bioMetric Veriprox Operation Manual

Notices Biometric ID strives to comply with the most stringent standards, however at the time this document went to press, the following approvals were still pending for the Veriprox. FCC Pending Approval UL Pending Listing CLU Pending Listing CE Pending Approval Disclaimer The instructions in this document have been carefully checked for accuracy and are presumed to be reliable. BiometricID, Inc. and its writers assume no responsibility for inaccuracies and reserve the right to modify and revise this document without notice. It is always our goal at BiometricID, Inc. to supply accurate and reliable documentation. If you discover a discrepancy in this document, please e-mail your comments to [email protected], or contact Biometric ID Technical Support at the telephone number listed below. No part of this publication may be placed in a retrieval system, transmitted, or reproduced in any way, including, but not limited to, photograph, photocopy, computer disk or other record, without prior agreement and written permission from: Biometric Identification Inc. 5000 Van Nuys Blvd., Suite 300 Sherman Oaks, CA 91403 Phone (818).501.3908 Fax (818).461.0843 http://www.biometricid.com © 1999 Biometric Identification, Inc. All rights reserved.

Trademark Disclosures BiometricID has made every effort to provide disclosures when using trademarks owned by other companies. Trademarked designations appear throughout this publication. The publisher states that it is using the designations only for editorial purposes, and to the benefit of the trademark owner with no intent to infringe upon that trademark. The following trademarks are found in this manual: • Microsoft™, and Windows 95™, Windows 98™, and Windows NT™ are trademarks of the Microsoft Corporation. • Veriprox ® is a registered trademark of Biometric Identification, Inc. • HID™ is a trademark of the HID Corporation. • Motorola™ Indala™ are trademarks of the Motorola Corporation.

Biometric ID Warranty Policy Biometric Identification, Inc. (Biometric ID) warrants its products to be free from defects caused by faulty materials or poor workmanship for a period of one year from date of shipment from Biometric ID. Biometric ID makes no warranty that its products are fit for the use or purpose to which they may be put by the buyer, whether or not such use or purpose has been disclosed to Biometric ID in specifications or drawings previously or subsequently provided, or whether or not Biometric ID's products are specifically designed and/or manufactured for buyer's use or purpose. Biometric ID's liability is limited to replacing, repairing or issuing credit, at its option, for any products that are returned by the original purchaser during the warranty period. Biometric ID's liability on any claim for loss or damage arising out of the sale, resale or use of any of its products shall in no event exceed the selling price of the products. The buyer is responsible for making any claims for shipment damage (evident or concealed) with the carrier. Biometric ID must be notified within 30 days of shipment of incorrect materials. This warranty is voided if any component, subsystem, or element of the product(s) has been subject to electrical or physical abuse, tampering (such as opening a sealed housing or removal of a product serial number tag), or improper operation as determined by Biometric ID. This warranty is also voided for failure to comply with Biometric ID's return procedures as given in the Biometric ID Technical Support Guide. Any service provided by unauthorized personnel voids the warranty. Biometric ID offers three (3) options to our customers that have a problem with one of our products. 1) Warranty Service if the unit is covered under either the factory one-year warranty period or any extended warranty the buyer may have purchased. 2) Fee-based Service if the unit is not covered under a warranty. 3) Return for credit if less than 30 days from the original date of shipment. Service can be provided by Biometric ID, the manufacturer. Service can be provided by Authorized Service Representatives – contact Biometric ID or visit our WWW site (http://www.BiometricID.com) for a service representative near you. No service can be performed without first notifying Biometric ID. Service can be provided by Authorized Repair Center – contact Biometric ID or visit our WWW site (http://www.BiometricID.com) for a repair center near you. No service can be performed without first notifying Biometric ID. Any service provided by unauthorized personnel voids the warranty. No product may be returned, whether in warranty or out-of-warranty, without first obtaining approval from Biometric ID. No credit will be given nor repairs made for products returned without such approval as described in the Returned Merchandise Authorization procedure as given in the Biometric ID Technical Support Guide. Products must be returned, prepaid, to a Biometric ID service center (no C.O.D. or Collect Freight shipments will be accepted). The status of any product returned later than 30 days after the issuance of a return

authorization will be subject to review. After Biometric ID's examination, warranty or out- of-warranty status will be determined. If, upon Biometric ID's examination, a warranted defect exists, the product(s) will be repaired at no charge and shipped, prepaid, back to the buyer. If the buyer desires an airfreight or other expedited return, the product(s) will be shipped collect, charged to the buyer’s account with airfreight carrier, or charged to the buyer’s account with Biometric ID. Warranty repairs do not extend the warranty period. Repair work is warranted for 90 days from the date of shipment. Replacement components are warranted for one year from the date of shipment. Returned product(s), whether warranty or out-of-warranty, diagnosed as "No Problem Found" will be subject to a $150 handling charge and will be returned as is, at the buyer's expense. Privacy Statement Biometric Identification’s unique approach to fingerprint recognition provides the maximum in user privacy protection. Instead of storing a graphic representation of the user’s finger (i.e., a picture), the Veriprox stores a template which is a highly processed mathematical model of the ridge pattern. This means that no direct personal data about the user is stored by the system.

