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Introduction to Synthesis in Biometrics

Article · May 2007

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April 2, 2007 14:42 World Scientific Review Volume - 9in x 6in Main˙WorldSc˙IPR˙SAB

Chapter 1

Introduction to Synthesis in Biometrics

S. Yanushkevich∗ , V. Shmerko† , A. Stoica‡ , P. Wang§ , S. Srihari¶

Biometric Technology Laboratory: Modeling and Simulation,
University of Calgary, Canada
∗
[email protected]
†
[email protected]

Humanoid Robotics Laboratory, California Institute of Technology,

NASA Jet Propulsion Laboratory, California Institute of Technology,
Pasadena, CA, USA
‡
[email protected]

Image Processing Group, Northeastern University, Boston, MA, USA

§
[email protected], [email protected]

Center of Excellence for Document Analysis and Recognition,

State University of New York at Buffalo, Amherst, NY, USA
¶
[email protected]ffalo.edu

The primary application focus of biometric technology is the verification

and identification of humans using their possessed biological (anatomical,
physiological and behavioral) properties. Recent advances in biometric
processing of individual biometric modalities (sources of identification
data such as facial features, iris patterns, voice, gait, ear topology, etc.)
encompass all aspects of system integration, privacy and security, relia-
bility and countermeasures to attack, as well as accompanying problems
such as testing and evaluation, operating standards, and ethical issues.

Contents
1.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.1.1. Basic Paradigm of Synthetic Biometric Data . . . . . . . . . . . . 7
1.2. Synthetic Approaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.2.1. Image Synthesis . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.2.2. Physics-Based Modeling . . . . . . . . . . . . . . . . . . . . . . . 10

5
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6 Synthesis and Analysis in Biometrics

1.2.3. Modeling Taxonomy . . . . . . . . . . . . . . . . . . . . . . . . . 10

1.3. Synthetic Biometrics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.3.1. Synthetic Fingerprints . . . . . . . . . . . . . . . . . . . . . . . . 10
1.3.2. Synthetic Signatures . . . . . . . . . . . . . . . . . . . . . . . . . 12
1.3.3. Synthetic Retina and Iris Images . . . . . . . . . . . . . . . . . . 13
1.3.4. Synthetic Speech and Voice . . . . . . . . . . . . . . . . . . . . . 16
1.3.5. Gait Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
1.3.6. Synthetic Faces . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
1.4. Examples of Usage of Synthetic Biometrics . . . . . . . . . . . . . . . . . . 20
1.4.1. Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
1.4.2. Databases of Synthetic Biometric Information . . . . . . . . . . . 21
1.4.3. Humanoid Robots . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
1.4.4. Cancelable Biometrics . . . . . . . . . . . . . . . . . . . . . . . . 22
1.4.5. Synthetic Biometric Data in the Development of a New Genera-
tion of Lie Detectors . . . . . . . . . . . . . . . . . . . . . . . . . 22
1.4.6. Synthetic Biometric Data in Early Warning and Detection System
Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
1.5. Biometric Data Model Validation . . . . . . . . . . . . . . . . . . . . . . . 24
1.6. Ethical and Social Aspects of Inverse Biometrics . . . . . . . . . . . . . . . 24
1.7. Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

1.1. Introduction

The typical application scenario of biometric technologies involves the in-

teraction of different levels of physical access control with different levels of
data sensors. The human user of a the biometric system is at the center of
this interaction. The centre in this interaction is the human user of a bio-
metric system. The system must assist the user by providing high quality
biometric data to ensure optimal system operation, e.g. to minimize false
rejection errors or to provide early warning information.
This chapter addresses important questions of protecting against an
attack on biometric systems. It focuses on studying the extent to which
artificial, or synthetic biometric data (e.g. synthesized iris patterns, fin-
gerprint, or facial images) can be useful in this task. Artificial biometric
data are understood as biologically meaningful data for existing biometric
systems. Synthetic biometric data can be useful for:
(a) Testing biometric devices with “variations” or “forgeries” of biometric
data,
(b) Simulation of biometric data on computer-aided tools (decision-making
support, training systems, etc.)
Testing biometric devices is of urgent importance [32,56] and can be
accomplished by providing variations on biometric data mimicking unavail-
able or hard to access data (for example, modeling of badly lit faces, noisy
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Introduction to Synthesis in Biometrics 7

