TOPIC/THESIS AND OUTLINE RUBRIC Description

BIOMETRICS IN THE UNITED STATES: BALANCING PRIVACY, SECURITY,

AND ACCESSIBILITY

A Master Thesis

Submitted to the Faculty

of

American Military University

by

YOUR NAME

In Partial Fulfillment of the

Requirements for the Degree

of

Master of Science

May 2014

American Military University

Charles Town, WV

BIOMETRICS IN THE UNITED STATES ii

The author hereby grants the American Public University System the right to display these

contents for educational purposes.

The author assumes total responsibility for meeting the requirements set by United States

copyright law for the inclusion of any materials that are not the author’s creation or in the public

domain.

© Copyright 2014 by Joshua Dale Brandt

All rights reserved.

BIOMETRICS IN THE UNITED STATES iii

DEDICATION

I dedicate this thesis to my parents, wife, and dogs. I could not have completed this work

without their patience, understanding, support, and encouragement. I owe all of them some time

and attention that has been deferred while I have worked on this study.

BIOMETRICS IN THE UNITED STATES iv

ACKNOWLEDGMENTS

XXXX

BIOMETRICS IN THE UNITED STATES v

ABSTRACT OF THE THESIS

BIOMETRICS IN THE UNITED STATES: BALANCING PRIVACY, SECURITY, AND

ACCESSIBILITY

by

NAME

American Military University, May 2014

Charles Town, West Virginia

Dr. Novadean Watson-Stone, Thesis Professor

Biometrics technology has the potential to improve security, protect privacy, and increase

accessibility. However, the technology has not been utilized to its full potential. This paper will

review existing literature and past studies to highlight existing biometrics, biometrics usage,

privacy concerns, and actions that can be taken to mitigate those concerns. The purpose of this

literature review is to identify potential uses for biometrics in the United States and steps that can

be taken to implement that technology. Additionally, this paper will discuss a study conducted

to determine the current attitudes of American citizens towards biometrics. The study was

conducted electronically using both quantitative and qualitative methodology and determined

that there are several factors that influence acceptance of biometrics by Americans including the

security of the information, the age of the participant, and the education level of the individual.

The study also determined that Americans are generally accepting of biometrics use, but there

are some concerns about the technology, how it is used, and its accuracy.