Table of Contents Notices ............................................................................................................................................................1 FCC.................................................................................................................................................................................. 1 UL .................................................................................................................................................................................... 1 CLU.................................................................................................................................................................................. 1 CE.................................................................................................................................................................................... 1 Disclaimer........................................................................................................................................................1 Trademark Disclosures....................................................................................................................................2 Biometric ID Warranty Policy ...........................................................................................................................3 Privacy Statement............................................................................................................................................4 Introduction.........................................................................................................................................9 About the Veriprox.........................................................................................................................................10 Veriprox – Physical Layout ............................................................................................................................11 Concepts of Operations ...................................................................................................................13 The Veriprox..................................................................................................................................................13 The Proximity Card..........................................................................................................................................1 User Cards..................................................................................................................................................................... 14 Command Cards............................................................................................................................................................ 14 Basic System Administration .........................................................................................................................15 Enrollment...................................................................................................................................................................... 15 Templates ...................................................................................................................................................................... 15 Multiple Readers............................................................................................................................................................ 16 Backing-Up Templates .................................................................................................................................................. 16 Lights.............................................................................................................................................................17 Veriprox Administrative Software ...................................................................................................18 Concepts of Operation...................................................................................................................................18 Transmit ID .................................................................................................................................................................... 18 Ports............................................................................................................................................................................... 19 Serial Port Settings And Baud Rates .........................................................................................19 Installing the Software....................................................................................................................................20 Setting up the ID File .....................................................................................................................................21 ID File Format ................................................................................................................................................................ 21 Communication Settings file ..........................................................................................................................22 Setting up a Network .....................................................................................................................................23 Icons, Commands and Drop Downs...............................................................................................................25 Template Manager ............................................................................................................................27 Edit Templates...............................................................................................................................................28 Enroll Templates............................................................................................................................................29 Delete Templates...........................................................................................................................................30

Transfer Templates........................................................................................................................................32 Download to PC............................................................................................................................................................. 32 Upload from PC ............................................................................................................................................................. 34 Transfer from Unit to Unit .............................................................................................................................................. 35 Command Cards ...............................................................................................................................36 Administering Command Cards .....................................................................................................................36 Creating Command Cards............................................................................................................................................. 36 Reviewing Command Cards.......................................................................................................................................... 36 Removing Command Cards .......................................................................................................................................... 37 Using Command Cards..................................................................................................................................37 Enroll Command Card ................................................................................................................................................... 37 Delete Command Card.................................................................................................................................................. 38 Communication Settings..................................................................................................................39 Veriprox Parameters.........................................................................................................................40 Network Identification Number.......................................................................................................................41 Global Security Threshold..............................................................................................................................42 Setting the Security Threshold....................................................................................................................................... 42 Wiegand OUT................................................................................................................................................43 Failure Code .................................................................................................................................................................. 43 Site Code ....................................................................................................................................................................... 43 Host Port and Aux Port Baud Rates...............................................................................................................44 Host Port Protocol..........................................................................................................................................44 Broadcast ..........................................................................................................................................45 Net Status ..........................................................................................................................................46 Getting Service and Support ...........................................................................................................47 Technical Support..........................................................................................................................................47 Customer Service and Sales Support ............................................................................................................47 World Wide Web Site.....................................................................................................................................47 Appendix A – Quality and Content..................................................................................................48 Section A.1 - Basic Biometric Concepts.........................................................................................................48 Biometric Definitions ..................................................................................................................48 Scanning an Image........................................................................................................................................................ 48 Storing User Templates on the Veriprox ....................................................................................................................... 49 Section A.2 - Proper Finger Placement..........................................................................................................50 Common mistakes......................................................................................................................................................... 50 Image quality.................................................................................................................................................................. 50 Image consistency......................................................................................................................................................... 51 Section A.3 - Using Content and Quality during Enrollments .........................................................................52 False Acceptance and False Rejection ......................................................................................................................... 52 Quality............................................................................................................................................................................ 53 Content .......................................................................................................................................................................... 54 Content and Quality Summary....................................................................................................................................... 55 Recommended Enrollment Process .............................................................................................................................. 55

Page 9 © 1999 Biometric Identification, Inc. Introduction BiometricID, the leader in fingerprint identification and verification systems, presents the Veriprox Fingerprint Verification System. Technology by BiometricID has been applied in various unique applications including Access Security, Time and Attendance, Political Polling, Computer Logon, and other applications where an individual must be clearly identified as being solely responsible for specific actions. BiometricID was founded in 1996 with a mission to provide fingerprint recognition technology with the highest degree of accuracy at a reasonable cost while still being easy to use. BiometricID has successfully migrated technology once found only in government or military applications, toward private industry and small businesses around the globe. It has been known for years that each person has unique fingerprints. Using fingerprints as a means of identification ensures a unique identifier for each tracked user, and protects users from the vulnerabilities associated with lost keys or identification cards. After installing BiometricID’s product in your application, your company will be able to accurately identify, track, and automatically act according to each individual’s identification and permissions.