iris images, “wet” fingerprints etc.) Synthetic data can also be used for
“spoofing” biometric devices with “forged” data. We argue that synthetic
biometric data can:
Improve the performance of existing identification systems. This can be
accomplished by using automatically generated biometric data to cre-
ate statistically meaningful sets of data variations (appearance, envi-
ronmental, and others, including “forgeries”).
Improve the robustness of biometric devices by modeling the strategies and
tactics of forgery.
Improve the efficiency of training systems by providing the user-in-training
with the tools to model various conditions of biometric data acquisi-
tion (non-contact such as passive surveillance, contact, cooperative,
non-cooperative), environmental factors (light, smog, temperature),
appearance (aging, camouflage).
Therefore, synthetic biometric data plays an important role in enhancing
the security of biometric systems. Traditionally, security strategies (security
levels, tools, etc.) are designed based on assumptions about a hypothetical
robber or forger. Properly created artificial biometric data provides for
detailed and controlled modeling of a wide range of training skills, strategies
and tactics, thus enabling a better approach to enhancing the system’s
performance. This study aims to develop new approaches for the detection
of attacks on security systems. Figure 1.1 introduces the basic configuration
for inverse biometric problems.

1.1.1. Basic Paradigm of Synthetic Biometric Data

Contemporary techniques and achievements in biometrics are being devel-
oped in two directions:

Analysis for identification and recognition of humans (direct problems)

and
Synthesis of biometric information (inverse problems) (Fig. 1.1).

Note that synthesis also means modeling. In general, modeling is con-

sidered to be an inverse problem in image analysis [9]. However, there are
several differences between synthesis of realistic biometric data and model-
ing used in analysis.
Synthesis of artificial biometric data is the inverse task of analysis, per-
formed as a part of the process of verification and identification. The crucial
point of modeling in biometrics is the analysis-by-synthesis paradigm. This
paradigm states that synthesis of biometric data can verify the perceptual
equivalence between original and synthetic biometric data, i.e. synthesis
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8 Synthesis and Analysis in Biometrics

RECOGNITION AND SYNTHETIC

IDENTIFICATION OF BIOMETRIC DATA
BIOMETRIC DATA GENERATION

BEHAVIORAL
PHYSICAL
MODELS

VISIBAL BAND
IR BAND
ACOUSTIC BAND

DISTANCE
NEAR DISTANCE
CONTACT
MODELS

KNOWLEDGE
DOMAIN
SIGNAL DOMAIN
REPRESENTATION

NON-
CORRELATED
CORRELATED
DATA

Fig. 1.1. Basic tools for inverse biometric problems include facilities for generation of
synthetic data and its analysis.

based feedback control. For example, facial analysis can be formulated as

deriving a symbolic description of a real facial image (Fig. 1.2). The aim of
face synthesis is to produce a realistic facial image from a symbolic facial
expression model [25].

Facial Image analysis

image Facial
processing processing
in symbolic
form
Facial Symbolic
image description
(model)

Image synthesis

Fig. 1.2. Analysis-by-synthesis approach in facial image.

In Table 1.1, the basic terminology of synthetic biometrics is given.

In particular, the term “face reconstruction” indicates a class of prob-
lems aimed at synthesizing a model of a static face. The term “mimics
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Introduction to Synthesis in Biometrics 9

animation” is defined as the process of modeling facial appearance and fa-

cial topology, a behavioral characteristic called facial expression, the visible
result of synthetic emotion.
We consider synthetic single and synthetic multi-biometric data: eyes,
hands, and face are multi-biometric objects because of the different topolo-
gies of the iris and retina of the eye; fingerprints, palmprints, and hand-
geometry; face geometry which is a highly dynamic topological structure
(smile, lip, brow, and eye movements). Synthetic signatures [20], [37], voice,
and ears [21], [22] are examples of synthetic biometrics.
Table 1.1. Direct and inverse problems of biometric technology.

DIRECT PROBLEM INVERSE PROBLEM

Signature identification Signature forgery
Handwriting character recognition Handwritten text forgery
face recognition Face reconstruction and mimics animation
Voice identification and speech recognition Voice and speech synthesis
Iris and retina identification Iris and retina image synthesis
Fingerprint identification Fingerprint imitation
hand geometry identification Hand geometry imitation
Infrared identification infrared image reconstruction
Gait identification Gait modeling
Ear identification Ear-print imitation

1.2. Synthetic Approaches

There are two approaches to synthetic biometric data design [39]:

(a) Image synthesis-based, and

(b) Statistical physics-based.

