200-300 mn migrant workers

Govt. spends about $60 bn annually on direct subsidies/payments

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Vision
Create a common national identity for every resident
Biometric backed identity to eliminate duplicates Verifiable online identity for portability

Applications ecosystem using open APIs

Aadhaar enabled bank account and payment platform Aadhaar enabled electronic, paperless KYC

Issue unique IDs

UID Unique number Random number
Name Parents Gender DoB PoB Address

Basic demographic data and biometrics stored centrally

UID = 1568 3647 4958 6218

Standardized identity attributes

No duplicates(1:N check)

Flexibility to partners on Know Your Resident (KYR)+

Central UID database

Property of UIDAI - Highly confidential

 and authenticate IDs online, real-time

Authentication - Are you who you claim to be?

UID = 1568 3647 4958 6218

Central UID database

1:1 check, no ID fraud

Only YES/NO response, no details no invasion of privacy Person can see self-details, no one else can
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Context of UIDs in India Technology Strategy Architecture Enrollment

Process Status

Authentication
Fingerprint PoC Iris Poc

Conclusions

Consultation & Standards

Biometric Standards Demographic data standards and verification procedure Process (90 days)
Representation from agencies, academic and industry Standardization on modalities and data formats

PoC to Determine Enrollment Process

Three states, 10s of villages Rural areas emphasized Data collected in 2 sessions from 75K people Capture time is 4 min. Spread is 50% Social customs are not a major problem Zero FTE is possible De-duplication of 1.2 B possible through 10 finger prints and dual irises

Biometric Strategy
Multi-modal: Improve de-duplication accuracy using multiple modalities
10 Fingerprint, 2 Iris, Face

Multi-Vendor
Risk Mitigation
No Vendor Lock-in

Vendors compete for volume allocation

Performance Accuracy

Overall Strategy
Best of breed through standards & open source Sourcing from multiple suppliers Leverage market forces for technology improvement Create national standards wherever necessary through extensive consultation Build eco-system
Device certification Operator certification Empanelment of enrollment agencies IT and other suppliers training for state level reengineering apps

Conduct field test to validate assumptions

Technology Stack
Multi-platform client All 3rd party interfaces abstracted through standard API layer (VDM, ABIS, Language Support, Linux with virtualization at OS layer MySQL as RDBMS Java application Apache Hadoop (HDFS, Hive, Pig, etc.) stack for large scale compute and distributed storage RabbitMQ (AMQP standard) as messaging framework Drools for rules engine Several other open source libraries

Context of UIDs in India Technology Strategy Architecture Enrollment

Process Status

Authentication
Fingerprint PoC Iris Poc

Conclusions

Architecture Principles
Design for scale
Every component needs to scale to large volumes Millions of transactions and billions of records Accommodate failure and design for recovery

Open architecture
Use of open standards to ensure interoperability Allow the ecosystem to build libraries to standard APIs Use of open-source technologies wherever prudent

Security
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End to end security of resident data Use of open source Data privacy handling (API and data anonymization)

Designed for Scale

Horizontal scalability for all components
Open Scale-out is the key Distributed computing on commodity hardware Distributed data store and data partitioning Horizontal scaling of data store a must! Use of right data store for right purpose

No single point of bottleneck for scaling Asynchronous processing throughout the system
Allows loose coupling various components Allows independent component level scaling
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Open Architecture
Aadhaar Services
Core Authentication API and supporting Best Finger Detection, OTP Request APIs New services being built on top

Aadhaar Open Standards for Plug-n-play

Biometric Device API Biometric SDK API Biometric Identification System API Transliteration API for Indian Languages
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Open Standards & specs

Open Source
Hadoop HBase MySQL Mongo DB RabbitMQ BI: Hive

Biometric Standards
ISO 19794-X CBEFF MINEX IREX PIV - FP

UID Specifications
Enrolment Device Authentication Device

Security & Data Privacy

Encryption of Enrollment Packet
Decrypted packet never stored on disk Biometric images archived logically offline Data anonymized from ABIS vendors
Only store templates and not raw images

Data Centre Security DMZ, firewalls, IDS, IPS

Context of UIDs in India Technology Strategy Architecture Enrollment

Process Status

Authentication
Fingerprint PoC Iris Poc

Conclusions

Enrollment Process

Enrollment process
Demographic Data
Compulsory data: Name, Age/Date of Birth, Gender and Address of the resident. Conditional data: Parents/Guardian details Optional data: Phone no., email address
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Biometric Data
Residents Photograph