Keywords: biometrics, privacy, security, accessibility, technology acceptance

BIOMETRICS IN THE UNITED STATES vi

TABLE OF CONTENTS

COPYRIGHT PAGE …………………………………………………………………………….. ii

DECLARATION ………………………………………………………………………………… iii

ACKNOWLEDGMENTS ………………………………………………………………………. iv

ABSTRACT ……………………………………………………………………………………… v

TABLE OF CONTENTS …………………………………………………………………………vi

LIST OF TABLES ………………………………………………………………………………. ix

LIST OF FIGURES ……………………………………………………………………………… x

CHAPTER

I. I

INTRODUCTION……………..…………………………………………………………. 1

Problem Statement ………………………………………………………………………. 2

Purpose …………………………………………………………………………………… 2

Hypotheses ……………………………………………………………………………….. 2

Significance of the Study ………………………………………………………………… 3

II. L

LITERATURE REVIEW…………..…………………………………………………….. 5

Biometrics Overview, Modalities, & Accuracy ………………………………………….. 5

Current Biometrics Uses in United States and Abroad ….………………………………. 10

BIOMETRICS IN THE UNITED STATES vii

Previous Surveys ………………………………………………………………………… 15

Concerns About Biometrics ……………………………………………………………. 21

Mitigating Measures to Address Concerns ……………………………………………… 25

Actions to Improve Acceptance ………………………………………………………… 27

Remaining Questions …………………………………………………………………… 29

III. M

METHODOLOGY……………………………………………………………………… 31

Data Collection Technique ……………………………………………………………… 31

Subjects and Setting …………………………………………………………………….. 33

Statistical Analysis ……………………………………………………………………… 34

Limitations of the Study …………………………………………………………………34

IV. R

RESULTS……………………………………………………………………………….. 37

Demographics and Response Distribution ……………………………………………… 37

Impact of Education ……………………………………………………………………… 44

Impact of Different Modalities …………………………………………………………. 45

Impact of Gender and Age ……………………………………………………………… 46

Impact of Experience with Biometrics .………………………………………………… 47

Impact of Employment Status ………………………………………………………….. 49

BIOMETRICS IN THE UNITED STATES viii

V. D

DISCUSSION AND CONCLUSION .…………………………………………………. 51

VI. S

SUMMARY …………………………………………………………………………….. 58

VII. R

RECOMMENDATIONS ……………………………………………………………….. 60

LIST OF REFERENCES………………………………………………………………………… 61

APPENDICES…………………………………………………………………………………… 67

Appendix A: Survey Questions…………………………………………………………. 67

Appendix B: Survey Summary …………………………………………………………. 74

BIOMETRICS IN THE UNITED STATES ix

LIST OF TABLES

TABLE PAGE

1. Number of Participants by Demographic …………………………………………………….. 38

2. Quantitative Questions ………………….…………………………………………………… 41

BIOMETRICS IN THE UNITED STATES x

LIST OF FIGURES

FIGURE PAGE

1. Gender Distribution of the Sample Population ……………………………………………… 39

2. Age Distribution of the Sample Population …………………………………………………. 39

3. Education Distribution of the Sample Population …………………………………………… 39

4. Employment Distribution of the Sample Population ………………………………………… 39

5. Experience Distribution of the Sample Population ………………………………………….. 40

6. Response Distribution by Question ………………………………………………………….. 40

7. Qualitative Question #1 Responses …………………………………………………………. 42

8. Qualitative Question #2 Responses …………………………………………………………. 42

9. Qualitative Question #3 Responses ………………………………………………………….. 43

10. Qualitative Question #4 Responses ………………………………………………………… 44

11. Impact of Education on Biometrics Acceptance …………………………………………… 45

12. Impact of Gender on Biometrics Acceptance ……………………………………………… 47

13. Impact of Age on Biometrics Acceptance …………………………………………………. 47

14. Impact of Experience on Biometrics Acceptance ………………………………………….. 49

15. Impact of Employment Status on Biometrics Acceptance …………………………………. 50

BIOMETRICS IN THE UNITED STATES 1

Biometrics in the United States: Balancing Privacy, Security, and Accessibility

Introduction

Biometrics can be defined as either a characteristic or a process. When used as a

characteristic, biometrics is a measurable physical or behavioral characteristic that can be used

for automated recognition and when used as a process, it is the automated method of identifying

an individual based on those characteristics (National Science and Technology Council, 2006a).

At the very basic understanding, biometric technology can be used to either authenticate an

individual or identify an individual. This can be achieved through a one-to-one authentication

where the individual’s biometric identifiers are compared to the biometrics stored on an

identification document or database for that individual or through a one-to-many authentication

where the biometric identifiers from the individual are compared to many biometrics in order to

identify the individual from a biometric match (LeHong & Fenn, 2013). Biometrics, including

fingerprints, iris, facial recognition, gait analysis, voice analysis and many other measurable

physical and behavioral characteristics, can be used for many purposes to include authenticating

an identity, enhancing security, identifying terrorists and criminals, and enabling convenience

features such as reducing requirements for passwords (“Biometrics researchers aim,” 2013).

While biometrics technology is used in some companies and fields, its use is not

widespread throughout the United States and it is not being used to its full potential. The

technology has the ability to positively impact security and protect the privacy interests of the

citizens of the United States as well as to improve the quality of life through reducing fraud,

expediting screening processes, and eliminating the need to carry identification documents. This

paper intends to prove that the benefit of biometrics technology has no impact on its acceptance

BIOMETRICS IN THE UNITED STATES 2

by United States citizens. It also seeks to prove that greater socialization during development of

biometrics technology will lead to greater acceptance of the technology.

Problem Statement

While the potential for biometrics information to be misused by the government or

commercial organizations exist, the benefits outweigh the risks. Biometrics can be used to

balance privacy, security, and accessibility by accurately verifying the identity of an individual,

minimizing the potential of fraud, and possibly eliminating the need for identification documents

and passwords. This study is designed to identify the types of biometric technologies that can be

used to achieve that balance and in what conditions American citizens find their use acceptable.

Purpose

The goal of this study is to analyze data gathered on different modalities of biometric

technology, its use, and the opinions of American citizens regarding the technology to identify

areas and situations where biometric technology can be used, conditions that must be met, and

steps that can be taken to mitigate the concerns and gain the trust of American citizens. This

paper will evaluate current uses of biometric technology in the United States and elsewhere to

determine potential uses of biometric technology in the future. This paper will discuss the

characteristics of different biometric modalities, their accuracy rates, and the level of

invasiveness associated with them. Combined with the data and opinions gathered from survey

participants, this study seeks to understand the limitations of the technology and acceptable use

by the American public to identify viable uses of biometric technology in the United States to

achieve a balance of privacy concerns, security, accessibility, and convenience.