Both approaches use statistical models in the form of equations based

on underlying physics or empirically derived algorithms, which use pseudo-
random numbers to create data that are statistically equivalent to real
data. For example, in face modeling, a number of ethnic or race models
can be used to represent ethnic diversity, the specific ages and genders of
individuals, and other parameters for simulating a variety of tests.

1.2.1. Image Synthesis

The image synthesis-based approach falls into the area of computer graph-
ics, a very-well explored area with application from forensics (face recon-
struction) to computer animation.
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10 Synthesis and Analysis in Biometrics

In generating physiological biometric objects (faces, fingerprints), the

physics-based approach overlaps with the image-based approach, as it tries
to model visual appearance and the physical properties and topology of the
objects (including physics-based models to control physical form, motion
and illumination properties of materials).

1.2.2. Physics-Based Modeling

Physics-based models attempt to mimic biometric data through the creation
of a pattern similar to that acquired by biometric sensors, using knowledge
of physical processes and sensor measurement.

1.2.3. Modeling Taxonomy

A taxonomy for the creation of physics-based and empirically derived mod-
els for the creation of statistical distributions of synthetic biometrics was
first attempted in [5]. There are several factors affected the modeling bio-
metric data: behavior, sensor, and environmental factors.
Behavior, or appearance, factors are best understood as an indi-
vidual’s presentation of biometric information. For example, a facial image
can be camouflaged with glasses, beards, wigs, make-up, etc.
Sensor factors include resolution, noise, and sensor age, and can be
expressed using physics-based or geometry-based equations. This factor is
also relevant to the skills of the user of the system.
Environmental factors affect the quality of collected data. For exam-
ple, light, smoke, fog, rain or snow can affect the acquisition of visual-band
images, degrading the biometric facial recognition algorithm. High humid-
ity or temperature can affect infrared images. This environmental influence
affects the acquisition of fingerprint images differently for different types of
fingerprint sensors.

1.3. Synthetic Biometrics

1.3.1. Synthetic Fingerprints

Albert Wehde was the first to “forge” fingerprints in the 1920s. Wehde
“designed” and manipulated the topology of synthetic fingerprints at the
physical level. The forgeries were of such high quality that professionals
could not recognize them [11], [33]. Today’s interest in automatic finger-
print synthesis addresses the urgent problems of testing fingerprint identi-
fication systems, training security personnel, biometric database security,
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Introduction to Synthesis in Biometrics 11

and protecting intellectual property [7,60].

Traditionally, two possibilities of fingerprint imitation are discussed with
respect to obtaining unauthorized access to a system: (i) the authorized
user provides his fingerprint for making a copy, and (ii) a fingerprint is taken
without the authorized user’s consent, for example, from a glass surface (a
classic example of spy-work) by forensic procedures.
Cappelli et al. [6,7] developed a commercially available synthetic finger-
print generator called SFinGe. In SFinGe, various models of fingerprints
are used: shape, directional map, density map, and skin deformation mod-
els (Fig. 1.3). To add realism to the image, erosion, dilation, rendering,
translation, and rotation operators are used.

Fig. 1.3. Synthetic fingerprint assembly (growth) generated by SFinGe.

Methods for continuous growth from an initial orientation map, a new

synthesized orientation map (as a recombination of segments of the orien-
tation map)) using a Gabor filter with polar transform (Fig. 1.4) have been
reported in [60]. These methods alone can be used to design fingerprint
benchmarks with rather complex structural features.

Fig. 1.4. Synthetic fingerprint assembly (growth) using a Gabor filter with polar trans-
form.

Kuecken [26] developed a method for synthetic fingerprint generation

based on natural fingerprint formation and modeling based on state-of-the-
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12 Synthesis and Analysis in Biometrics

art dermatoglyphics, a discipline that studies epidermal ridges on finger-

prints, palms, and soles (Fig. 1.5).

(a) (b)

Fig. 1.5. Synthetic 3D (a) and 2D (b) fingerprint design based on physical modeling
(reprinted with permission from Elsevier).

The methods of fingerprint synthesis can also be applied to synthetic

palmprint generation. Note that the generation of synthetic hand topologies
is a trivial problem.