Page 10 © 1999 Biometric Identification, Inc. About the Veriprox BiometricID’s Veriprox combines patented fingerprint verification technology with an industry-standard proximity card reader in a mullion-mountable case. This ensures greater security for the card issuer and the card user. Requiring that the fingerprint of the person seeking entry matches the identity of the cardholder eliminates access via lost or stolen proximity cards. Suitable for both standalone and network use, the system works with existing 26-bit proximity card infrastructures. The unit operates in conjunction with administration software hosted on a PC. Once installed users simply present their identification cards when entering the secure area and then touch a fingertip to the recessed area on top of the unit. The system validates their fingerprint against a previously enrolled template stored in flash memory. The Veriprox system provides security features that can minimize fraud and can tolerate changes to the user’s finger like scarring or swelling. The Veriprox returns accurate pass and fail decisions in 99.99% of all cases. Each Veriprox unit stores thousands of fingerprint templates, in a non-volatile memory. Response time is less than five seconds for fingerprint enrollment and less than 1.5 seconds for fingerprint verification. The system is compact, versatile, and configured to allow standalone, PC-connected, and multiple-unit operation.

Page 11 © 1999 Biometric Identification, Inc. Veriprox – Physical Layout Figure 1: Top View Figure 2: Bottom View Top LED Front LED (power on) Sensor Ridge Lock Power On Light Bottom Aux Port Cover (closed) Locking Screw

Figure 3: Bottom Panel – closed Figure 4: Bottom Panel – open Figure 5: Veriprox Unit and Mounting Plate For additional information on installing and connecting your Veriprox unit, please refer to the Veriprox Installation Manual. Locking Screw RJ-11 Auxiliary Port Mounting Plate Part and Serial Number Tag Pigtail Connector

Page 13 © 1999 Biometric Identification, Inc. Concepts of Operations The Veriprox The Veriprox integrates an industry-standard proximity card reader with BiometricID’s MV1100 fingerprint verification technology. A user waves the proximity card near the front of the Veriprox. The LED on the top of the reader will glow amber; indicating the user should place their finger on the sensor on the top of the reader. The ID number is read from the proximity card while the fingerprint is scanned. The amber light will turn off, signaling the finger can be removed. The scanned image is compared with the data that is stored under the ID number in the memory of the Veriprox. If the verification is positive, the top LED will glow green and the unit will emit an audible beep. If the authentication fails, the LED will glow red and no beep will be generated. When authentication is successful a Wiegand string that contains the site code and ID number read from the proximity card is sent out for use by a standard door controller. Optionally, the Veriprox can be configured to send out a pre-determined “failure” ID whenever an unsuccessful verification occurs. An additional option allows the site code to be replaced with another number. The Veriprox has several communication options. It is equipped with both a Host port and an auxiliary port. The Host port may be configured to operated in RS-232 mode or RS-485 mode. The auxiliary port is always set to RS-232. The Host port connections are made through the wiring pigtail on the back of the reader. The auxiliary port is accessed from an RJ-11 jack that is hidden under a door on the bottom of the Veriprox. This door is held shut with a security screw. The Veriprox can be used as a stand-alone reader or multiple units can be configured on an RS-485 network. The manner in which you choose to install the Veriprox will determine which communications settings are most convenient for your configuration. Certain administrative functions are common to any installation. You must have a way to “enroll” users into the system, that is, you must be able to associate their fingerprint data with a specific proximity card ID number. You must have a way to distribute this user information to all other readers in your installation. The Veriprox Administrative Software is provided for this purpose.

Page 14 © 1999 Biometric Identification, Inc. The Proximity Card Figure 6: Veriprox Card There are three types of proximity cards split into two basic categories: • User Cards • Enroll Command Cards • Delete Command Cards User Cards The Veriprox can be programmed to use a given card ID number as a standard “user card”. The majority of your cards will be of this type. Command Cards Command Cards can be created to add and remove users from a Veriprox reader without using the PC based Administrative Software. These can be useful for creating and removing temporary visitor’s badges or administering the system when your PC is down or unavailable. There are two types of Command Cards associated with the Veriprox: • Enroll Command Cards • Delete Command Cards Note: The command cards must be created using the Administration Software. Once a card has been designated as one of the three types, it will remain that type unless it is deleted and re-enrolled (see Edit Templates on page 28 ). n-01234 Veriprox Card Site Number Designator Card Number

Page 15 © 1999 Biometric Identification, Inc. Basic System Administration Enrollment New users are entered into the system through the process of “enrollment”. This procedure scans the users fingerprint and produces a fingerprint template, a collection of data that is stored in memory on the Veriprox. This includes: • User Name • User Finger Identifier • Template Security Threshold • Template ID • Template Index Number • A mathematical model of the fingerprint ridge pattern Templates Every template on a Veriprox unit is unique. Each time a fingerprint is enrolled a new template is generated using the number from the proximity card as the Template ID number. The system automatically increments and assigns an index value to each template. Figure 7: Template ID Numbers 1. The ID number of the card to which the template is being assigned. 2. The index number of the template; this is assigned automatically by the software. Index numbers differentiate between fingerprints assigned to the same Template ID number (i.e., card number). Please see Appendix A – Quality and Content on page 48 for a technical description of what constitutes a good enrollment. A quality enrollment will ensure peak performance from the Veriprox fingerprint recognition algorithm. Template ID Number Template Index Number

