Biometric Eye Model and Ray Tracing for Improved Iris Recognition Goal: Superior Iris Biometric Scanning Technology - Enhanced Recognition of Irises Principal Investigators : Chris Boehnen Hector Santos-Villalobos Lead Division: Electrical and Electronics Systems Res Division Commercialization Manager: Eugene Cochran SPARK, March 25, 2015

2 Presentation name Iris Recognition Method of biometric identification uses pattern-recognition techniques on video images of one or both of the irises of an individual; The iris exhibits complex random patterns that are unique and can be seen from some distance; The key advantages speed of matching resistance to false matches stability of the iris (internal and protected) PROBLEM: Recognition of non-ideal iris images such as off angle images. Performance degrades at 20 degrees off-axis and state-of-the-art systems fail to work entirely at 50 degrees off-axis; – Limits close range and standoff iris recognition applications; – Conventional approaches attempt to solve the problem through modification of the matcher and are technology specific; As a result, they degrade frontal performance to achieve off angle performance.

3 Presentation name Characteristics of Imaging the Iris Visible light reveals rich pigmentation details of an Iris by exciting Melanin, the main coloring component in the iris Even "dark brown" eyes reveal rich iris texture in the NIR band, and most corneal specular reflections can be blocked. Off angle Iris Correction - Performance begins to degrade at 20 degrees off angle and state of the art systems fail to work entirely by 50 degrees Polar to Rectangular Coordinates Most systems nm

4 Presentation name Technology Opportunity - Iris Recognition Iris is one of three biometric identification technologies standardized by International Civil Aviation Organization (ICAO) for use in future passports (the other two are fingerprint and face recognition). Proven accurate and reliable biometric. – Iris patterns are extremely complex. – Patterns are individual (even in fraternal or identical twins). – Patterns are formed by six months after birth, and stable after a year -- they main the same for life. – Imitation is almost impossible. – Patterns are easy to capture and encode. The false-acceptance rate for iris recognition systems is one in 1.2 million (maybe one in a 1B), statistically better than the average fingerprint recognition system. The real benefit is in the false-rejection rate, a measure of authenticated users who are rejected. Fingerprint scanners have a 3% false-rejection rate, whereas iris scanning systems boast rates at the ~0% level. Research on many aspects of iris recognition technology and on alternative methods has exploded, and today there is a rapidly growing academic literature on optics, photonics, sensors, biology, genetics, ergonomics, interfaces, decision theory, coding, compression, protocol, security, mathematical and hardware aspects of this technology. This technology falls into a TRL 5 – Proven concept in laboratory setting. Benchmarking performance data available.

5 Presentation name Invention Off Angle Iris 3D Biological Model with Pupil Dilation Corrected On Angle Iris with Standard Pupil Dilation Project Iris onto Biological Model Render Standardized Representation A new biometric targeted eye model and a method to reconstruct the off-axis eye to its frontal view allowing for recognition using existing methods and algorithms. This allows for existing enterprise level algorithms and approaches to be largely unmodified by using the ORNL work as a pre-processor to improve performance. Four methods perfected and tested.

6 Presentation name Benchmark to Real World Data Note: VeriEye matcher [higher scores are better].

7 Presentation name Technology Leadership - Benefits ORNL Approach Pre-correct images prior to recognition. Compatible with any existing matcher technology. – Ensures cross compatibility with existing deployed systems regardless of vendor Improves performance over state-of-the-art recognition systems. Incorporation of real world effects such as the ‘limbus effect.’ Other methods under development.

8 Presentation name Research and Development Directions Integrate correction for off-axis detection, ‘limbus effect’, and depth of focus in realistic relevant environment with existing systems. Demonstrate improvements in robustness quantify sensitivity and specificity.