1.3.2. Synthetic Signatures

Current interest in signature analysis and synthesis is motivated by the
development of improved devices for human-computer interaction which
enable input of handwriting and signatures. The focus of this study is the
formal modeling of this interaction [4], [10], [20], [23], [37], [42], [44], [57].
Similarly to signature imitation, the imitation of human handwriting is a
typical inverse problem of graphology. Automated tools for the imitation of
handwriting have been developed. It should be noted that more statistical
data, such as context information, are available in handwriting than in
signatures.
The simplest method of generating synthetic signatures is based on ge-
ometrical models. Spline methods and Bezier curves are used for curve
approximation, given some control points. Manipulations of control points
give variations on a single curve in these methods [47,60].
The following evaluation properties are distinguished for synthetic sig-
natures [60]: statistical, kinematical (pressure, speed of writing, etc.), ge-
ometric, also called topological, and uncertainty (generated images can be
intensively “infected” by noise) properties.
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Introduction to Synthesis in Biometrics 13

An algorithm for signature generation based on deformation has been

introduced in [37]. Hollerbach [23] has introduced the theoretical basis of
handwriting generation based on an oscillatory motion model. In Holler-
bach’s model, handwriting is controlled by two independent oscillatory mo-
tions superimposed on a constant linear drift along the line of writing.
There are many papers on the extension and improvement of the Holler-
bach model.
To generate signatures with any automated technique, it is necessary
to consider: (a) the formal description of curve segments and their kine-
matical characteristics, (b) the set of requirements which should be met by
any signature generation system, and (c) possible scenarios for signature
generation.
Various characteristics are used in so-called off-line (static) analysis and
on-line (kinematic) analysis of the acquired signature.
A model based on combining shapes and physical models in synthetic
handwriting generation has been developed in [57]. The so-called delta-
log normal model was developed in [42]. This model can produce smooth
connections between characters, but can also ensure that the deformed
characters are consistent with the models. In [10], it was proposed to
generate character shapes by Bayesian networks. By collecting handwriting
examples from a writer, a system learns the writers’ writing style.
An example of a combined model based on geometric and kinematic
characteristics (in-class scenario) is illustrated by Fig. 1.6.

Fig. 1.6. In-class scenario: the original signature (left) and the synthetic one (right),
courtesy of Prof. D. Popel, Baker University.

1.3.3. Synthetic Retina and Iris Images

Iris recognition systems scan the surface of the iris to compare patterns [13].
Retina recognition systems scan the surface of the retina and compare nerve
patterns, blood vessels and such features. To the best of our knowledge,
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14 Synthesis and Analysis in Biometrics

automated methods of iris and retina image reconstruction, or synthesis

have not been developed yet, except for an approach based on generation
of iris layer patterns [47,60].
Iris pattern painting has been used by ocularists in manufacturing glass
eyes or contact lenses for sometime. The ocularist’s approach to iris syn-
thesis is based on the composition of painted primitives, and utilized lay-
ered semi-transparent textures built from topological and optic models [27].
These methods are widely used by today’s ocularists: vanity contact lenses
are available with fake iris patterns printed onto them (designed for people
who want to change eye colors). Other approaches include image process-
ing and synthesis techniques such as PCA combined with super-resolution
[13], and random Markov field [46].
A synthetic image can be created by combining segments of real images
from a database. Various operators can be applied to deform or warp the
original iris image: translation, rotation, rendering etc. Various model of
the iris, retina, and eye can be used to improve recognition, and can be
found in [8,34,48]. In [2], a cancelable iris image design is proposed for
the problem as follows. The iris image is intentionally distorted to yield
a new version. For example, a simple permutation procedure is used for
generating a synthetic iris.
An alternative approach is based on synthesis of patterns of the iris
layers [60] followed by superposition of the layers and the pupil (black
centre).
Below is an example of generating posterior pigment epithelia of the
iris using the Fourier transform on a random signal. A fragment of the
FFT signal is interpreted as a grey-scaled vector: the peaks in the FFT
signal represent lighter shades and valleys represent darker shades. This
procedure is repeated for other fragments as well. The data plotted in 3D,
a 2D slice of the data, and a round image generated from the slice using
the polar transform, are shown in Fig. 1.7.
Other layer patterns can be generated based on wavelet, Fourier, polar,
and distance transforms, and Voronoi diagrams [60]. For example, Fig. 1.8
illustrates how a synthetic collarette topology has been designed using a
Bezier curve in a cartesian plane. It is transformed into a concentric pat-
tern, and superimposed with a random signal to form an irregular boundary
curve.
Superposition of the patterns of various iris layers form a synthetic iris
pattern. Figure 1.9 illustrates three different patterns obtained by this
method.
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Introduction to Synthesis in Biometrics 15