Page 16 © 1999 Biometric Identification, Inc. Multiple Readers If your installation includes multiple Veriprox readers that are used by a common population of users, you will need to distribute the fingerprint template of each user to all the Veriprox readers. Note: It is recommended that you designate one Veriprox as the “administration reader” and enroll all new users on this unit. After a new user is enrolled on the administration unit, the template can be copied to the other readers. If the units are networked, you can broadcast the new template to the other readers over the RS- 485 lines using the Administrative Software. If the readers are not interconnected, a laptop can be used to download the templates from the administration reader and then uploaded to each reader through its Aux Port. Backing-Up Templates Templates can be “backed-up” by downloading them to a PC. On the PC, template files are of the type “.tem”. The name of the file is derived from the Template ID Number and the Template Index Number. For example, the first file (1_4.tem) in Figure 8 below is of Template 1 4. Figure 8: Template files on the PC Please note that when the template is uploaded from the PC to a Veriprox reader, the Template ID Number and Index Number is taken from data within the file, not from the file name. Therefore, even if you change the name of the file on your PC, the Template ID and index will remain the same.

Page 17 © 1999 Biometric Identification, Inc. Lights Figure 9: Top LED Steady Amber the Veriprox is requesting that a finger be placed on the sensor. This may be for verification or for enrollment. The user may remove the finger when the light goes out. Blinking Amber the Veriprox is requesting a proximity card be waved for enrollment into the reader. The blinking amber light is seen when an Enroll Command Card is used to add a new user to the reader. Steady Green the Veriprox is indicating the successful completion of one of the following operations: • Verification • Enrollment • Deletion A steady green light is accompanied by an audible beep. Steady Red the Veriprox is indicating the current operation has failed. Blinking Red the Veriprox is requesting a proximity card be waved. The card ID number will be deleted from the reader. The blinking red light is seen when a Delete Command Card is used to remove an existing ID from the reader. The LED on top of the unit can illuminate in different colors and patterns.

Page 18 © 1999 Biometric Identification, Inc. Veriprox Administrative Software The administrative software that comes with the Veriprox unit is designed to run on Windows NT™ 4.0 or Windows 98™ (Note: it is possible to run the software on Windows 95™, however, this is not recommended). Use the Veriprox Administrative software to perform the following functions: • Enroll new users and assign them a proximity card ID. • Distribute the user templates from the administration reader to other Veriprox readers in the installation. • Create “command cards”; proximity cards with the privilege to enroll or delete other user cards. • Adjust the parameters (baud rate, security level, port configuration) of individual Veriprox units, or of all readers connected on an RS-485 network. • Select specific readers in a networked environment and view and/or edit the templates on those readers. Concepts of Operation Transmit ID On the tool bar of the Administration Software, there is a drop-down list titled Transmit ID (see Figure 10 below). The ID number that appears in the field is the Veriprox reader with which the software currently is communicating. For this reason, each Veriprox reader must be assigned a Network ID, even if your installation consists of a single Veriprox (the default setting is 0). Figure 10: Transmit ID Drop-down A special transmit ID number, “-1”, is assigned as a broadcast ID. All Veriprox units will respond to this broadcast ID. For functions labeled “broadcast” the software uses the broadcast ID and all readers on the network will process these commands. If the transmit ID is set to a number that is not assigned to any Veriprox unit, the software will report that there is no communication. If two units on the network have the same ID assigned, there also will be communication problems, because both units would respond to commands sent

Page 19 © 1999 Biometric Identification, Inc. to that ID. This causes the information packets to “collide” and become jumbled, resulting in communication losses. It is important that commands that are broadcast to all readers do not ask for a confirmation reply because all units would respond at the same time jumbling communications. Ports The Veriprox “talks to the Administrative Software using either the Host or Auxiliary (Aux) port. The Host port may be configured to use RS-232 or RS-485 protocol. The Host port is connected through the pigtail-wiring bundle at the back of the unit. Different wires are used for RS-485 versus RS-232. The Aux port is accessed using the RJ11 jack at the bottom of the Veriprox. Please refer to the Veriprox Installation Manual (included on this CD) for details. Serial Port Settings and Baud Rates Once you have connected the PC to the Veriprox reader(s), you have to identify which ports on the PC are talking with which readers. As usual, the serial ports on the host PC are designated as COM1, COM2, etc. You may connect up to 31 Veriprox readers to each COM line (using RS-485). You must provide the Administration Software with the information as to which Network ID has been assigned to which COM line. This information is stored in an initialization file that is read by the software on application startup. The file is labeled “UnitIDs.dat” and is located at the following path: \UnitIDs.dat where indicates the directory where the Veriprox Administrative Software was installed). The default installation path is: C:\Program Files\BioID\Veriprox Please refer to the Setting up the ID File section on page 21 for details. In addition the baud rate may be set on each Veriprox reader. It is essential that the baud rate used by the PC match the baud rate setting on the reader and that all readers on the network are set to the same baud rate. The following settings are the factory defaults. Your Veriprox should arrive with these settings in place: Network ID: 0 Host Port baud rate: 9600 baud Aux Port baud rate: 9600 baud Host Port protocol: RS 485