Hypotheses or Research Questions

BIOMETRICS IN THE UNITED STATES 3

The study intends to prove or disprove nine hypotheses. These hypotheses will be

evaluated through the results of the literature review and the survey.

H1. There is no statistically significant evidence that the trust that personal information

will be protected impacts the acceptance of biometric technology.

H2. There is no statistically significant evidence that the act of socialization and public

consultation prior to implementation impacts the acceptance of biometric technology.

H3. There is no statistically significant evidence that the age of an individual has an

impact on the acceptance of biometric technology.

H4. There is no statistically significant evidence that desirable convenience features, such

as the elimination of the need for passwords or expedited security screening, have an impact on

the acceptance of biometric technology.

H5. There is no statistically significant evidence that the use of biometrics impacts

American citizens’ perception of security.

H6. There is no statistically significant evidence that the increase in the level of security

impacts acceptance of biometric technology.

H7. There is no statistically significant evidence that the level of education obtained by

an individual impacts acceptance of biometric technology.

H8. There is no statistically significant evidence that an individual’s gender impacts

acceptance of biometric technology.

H9. There is no statistically significant evidence that the use of different biometric

modalities impacts acceptance of biometric technology.

Significance of the Study

BIOMETRICS IN THE UNITED STATES 4

This study intends to advance the understanding of the American citizen’s opinions of

biometric technology and its use in the United States. It will identify variables and will use the

information to identify areas and situations where biometric technology can be used successfully.

This study intends to also identify measures that can be taken to ensure that biometric technology

is successfully deployed with suitable acceptance by American citizens. The results of this study

may be adapted by manufacturers of biometric technology and may be incorporated into policy

governing the use of biometric technology by state, federal, and private organizations.

Additionally, the results of this study may be used to adapt biometric technology to appeal to

more people and may also be used to develop an educational campaign to promote understanding

and acceptance of the technology and its use.

This study will include literature reviews of the existing material available on biometrics

to include different modalities and their accuracy rates, current uses for biometrics, privacy

concerns, and measures that can be taken to reduce any concerns about biometrics use.

Additionally, this study will discuss the research methodology used including a summary of the

subjects used and the data collection techniques used. Then, the paper will include analysis of a

survey administered to identify any factors impacting acceptance of biometrics, potential new

uses of biometrics, and steps that manufacturers can take to improve their biometrics technology.

Finally, the paper will summarize the information gathered from the literature review and

research to develop conclusions and recommendations on the use of biometrics.

BIOMETRICS IN THE UNITED STATES 5

Literature Review

Biometrics Overview, Modalities, and Accuracy

Biometrics is a term that comes from the Greek words “bios” and “metricos” which

means “life measure” (Biruntha, Dhanalakshmi, & Karthik, 2012). It can be used

interchangeably to describe a number of things. Biometrics can refer to a physical or behavioral

characteristic, to a process, or to a technology (Jefferson, 2010). When used to refer to a

characteristic, the National Science and Technology Council (NSTC) Subcommittee on

Biometrics defines biometrics as, “A measurable biological (anatomical and physiological) and

behavioral characteristic that can be used for automated recognition” (National Science and

Technology Council, 2006a, p.4). The NSTC Biometrics Glossary defines biometrics as a

process as, “Automated methods of recognizing an individual based on measurable biological

(anatomical and physiological) and behavioral characteristics” (p.4). As a technology,

biometrics can be the sensor used to capture the unique physical or behavioral characteristic and

digitize it, or it can be the system that compares that captured characteristic against other stored

biometrics.

At the very basic level, biometrics are used for two different functions, biometric

verification and biometric identification. Through verification or identification, multiple other

functions are capable. Biometric verification is the process of verifying a claimed identity

through comparing a captured biometric from the individual against a stored biometric associated

with that individual. Biometric identification is the process of determining an individual’s

identity through a “one-to-many search” against the stored biometrics of multiple people. This

search will either return zero matches, one match, or multiple close matches which would be

candidates for the identity. Identification takes the best result of the search and matches the

BIOMETRICS IN THE UNITED STATES 6

identity with t

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