Fig. 1.7. A 3D grey-scale interpretation of the Fourier transform of a random signal,

a slice of this image and the result of polar transform for a synthetic posterior pigment
epithelia of the iris

Fig. 1.8. Synthetic collarette topology modelled by Bezier curves and a randomly gen-
erated curve.

Fig. 1.9. Synthetic iris patterns.

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16 Synthesis and Analysis in Biometrics

1.3.4. Synthetic Speech and Voice

Synthetic speech and voice have evolved considerably since the first exper-
iments in the 1960s. New targets in speech synthesis include improving
the audio quality and the naturalness of speech, developing techniques for
emotional “coloring” [12,16,52,58], and combining it with other technolo-
gies, for example, facial expressions and lip movement [16,38,58]. Synthetic
voice should carry information about age, gender, emotion, personality,
physical fitness, and social upbringing. A closely related but more compli-
cated problem is generating a synthetic singing voice for training singers,
studying the famous singers’ styles, and designing synthetic user-defined
styles combining voice with synthetic music.

1.3.5. Gait Modeling

Gait recognition is defined as the identification of a person through the pat-
tern produced by walking [14,35]. The potential of gait as a biometric was
encouraged by the considerable amount of evidence available, especially in
biomechanics literature [51,41]. A unique advantage of gait as biometrics
is that it offers potential for recognition at a distance or at low resolution,
when other biometrics might not be perceivable. As gait is behavioural
biometrics there is much potential for within-subject variation [3]. This
includes footwear, clothing and apparel. Recognition can be based on the
(static) human shape as well as on movement, suggesting a richer recogni-
tion cue. Model-based techniques use the shape and dynamics of gait to
guide the extraction of a feature vector.
Gait signature derives from bulk motion and shape characteristics of the
subject, articulated motion estimation using an adaptive model and motion
estimation using deformable contours; examples of all of these processes can
be seen in Fig. 1.10.
The authors of [61] propose to use the gait biometrics in the pre-screened
area of a security system.

1.3.6. Synthetic Faces

Face recognition systems detect patterns, shapes, and shadows in the face.
The reverse process — face reconstruction — is a classical problem of crim-
inology.
Many biometric systems are confused when identifying the same person
smiling, aged, with various accessories (moustache, glasses), and/or in badly
lit conditions (Fig. 1.11). Facial recognition tools can be improved by train-
ing on a set of synthetic facial expressions and appearance/environment
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Introduction to Synthesis in Biometrics 17

(a) (b) (c) (d)

Fig. 1.10. Parameter extraction in gait model: shape estimation (a), period estimation
(b), adaptive model (c), and deformable countours (d), courtesy of Prof. M. Nixon,
University of Southampton, UK.

variations generated from real facial images.

Fig. 1.11. Modeling of facial accessories, aging, drunk, and a badly lit faces.

A face model is a composition of various sub-models (eyes, nose, etc.)

The level of abstraction in face design depends on the particular application.
Traditionally, at the first phase of computer aided design, a generic (master)
face is constructed. At the next phase, the necessary attributes are added.
The composition of facial sub-models is defined by a global topology and
generic facial parameters. The face model consists of the following facial
sub-models: eye (shape, open, closed, blinking, iris size and movement,
etc.), eyebrow (texture, shape, dynamics), mouth (shape, lip dynamics,
teeth and tongue position, etc.), nose (shape, nostril dynamics), and ear
(shape). Figure 1.12 illustrates one possible scheme for automated facial
generation [60].
Usage of databases of synthetic faces in a facial recognition context has
been reported in [55].
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18 Synthesis and Analysis in Biometrics

Texture Texture
Ear Ear
Nose Nose
Lips Lips
Mouth Mouth

Brow Brow
Eye Eye
primitive composition

LIBRARY OF MASTER
PRIMITIVES MODEL SYNTHESIZER

Fig. 1.12. Partitioning of the face into regions in the model for facial analysis and
synthesis.