Page 20 © 1999 Biometric Identification, Inc. Installing the Software To install the software, run the setup.exe file on the Veriprox Admin CD. You may accept the default path or choose an alternate directory in which to install the software. The default path is: C:\Program Files\BioID\Veriprox Like most Windows based installations, you will step through a number of windows (approximately 5) that will request basic installation information, such as, file name and directory location. It is recommended that you use the default settings for these, however, you can change them. Once the installation is complete, a short-cut icon for the Administration Software will appear on your desktop.

Page 21 © 1999 Biometric Identification, Inc. Setting up the ID File Once you have installed the software on your PC, you will need to set up a communications port ID file. The software will use the information in this file to communicate with the Veriprox reader(s) connected to the Host Port. You can create and edit the file using the “Notebook” program provided with Microsoft Windows. Access the file, UnitIDs.dat located in the Install Directory . The default path is: C:\Program Files\BioID\Veriprox\UnitIDs.dat ID File Format The file format is as follows: Line 1: Name the comm port on the PC Line 2: List the IDs for all units on this port. Separate each ID by a space. Line 3: Type a % to end the comm port. Example: COM#: 1 UnitIDs: 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 % COM#: 2 UnitIDs: 31 32 33 % Notice how the line for the Unit IDs for Comm 1 wraps; the software will continue to read the line until the %. A space should appear after each colon (:) and between each reader ID number. Once you have completed editing the file, save it under the same name and to the same location. Note: It is essential that this file be located in the same directory as the Veriprox Administration software. The default UnitIDs.dat file looks like this: COM#: 1 UnitIDs: 0 % Thus the software will initialize expecting to find only one reader on the host port with an assigned ID number of “0”. There will be no communication problems if there are other readers on the network unless those readers are also set to ID “0”.

Page 22 © 1999 Biometric Identification, Inc. Communication Settings file There is a second initialization file that is used by the Administrative Software. This is the CommParameters.cfg file. The program automatically writes this file when it is closed. The next time the program is opened, this file is read and the communication parameters are set to match their state when the program was last shut down. The first time you run the Veriprox Administrative software this file does not exist. You will see the following dialog appear. Fill out the desired parameters.

Page 23 © 1999 Biometric Identification, Inc. Setting up a Network As described above, when setting up a network you will need to assign unique ID numbers to each Veriprox and confirm the communication settings. The easiest way to do this is to cycle through each reader, setting the parameters by plugging into the Aux port. When using the Aux port you can set the transmit ID to –1 (broadcast). Since you are plugged into only one reader, you are assured that no other Veriprox units will be responding to your commands. If the ID on the Veriprox has been changed from its default you can still be confident it will respond to the Broadcast ID. After you set the parameters for each Veriprox through the Aux Port you can connect them to your 485 network. To review, the recommended steps are: 1 Supply power to the proper wires in the pigtail on the back of the Veriprox (Consult the Installation Manual for a wiring diagram). When power is applied, the unit will beep, the front LED will glow green, and the top LED will blink amber, then turn off. 2 Plug into the Aux Port using the RJ-11 jack on the bottom of the unit and connect the cable to one of the serial ports on your PC 3 Access the Communication Settings window by clicking on the icon or using the menu. 5 Click the Modify button. Set the Transmit ID to –1. Set the Comm Port setting to match the designation for the port you are using on the PC (e.g. COM1, COM2) 6 Set the baud rate setting to 9600 baud (the factory default). 7 Press the test button. 8 If necessary, use the Baud Search button to have the software test different baud rate settings and report which baud setting works. (For this function to succeed a valid transmit ID and valid COMM port must be set. 9 Click the Accept button to change the settings. 10 You can now set Network ID on the reader. Click the Veriprox button on the Modify Communications Settings dialog. 11 Type the desired ID number in the Assign Veriprox Network ID field. Press the “Set” button to make the change. Note this will change the ID in flash on the reader. It will not modify the transmit ID that is being used by the PC. The lower right corner of this dialog box shows the current communication settings. Since you are using the broadcast ID (-1) and only connected to one Veriprox (over the AUX port) you will continue to communicate without problems.

Page 24 © 1999 Biometric Identification, Inc. 12 Select the appropriate baud rate from the Host Port Baud Rate drop down list (9600 is recommended). Keep in mind that you are currently talking over the AUX port, but you are changing the Host Port settings that will be used when you connect to the Veriprox through the Host Port wires on the back of the unit. 13 Set the Host Port Protocol to RS-485 if you will be using a networked environment. Alternatively you may choose RS 232 if you will not be networking the Veriprox. Remember that the RS 232 and RS485 connections are made through different wires on the pigtail. (Consult the installation manual.) Make sure that the Network IDs in the UnitIDs.dat file match those assigned to the readers. If not, update accordingly.