9 Presentation name Market Opportunity - Surveillance and Security Equipment Global Market The total market demand for surveillance equipment reached nearly $80 billion in 2011 and $81.3 billion in It will further grow to $127.6 billion by 2017, a compound annual growth rate (CAGR) of 9.4% between 2012 and The industrial/commercial segment totaled $51.8 billion in 2012 and is expected to have a value of $83.8 billion by 2017, a CAGR of 10.1%. The military/government segment reached $10.5 billion in 2012 and is expected to reach $16.5 billion in 2017, a CAGR of 9.5% The global market for biometric technologies is estimated to be $8.7 billion in In 2014, the forecasted revenues will likely reach almost $11.2 billion and $27.5 billion by 2019, demonstrating a compound annual growth rate (CAGR) of 19.8%. The market revenue for automated fingerprint identification system and fingerprint technologies is estimated to reach almost $6.2 billion for 2014 and $15 billion by This market is expected to grow at a CAGR of 19.4% through the forecast period. BCC Research anticipates, the market for face, iris, vein, and voice technologies in 2014, will likely reach $3.3 billion and $9.1 billion by This market is expected to show annual growth of 22.2% between 2014 and Source: BCC Reports

10 Presentation name Market Projections

11 Presentation name Applications National security. Access to secure building. Access to home or personal information. Identification of person of interest. Identify clients to offer products. Police and law enforcement (to identify individuals). e-government services. Personal information and business transactions. Most flagship deployments of these algorithms have been at airports, in lieu of passport presentation, and for security screening using watch-lists.

12 Presentation name Commercialization License Existing Company Acuity System Inc. – TraitWare ID – profile characteristics for enhanced security; Biometronix GMBH – LANCC - integrates different biometric hardware solutions in a common LAN environment; IriScan (a start-up founded by Flom, Safir, and Daugman) – mobile scanners; Iridian Technologies - 2Pi-06′, will improve the already outstanding image capture performance of Iridian’s software in Proof Positive® iris recognition cameras; SRI International – Iris on the Move ® biometric Identification Systems; M2SYS Technology has deployed their RightPatient™ biometric patient identification system using iris recognition at 11 Novant Health hospitals in the Charlotte and Winston-Salem markets; Sensar -Sensar Inc., the Moorestown company whose equipment identifies ATM users by scanning the colored part of the eye, plans to bring the same iris-recognition technology to the teller's window; LG-Iris - LG IrisAccess 4000 series the newest 3rd generation solution; Panasonic - BM-ET330 Iris Recognition Camera; Oki - IRISPASS®-WG Iris Recognition System with Automatic Iris Scanning Function; BI2 - IRIS™ - The Inmate Identification and Recognition System (IRIS) positively identifies inmates and visitors using the most mathematically unique biometric ; IrisGuard – IrisGuard EyeBank cameras, software, and backend servers; Unisys - demonstrated the ability to use multiple iris recognition technologies in a single system. Unisys and EyeTicket Announce Strategic Marketing Alliance for Airline Passenger Processing Systems. Sagem - Sagem Sécurité (SAFRAN Group) is ranked No.1 in face recognition, No.1 in iris recognition and No.1 in combined recognition for these two biometric technologies. Enschede - Enschede has developed iris recognition technology for applications involving proof of identity. Securimetrics - Viisage Technology, Inc. has agreed to acquire privately-held SecuriMetrics, Inc., the manufacturer of the a full- function handheld iris recognition and multi-modal biometric devices, software applications and services. L-1, now owned by French company Morpho - L-1 Iris and Facial Recognition Achieve Top Tier Results in Federal TestingMorpho EyeLock - EyeLock is a leader in iris authentication, provides the highest level of security with EyeLock ID technology.

13 Presentation name Challenges for the Biometric Technologies The customer will have a greater choice of services and products. However, not all vendors or solution providers adopt the same principles, values and standards. End-user training and education is critical. Once consumers have a better understanding of biometrics, they will see the significant improvement in accuracy and convenience that biometrics offers as compared to token-based and password-based identity techniques. The industry needs to address concerns about individual privacy, the accuracy and storage of data, and how the data will be used both now and in the future. Greater international cooperation between the different biometric organizations representing the interests of both users and vendors will also assist in growing opportunities for the industry.

14 Presentation name Available for Licensing

15 Presentation name Contact Name Chris Boehnen Hector Santos-Villalobos Eugene Cochran