1.3.6.1. Animation as Behavioral Face Synthesis

An example of a direct biometric problem is identifying speech given a video
fragment without recorded voice. The inverse problem is mimicry synthesis
(animation) given a text to be spoken (synthetic narrator) [37,52,58]. Be-
havioral biometric information can also be used in evaluation of the truth
in answers to questions, or the truth of a person speaking [17].
Facial expressions are formed by about 50 facial muscles that are con-
trolled by hundreds of parameters. Psychologists distinguish two kinds of
short-time facial expressions: controlled and non-controlled facial expres-
sions [40]. Controlled expressions can be fixed in a facial model by gen-
erating control parameters, for example, a type of smile. Non-controlled
facial expressions are very dynamic and are characterized by short time
durationsa . The difference between controlled and non-controlled facial ex-
pressions can be interpreted in various ways. The example below illustrates
how to use short-term facial expressions in practice.
In Fig. 1.13, a sample of two images taken two seconds apart shows the
response of a person to a question [60]. The first phase of the response is
a non-controlled facial expression that is quickly transformed into another
facial expression corresponding to the control face. The facial difference of
topological information ∆, for example, in mouth and eyebrow configura-
tions, can be interpreted by psychologists based on the evaluation of the
first image as follows

a Visual pattern analysis and classification can be carried out in 100 msec and involves a

minimum of 10 synaptic stages from the retina to the temporal lobe (see, for example,
Rolls ET. Brain mechanisms for invariant visual recognition and learning, Behavioural
Processes, 33:113–138, 1994.
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Introduction to Synthesis in Biometrics 19

 
 Irritation;  Unexpectedness;
Mouth = Aggression; Brows = Astonishment;
 
Discontent. Embarrassment.

Decision making is based on analysis of facial expression change while

the person listens and responds to the question. More concretely, the local
facial difference is calculated for each region of the face that carries short-
term behavioural information. The local difference is defined as a change in
some reliable topological parameter. The sum of weighted local differences
is the global facial difference.

Decision making

'Information = < information at subconscious level >

 < information at deliberated s level >

Subconscious level Deliberated level

Non-controlled facial Controlled facial

expression expression

Psychological information

Fig. 1.13. The controlled and non-controlled phases of facial expressions.

1.3.6.2. Caricature as Synthetic Face

Caricature is the art of making a drawing of a face which makes part of its
appearance more noticeable than it really is, and which can make a person
look ridiculous. A caricature is a synthetic facial expression, where the
distances of some feature points from the corresponding positions in the
normal face have been exaggerated (Fig. 1.14).
Exaggerating the Difference from the Mean (EDFM) is widely accepted
among caricaturists to be the driving factor behind caricature generation.
The technique of assigning these distances is called a caricature style, i.e. the
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20 Synthesis and Analysis in Biometrics

Fig. 1.14. Three caricatures automatically synthesized given some parameters.

art-style of the caricaturist. The reason why the art-style of the caricaturist
is of interest for image analysis, synthesis, and especially facial expression
recognition and synthesis is as follows [19,28]. Facial caricatures incorporate
the most important facial features and a significant set of distorted features.
Some original features (coordinates, corresponding shapes, and the total
number of features) in a caricature are very sensitive to variation, however
the rest of the features can be distorted significantly. Restoration of a facial
image based on caricatures is an inverse problem itself [29]. Various benefits
are expected in identification, recognition and matching techniques, if the
art-style of the caricaturist can be understood.

1.3.6.3. Synthetic Emotions and Expressions

Synthetic emotions and expressions are more sophisticated real world ex-
amples of synthesis. People often use their smile to mask sorrow, or mask
gladness with a neutral facial expression. Such facial expressions can be
thought of as artificial or synthetic in a social sense. Facial topologies are
carriers of information, that is, emotions. Visual-band images along with
thermal (infrared) images can be used in this task [38,54]. These results
have been used, in particular, in a new generation of lie detectors [17,43].

1.4. Examples of Usage of Synthetic Biometrics

In this section, we consider several problems where synthetic data is useful.

1.4.1. Testing
The commercially available synthetic fingerprints generator [6,7] has been
used, in particular, in the Fingerprint Verification Test competition
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Introduction to Synthesis in Biometrics 21

since 2003. An example of a tool used to create databases

for fingerprints is SFinGe, developed at the University of Bologna
(http://bias.csr.unibo.it/research/biolab/sfinge.html). The generated
databases were entered in the Fingerprint Verification Competition
FVC2004 and performed just as well as real fingerprints [18].