Page 25 © 1999 Biometric Identification, Inc. Icons, Commands and Drop Downs Figure 11: Veriprox Toolbar Once you have the software installed and running, you will be able to access the features mentioned above either through the icons and drop down box on the toolbar or through the command menus. Template Manager (page 27) Icon Command Path File > Template Manager Command Card Manager (page 36) Icon Command Path File > Command Card Manager Communication Settings (page 39) Icon Command Path Configure > Communication Settings Veriprox Parameters (page 40) Icon Command Path Configure > Veriprox Parameters

Page 26 © 1999 Biometric Identification, Inc. Broadcast (page 45) Icon Command Path File > Broadcast Parameters Network Status (page 46) Icon Command Path File > Network Status Transmit ID Drop Down The Transmit ID number refers to the IDs given to individual Veriprox units. Whichever number appears in the box is the unit with which the software is communicating. If you have networked more than one Veriprox unit, you can use the Transmit ID drop down box to access a specific unit by its ID number. The ID numbers show in the drop down list come from the “UnitIDs.dat” file described in the ID File Format section.

Page 27 © 1999 Biometric Identification, Inc. Template Manager The Template Manager allows you to: • Edit Templates • Enroll Templates • Delete Templates • Verify Templates • Transfer templates to and from a PC or from one Veriprox unit to another Veriprox unit Figure 12: Template Manager Click this button to update the window.

Page 28 © 1999 Biometric Identification, Inc. Edit Templates To edit a template, select the appropriate ID number(s) in the Templates window and click the Edit button. Alternatively, you make double-click on the ID number in the window and an Edit box will open. Note: While you can use the Shift and Ctrl keys to select multiple templates, realize that a separate window will open for each template you select. A window like the one below will open. Figure 13: Template Viewer From here you can view and edit the attributes of the template such as the Employee Name and Security Threshold. You must press the “Save Changes button to make your edits permanent.

Page 29 © 1999 Biometric Identification, Inc. Enroll Templates When you select the Enroll button on the Template Manager window, the following window will appear: Figure 14: Enrollment Screen Note: It is recommended that you enroll all templates from this window so you can make use of the Quality and Content ratings provided. The process to enroll a new template is as follows: 1 In the Template ID Number field, type the proximity card ID number. Do not include a site code designation. 2 Click the Enroll button. The light on the Veriprox will glow amber requesting the enrollee to place a finger on the sensor. Nestle the ridgelock into the first joint line on the finger. The finger may be removed when the amber light goes out. 3 The light will glow green and the unit will beep once to acknowledge that the fingerprint has been captured. If a finger is not placed within ten seconds, the light will glow red and the unit will time out. Similarly the light will glow red if the unit was unable to image the fingerprint. (See the appendix for a discussion of proper enrollment). A visualization of the fingerprint template will appear here Info and directions will appear here

Page 30 © 1999 Biometric Identification, Inc. 4 On the Enrollment screen, the Quantity and Content fields each will display from one to five stars indicating how well the print was read. In addition, a sample of the print will appear in the left center of the screen. A rating of at least three stars in each field is recommended. 5 If you are satisfied with the read, and this is the first time the card is being enrolled, click either User ID, Enroll ID, or Delete ID depending on the type of card you are enrolling. Note: remember that if the card number already has been designated as one of the three types, then any subsequent templates assigned to the card must be of the same type. If you wish to re-read the fingerprint, repeat steps 3 through 5 above. 6 Press the Accept button and the template will be enrolled. At this point, the Edit Template window will open (see page 28). Complete the Username field and identify the finger that was scanned. Note: if you have more than one unit networked together, it is recommended that you broadcast the new enrollment to the other units at this time. Delete Templates Use this option to delete one or more templates from a single unit (if you are in a networked environment, see the

Page 31 © 1999 Biometric Identification, Inc. Broadcast section on page 45). Select the appropriate ID number(s) in the Templates window and click the Delete button (recall that you can use the Shift and Ctrl keys to select multiple templates). Note: You WILL NOT receive a warning when you delete templates so confirm that you have selected the correct ones the first time.

Page 32 © 1999 Biometric Identification, Inc. Transfer Templates There are three primary ways you can transfer templates: • Download from the Veriprox unit to the PC • Upload from the PC to the Veriprox unit • Transfer from unit to unit In each of these cases, you can transfer from one to all templates. Download to PC Figure 15: Download Template(s) to PC 1 In the Template Manager window, select the template(s) you wish to transfer. 2 Click the Download to PC button. 3 When the screen in Figure 15 appears, confirm the download path and directory; make any applicable changes. 4 Click the OK button. When completed the files will be loaded in the designated directory on your PC. File names are derived from the Template ID # and the Template Index #: e.g., this is Template 2 5

Page 33 © 1999 Biometric Identification, Inc. Note: if you are in a networked environment, you only need to download from one unit since the template will be the same on all units.