Residents Finger Prints

Residents Iris

# Provision of Exception handling

NOC for Enrolment Monitoring

UID Middleware
Standardization of the ABIS interface Highly distributed, concurrent, fault tolerant architecture Continuous unit and accuracy testing on the production system
Test using real data (probes representative) No information is provided to ABISs to distinguish probes from real data Continuous testing of data integrity

System management, monitoring and diagnostics

99.943%

 600 to 800 million UIDs in 4 years

1 million a day 200+ trillion matches every day!!!

Enrolment Volume

~5MB per resident

Maps to about 10-15 PB of raw data (2048-bit PKI encrypted!) About 30 TB I/O daily Replication and backup across DCs of about 5+ TB of incremental data every day Lifecycle updates & new enrolments will continue for ever

Additional process data

Several million events on an average moving through async channels (some persistent and some transient) Needing complete update and insert guarantees across data stores

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Enrolments happening all over the country

Represents geographies with registered stations

60,000+ active Enrolment stations

60+ registrars - State Governments, Banks, India Post, Financial Institutions etc

Enrollment Devices Today

Cost reduction
Enrollment Station
> 50% price reduction to $2,000

Slap scanner and Dual eye Iris camera

From >$2,000 to $600 average

Zero FTE is achievable Device innovation

Hot swappable, UNIX/Windows support

Enrollment Quality - Definitions

Methodology
Quality metrics embedded in enrollment packet Face: ICAO-- (slightly relaxed) FP: Poor quality when there is at least one finger with NFIQ >3 in each of three slaps (4, 4, 2) Iris: Poor quality when Irisness score < 50 (proprietary)

Enrolment Quality - Results

Govt. Policy - everyone must be enrolled ie FTE=0% Biometric FTE: 0.14% (no FP & Iris captured) Poor Quality FP & Iris: 0.23% Poor Quality
FP: 2.9%, Iris: 3.0%

Analysis & Interpretation

Multiple modality improves FTE by 10 to 25x
Quality is comparable to Western results despite
Diverse demographic Effect of manual labor (FP)

Good biometric obtainable from 5 yrs age

Senior population difficult but still feasible

Multi ABIS Multimodal Results

FPIR
Probe size: 4M False rejects: 2,309

FNIR
Probe size: 32,000 False accept: 11

FPIR: 0.057% FNIR: 0.035%

@ Gallery = 84 Million

NIST 7112 Ten FP Results

FPIR: 0.035% @ Gallery= 1 Million

Multiple modality provides similar accuracy for 100X larger gallery

De-duplication Conclusion
Competitive advantage of using 3 ABIS & SDKs

Continuous FPIR/FNIR measurements Possible to maintain low FPIR/FNIR over wide range of gallery size

Context of UIDs in India Technology Strategy Architecture Enrollment

Process Status

Authentication
Fingerprint PoC Iris Poc

Conclusions

Authentication

YES
Name, gender, DoB, Age, Address, Mobile, Email,

OR

NO

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Why is Biometric Authentication challenging?

Inclusiveness
Cant deny benefits.

Diverse subjects
Manual labor Senior and children benefit programs

Interoperability under open architecture

Enrollment done using 11 different devices 30+ single FP scanners & extractors 8+ iris mobile cameras

Mobile GPRS network Variety of applications 1st in the world to operate on-line Auth.

Thumb: Enrollment & Verification

Slap Scanner for enrolment Single Finger Auth Device

Proof of Concepts
9 PoC over 12 months across India 50,000+ subjects Study
Coverage or FTE Devices # of fingers, # of eyes Image quality Demography Network, mobility

Proof of Concept
Scenario
Conducted in the real field environment Real subjects representing local demography Production system & network

Technology
17 distinct scanner models Every resident verifies on ALL devices Images captured at source

3,000 subjects Best Finger Detection - BFD

Throughput Performance
10 million authentications in 10 hours Average response time around 200 milliseconds or 295 concurrent requests/sec. Performance test environment consisted of
15 blade servers including database servers, biometric matching servers, messaging server, caching servers, and audit logging servers. Configuration: x86 Linux dual CPU 6-core.