1.4.2. Databases of Synthetic Biometric Information

Collection of large databases of biometric data, such as fingerprints, is trou-
blesome for many researchers due to the protection of personal information.
Imitation of biometric data allows the creation of databases with tailored
biometric data without expensive studies involving human subjects [59].
Usage of databases of synthetic faces in a facial recognition context has
been reported in [55].
A simulator of biometric data is understood as a system for modeling
specific conditions of intake and processing of biometric data. An exam-
ple of such a system is a simulator for training bank officers (supported
by signature imitation and handwriting character imitation), or a simula-
tor for training customs officers (supported by a signature imitator, face
imitator, and fingerprint imitator) [59]. The multi-biometric system con-
stitutes the core of the simulator. It provides the user identification based
on the traditional methods of biometrics. This basic configuration inherits
all the pitfalls of current biometric systems. In the development of training
simulators, such infrastructure can be configured to meet specific customer
requirements.
It is difficult to satisfy the requirements of different standard testing
methodologies because of the limited set of standard tests. Hence, devel-
oping a methodology for generating biometric tests (standard as well as
special customer requirements) is an urgent problem.

1.4.3. Humanoid Robots

Humanoid robots are anthropomorphic robots (have human-like shape)
that include also human-like behavioral traits. The field of humanoid
robotics includes various challenging direct and inverse biometrics. Ex-
amples include:

Language technologies such as voice identification and synthesis, speech-to-

text (voice analysis) and text-to-speech (voice synthesis)
Face and gesture recognition, to recognize and obey the “master”, also to
recognize the “moods” of the instructor, following of cue and to act
intelligently depending on the mood context.
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22 Synthesis and Analysis in Biometrics

Vision, hearing, olfaction, tactile, (implemented through artificial retinas,

e-nose, and e-tongue, etc.) provide senses analogous to those of hu-
mans, and allow the robot an analysis of the world and humand with
whom it interacts.

On the other hand, in relation to inverse biometrics, robots at-

tempt to generate postures, poses, face expressions to better communi-
cate their human masters (or to each other) the internal states [53]).
Robots such as Kismet express calm, interest, disgust, happiness, sur-
prise, etc. (see (MIT, http://www.ai.mit.edu/projects/humanoid-robotics-
group/kismet/). More advanced aspects include dialogue and logical rea-
soning similar to those of humans. As more robots would enter our society
it will become useful to distinguish them among each other by robotic bio-
metrics.

1.4.4. Cancelable Biometrics

The issue of protecting privacy in biometric systems has inspired the area
of so-called cancelable biometrics. It was first initiated by the Exploratory
Computer Vision Group at IBM T.J. Watson Research Center and pub-
lished in [2]. Cancelable biometrics aim to enhance the security and pri-
vacy of biometric authentication through generation of “deformed” biomet-
ric data, i.e. synthetic biometrics. Instead of using a true object (finger,
face), the fingerprint or face image is intentionally distorted in a repeatable
manner, and this new print or image is used. If, for some reason, the old
print or image is “stolen”, an essentially “new” print can be issued by sim-
ply changing the parameters of the distortion process. This also results in
enhanced privacy for the user since his true print is never used anywhere,
and different distortions can be used for different types of accounts.

1.4.5. Synthetic Biometric Data in the Development of a

New Generation of Lie Detectors
The features of the new generation of lie detectors include [17,43,60]: (a)
Architectural characteristics (highly parallel configuration), (b) artificial
intelligence support of decision making, and (c) New paradigms (non-
contact testing scenario, controlled dialogue scenarios, flexible source use,
and the possibility of interaction through an artificial intelligence supported
machine-human interface). The architecture of the new generation of lie de-
tectors includes (Fig. 1.15): an interactive machine-human interface, video
and infrared cameras, and parallel hardware and software tools.
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Introduction to Synthesis in Biometrics 23

Tested person

Digital image Infrared image Voice Test

questions

Analysis digital image and infrared EXPERT

images

Artificial Test question generation Decision

intelligence
support Automated decision making making

Fig. 1.15. The next generation of non-contact lie detector system.