Page 34 © 1999 Biometric Identification, Inc. Upload from PC You can transfer templates from your PC to any Veriprox unit. When you click the Upload from PC button, a window like the one below will open: Figure 16: Transfer between PC and Veriprox 1 Click the Upload from PC button. 2 Use the window to browse for the correct directory. 3 Select the appropriate template(s). 4 Click the Open button. Please note that when the template is uploaded, the Template ID Number and Index Number is taken from data within the file, not from the file name. Therefore, even if you change the name of the file on your PC, the Template number will remain the same. Networks: if you have more than one Veriprox unit networked together, use the above to load the template(s) on one unit, then follow the steps in the next section (Transfer from Unit to Unit) to upload to the other units on the network.

Page 35 © 1999 Biometric Identification, Inc. Transfer from Unit to Unit Use this option when you are in a networked environment. Figure 17: Transfer Templates for Unit to Unit To transfer templates between units, 1 In the Template Manager window, select the template(s) you wish to transfer. 2 Click the Unit to Unit button. 3 When the screen in Figure 17 appears, highlight the ID of the Veriprox to which you wish to transfer the templates. Select –1 if you wish to broadcast the templates to all units on the network. If you broadcast to all units (i.e., select –1), you can have the software verify that the individual steps are complete before moving on, however, this may increase the amount of time needed to complete the transfers. It is recommended that the Verify box remain selected. If some one is accessing one of the readers with a proximity card, that action takes priority over template transfers. The verify option will ensure the template is resent if the reader was busy on the first attempt. The software will verify the transfers when you broadcast to all the readers when this box is checked These are the Network IDs for the units.

Page 36 © 1999 Biometric Identification, Inc. Command Cards Command Cards allow administrators to add and remove user IDs directly from the Veriprox unit without having to access the software. These can be useful for creating and removing temporary visitor’s badges or administering the system when your PC is down or unavailable. Administering Command Cards Creating Command Cards To create command cards, use the Template Manager (see Enroll Templates on page 29). Reviewing Command Cards By clicking the Command Card icon on the toolbar or selecting the option from the menu, the window below will appear. You will notice that the cards are listed by their Template ID numbers; all indices for each template are implied. Figure 18: Command Card Manager Lists all Delete Command Cards Lists all Enroll Command Cards

Removing Command Cards To remove a command card, highlight the ID number in either the Enroll IDs or the Delete IDs window and click the Delete Entry button directly beneath the window. This will delete the template for all associated indices. Note: You will not receive a warning when you click the button, therefore, make sure that you have selected the correct ID. Using Command Cards Once you have created Enroll and Delete Command Cards, they can be used as follows: Enroll Command Card To enroll a user: 1 Wave the Enroll Command Card near the front of the Veriprox unit. The light will glow amber directing the Administrator to place his/her finger on the unit. 2 If the Administrator is authorized to use the Command Card, the light will glow green and the unit will beep. Continue with the next step. If not, the light will glow red. Return to Step 1 or stop. 3 The light will flash yellow, indicating the system is ready to enroll the new card. Wave the user card to be enrolled. The light will stop flashing. The light will glow amber directing the User to place his/her finger on the unit. 4 If the print is accepted, the light will glow green and the unit will beep indicating that the card has been enrolled.

Delete Command Card To delete a user: 1 Wave the Delete Command Card near the front of the Veriprox unit. The light will glow amber directing the Administrator to place his/her finger on the unit. 2 If the Administrator is authorized to use the Command Card, the light will glow green and the unit will beep. Continue with the next step. If not, the light will glow red. Return to Step 1 or stop. 3 The light will flash red, indicating the system is ready to delete the card. Wave the user card to be deleted. 4 The light will glow green and the unit will beep indicating that the card has been deleted.

Page 39 © 1999 Biometric Identification, Inc. Communication Settings From the Communication Settings dialog, you can modify the Transmit ID, the PC Comm Port, and the Communication Baud rate. Figure 19: Communication Port Settings Click the Modify button to change the displayed settings. Figure 20: Modify Communications Settings Note: Change only one setting at a time and be sure to test the change before clicking the Accept button. Same as the Net Status button on the Toolbar Same as the Veriprox Parameters button on the Toolbar Click if you’re uncertain of the baud rate

Page 40 © 1999 Biometric Identification, Inc. Veriprox Parameters The Veriprox Parameter Settings window aids the Administrator in the following: • Assigning a Network Identification Number to a Veriprox unit • Setting a Global Security Threshold for a Veriprox unit • Enabling/Disabling Wiegand Out Failure and Site codes • Modify the Host and Aux Port baud rates • Change the Host Protocol • View the current statuses and settings of the various ports Figure 21: Veriprox Parameter Settings Note: Use caution when changing settings to ensure that you don’t lose communication with the unit(s). Current statuses and settings

Page 41 © 1999 Biometric Identification, Inc. Network Identification Number In a networked environment, this allows you to assign a unique number to each Veriprox unit on the network (the default setting from the factory is “0”). Setting the Number 1 In the Assign Veriprox Network ID field, type the new Network ID number. 2 Click the Set button. If the transmit ID being used by the PC is set to a different ID, you will lose communication with the unit. To re-establish, contact: 1 Close the Veriprox Parameter Settings window. 2 Select the new ID number in the Transmit ID drop down list on the toolbar. 3 Reopen the Veriprox Parameter Settings window. The information in the lower right corner will reflect the new ID number. You will not loose communications when modifying the network ID parameter on the Veriprox if you use the broadcast transmit ID ,-1 when you are communicating over the auxiliary port. (You would not want to attempt to assign a new network ID by broadcasting this command over a 485 network, as this would program all the readers on the network to the same ID.)