FP Conclusions
Achievable Accuracy (for 98.2% of population)
FRR < 1% with two best finger fusion FRR < 2.5% with one best finger

Device Certification
More selective devices improve FRR by 2X Placement guide can also improve FRR materially PIV compliance insufficient indicator FAP 20 very useful

Field accuracy test should be part of device certification Throughput of 1M/hr is easily achievable

Context of UIDs in India Technology Strategy Architecture Enrollment

Process Status

Authentication
Fingerprint PoC Iris Poc

Conclusions

Proof of Concept- iris

Objective- the feasibility of using iris modality for online authentication Coverage/ Accuracy/Readiness

Set-up
4 single eye, 4 dual-eye cameras Every resident verifies on ALL devices Production system & network 5,000 subjects semi-rural location
Poc
9 83 8

2X Seniors

6-15 years

Mysore

18

77

16-65 years 66 and above

India
0%

18

78

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Coverage
Single-eye cameras
3.32
0.79
Authenticated in first try

Dual-eye cameras 0.11 0.6

95.89

Authenticated in multiple tries Failed (FTC+FRR)

99.29

Over 99.5% population coverage is possible for on-line iris authentication

50% of Failures (FRR, FTC) due to

Intra Capsular Cataract Extraction (ICCE) & Other types of surgery Special eye conditions

Accuracy
Auth mode Single eye camera Dual eye camera Single eye 96.21% N/A

Two eye

99.54%

99.73%

High accuracy is possible using both single eye and dual eye cameras Use of second IRIS improves accuracy by 3%

Flat Error Curve (DET)

Iris DET (2 Iris, 2 Attempts)
1.00% Single IRIS Camera 0.80% 0.60% Dual IRIS Camera

FRR

0.46% 0.40% 0.20% 0.00% 1.00E-06 1.00E-05 1.00E-04 1.00E-03 0.34%

0.33%

0.31%

0.27%

0.23%

0.22%

0.21%

FAR

Uniquely suitable for high security application

Age Distribution
Age wise DET Curves (2 Iris, 2 Attempts)
1.20% 1.00% 1.06%

0.80%

0.87%

0.84%

0.81%

< 15

FRR

0.60%

15-60

0.40%

0.29% 0.22% 0.21% 0.20%

>60

0.20% 0.19% 0.00% 1.00E-06 1.00E-05 1.00E-04 1.00E-03 0.14% 0.14% 0.14%

FAR

Overall accuracy is > 98.94% for all age categories. Children performed best, followed by adults & seniors

Observations
Two irises authentications provide significant improvement in accuracy and coverage over one iris. Second attempt only marginally improves accuracy. Focus, motion blur or gaze not a major source of false rejects (Matcher 2 seemed to compensate for it)

Device Observations
Device ergonomics affects Better capture aid for operator and residents can significantly improve image capture
Actionable feedback visual aid (LCD on camera, slit for operator for focus) Appropriate visible light source cameras that block ambient light .

Improved capture algorithm for special eye conditions KIND 7 image formats

Iris Conclusions
Over 99.5% population coverage is possible for on-line iris authentication. True accept rate of over 99% is possible Failure : Due to eye surgery (ICCE) (<0.3%) Devices
Both single eye and dual-eye work Easy to train, easy to use Further improvement through capture aids

Median transaction time < 60 seconds Throughput of 1M/hr is easily achievable

Feasibility of FP or Iris authentication

Clearly viable in Indian context High (> 98%) coverage and >99% accuracy achievable with 2 fingers or irises. Variety of devices available Iris suitable for children and high security (low FAR) apps. Median Transaction time < 60 secs. 1M/ hour sustained rate easy to achieve Capture can be improved through capture aids.

Context of UIDs in India Technology Strategy Architecture Enrollment

Process Status

Authentication
Fingerprint PoC Iris Poc

Conclusions

Biometric Challenges
Conclusive quality measures at capture point
Quality @collection point is everything

Fraud detection techniques Reissue/revocation of biometric credential Matching algorithm

FP matcher tuning by age group Iris capture matcher for special eye conditions

Conclusions
Standardize for vendor and technology neutrality
Process standards Technology standards (APIs) and certification Multi-vendor , multi-modal approach Use of open source

Ecosystem approach to scaling Security and privacy by design Data driven analytics for transparency and continuous improvement
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Thank You