1.4.6. Synthetic Biometric Data in Early Warning and

Detection System Design
The idea of modeling biometric data for decision making support enhance-
ment at checkpoints is explored, in particular, at the Biometric Technolo-
gies Laboratory at the University of Calgary (http://enel.btlab.ucalgary.ca)
[61]. A facial model of a tested person is captured, and can be manipu-
lated to mimic changes in visual and infrared bands caused by physiologi-
cal changes during the questioning period. These can be compared against
generic models of change based on statistical data. This approach can also
be used to train personnel involved in questioning procedures. The decision
making support system utilizes synthetic models for modeling of biometric
data to support decision making.
Simulators of biometric data are emerging technologies for educational
and training purposes (immigration control, banking service, police, jus-
tice, etc.). They emphasize decision-making skills in non-standard and
extreme situations. For instance, the simulator for immigration control of-
ficer training must include various scenarios of generation of biometric data.
This information is the system’s input data. The system then analyzes the
current biometric data (collates the passport photo with the present image,
verifies signatures, analyzes handwriting, etc.).
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24 Synthesis and Analysis in Biometrics

1.5. Biometric Data Model Validation

Data generated by various models are classified as acceptable or unaccept-

able for further processing and use in various applications. The application-
specific criteria must provide a reasonable level of acceptability. Accept-
ability is defined as a set of characteristics which distinguish original and
synthetic data. A model that approximates original data at reasonable lev-
els of accuracy for the purpose of analysis is not considered a generator of
synthetic biometric information.
Artificial biometric data must be verified for their meaningfulness. Sta-
tistical model verification is accomplished by solving the equations that
describe physics-based models, and obtaining the correct values. Model
validation must prove if the equations that describe the model are right.
Comparing the statistical distributions of real biometrics to the statistical
distributions from empirical and physics-based models for a wide range of
operational conditions validates these models for the range of conditions
provided by the real biometric samples [30]. A simple method for validat-
ing these distributions is via visual comparison of overlapped distributions.
For example, Daugman used plots for comparing the hamming distances
for 9.1 million iris comparisons to the Beta-binomial distribution, showing
that the data fit the distribution remarkably well [15].
The MITRE research project [39] used synthetically generated faces to
better understand the performance of face recognition systems. If a person’s
photo in the system’s database was taken 10 years ago, is it possible to
identify the person today? A pose experiment was also conducted with
synthetic data to isolate and measure the effect of camera angle in one-
degree increments.
The modeling technique will provide an effective, more structured basis
for risk management in a large biometric system. This will help users choose
the most effective systems to meet their needs in the future.

1.6. Ethical and Social Aspects of Inverse Biometrics

Ethical and social aspects of inverse biometrics include several problems, in

particular, the prevention of undesirable side-effects, and targeting of areas
of social concern in biometrics. Prevention of undesirable side effects aims
at studying the potential negative impacts of biometrics, as far as important
segments of society are concerned, and how can these be prevented. The
undesirable ethical and social effects of the solutions of inverse biometrics
have not been studied yet. However, it is possible to predict some of them.
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Introduction to Synthesis in Biometrics 25

The particular examples of negative impact of synthetic biometrics are as

follows:

(a) Synthetic biometric information can be used not only for improving the
characteristics of biometric devices and systems, but also can be used
by forgers to discover new strategies of attack.
(b) Synthetic biometric information can be used for generating multiple
copies of original biometric information.

1.7. Conclusion

The concept of inverse biometrics arose from the analysis-by-synthesis

paradigm, and has become an integral part of the modeling and simula-
tion of human biometrics in many applications. Data generated by various
models are used as databases (for example, databases of synthetic finger-
print) of synthetic biometrics for testing biometric hardware and software.
The other application is biometric-based decision making support systems
for security, banking, and forensic applications. A generator of synthetic
biometric information (for example, an aging or surgically changed face),
is a vital component of such systems. Yet another recently emerging appli-
cation is the creation of simulators for training highly qualified personnel
in biometric-based physical access control systems such as airport gates,
hospital registration, and others. The ability to increase the reliability and
accuracy of these systems while probing their vulnerabilities under numer-
ous environmental conditions is critical, as biometrics becomes an essential
part of law enforcement and security communities.

Acknowledgment

The authors acknowledge the help and suggestions of Dr. M. S. Nixon and
Dr. D. J. Hurley.

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