Page 42 © 1999 Biometric Identification, Inc. Global Security Threshold There are two types of security settings: the local security level associated with the individual template; and, the global security level associated with the individual Veriprox unit. You may recall that the system will authorize using the lower of the two. See the appendix for a discussion of security settings and algorithm performance. Example: If the template is set for Very High, and the unit is set for Medium, the authorization will be performed at the Medium setting. Because of Veriprox’s high accuracy rate which practically negates the possibility of a false read, the above affords the unit a high rate of true authorization. Setting the Security Threshold Select the threshold level: • None • Very High • High • Medium • Low • Very Low Click the Set button.

Page 43 © 1999 Biometric Identification, Inc. Wiegand OUT This section allows you to send coded messages to your Wiegand device (where applicable). Failure Code When you check the Check to Enable Failure String box, whatever code you type into the Failure Code field will be sent to the Wiegand device when a failed authorization occurs. The string is numeric and ranges from 0 to 65535. If the box is unchecked then, no string will be sent when a verification fails. Site Code When you check the Check to Enable Site Code box, whatever code you type in the Site Code field will override the site code on all cards used on the unit. The string is numeric and ranges from 0 to 255. If the box is unchecked the site code read from the proximity card will be passed through in the Wiegand out string.

Page 44 © 1999 Biometric Identification, Inc. Host Port and Aux Port Baud Rates You can change the baud rates of both the Host and Aux ports to match your PC and/or other networked devices. In order to maintain communication, if you change the baud rate on the port you are using, the PC’s baud rate automatically will update. 1 In the appropriate section (Host Port or Aux Port), select the appropriate baud rate from the drop down list. 2 Click the Set button. If the display in the lower right corner does not update, close and re-open the window. Host Port Protocol The usual protocol settings are as follows: RS-232 stand alone devices RS-485 networked devices 1 In the Host Port Protocol section, select the appropriate protocol from the drop down list. 2 Click the Set button. If the display in the lower right corner does not update, close and re-open the window. Note: If you change this while talking over the Host Port, you will lose communication with the unit(s).

Page 45 © 1999 Biometric Identification, Inc. Broadcast The Broadcast window allows you to modify settings on all units in a networked environment at the same time. Under most circumstances, you will use this window when communicating over the Host Port (recall that the Aux Port primarily is for communicating with a single unit). You will note that the window is similar to the Veriprox Parameters window. Figure 22: Broadcast Parameters Window Note: As with the Veriprox Parameter Settings window, change one setting at a time and click the Broadcast button after each change. For example: if you wish to change the Security Threshold and the Wiegand Out string: 1) change the threshold; 2) click the Broadcast button in the security section; 3) change the string; and, 4) click the Broadcast button in that section. Warning: This will delete ALL templates! Enter the ID#, then either: 1 enter the Index#, or 2 check the Delete all… box The PC baud rate will update automatically.

Page 46 © 1999 Biometric Identification, Inc. Net Status The Net Status window displays the condition of all units networked. Figure 23: Net Status Window There are three possible conditions: 1. Online 2. No Response 3. Busy

Page 47 © 1999 Biometric Identification, Inc. Getting Service and Support BiometricID, Inc. is available to provide information and assistance. Contact BiometricID using methods discussed below. Before calling, copy down the following version information about your unit: • Software • DLL • Algorithm • Kernel • PIC This can be found in the Help menu under About Veriprox. Technical Support For assistance with technical matters, contact the Technical Support Department by sending e-mail to [email protected]. To speak directly with a technician, call (818) 501-3908. Customer Service and Sales Support BiometricID is here to assist you with your questions. Contact our Customer Service and Sales support departments by calling (818) 501- 3908. World Wide Web Site See our World Wide Web site for breaking information, and other services. The address is www.biometricid.com.

Page 48 © 1999 Biometric Identification, Inc. Appendix A – Quality and Content Section A.1 - Basic Biometric Concepts Biometric Definitions Enrollment is the operation of scanning a fingerprint, determining the quality of the fingerprint scan, and storing a good template with associated data within the memory of the Veriprox. Verification is the operation of presenting the user ID, either by waving a proximity card or typing the ID into the Verify dialog box, requesting the user to place their finger on the Veriprox, scanning the finger, comparing the current scan against stored fingerprint templates for that user, and then notification of a successful validation or a failure. Fingerprint Template is the term used to describe the data stored on the Veriprox that mathematically represents the ridge pattern of an enrolled fingerprint. This data is not the raw image of the fingerprint, but the result of processing a raw image through our unique algorithmic process, preparing the data for later comparisons, and compressing the data for maximum storage. An image of the uncompressed template data does resemble the raw image, but whereas a raw image is 90K bytes, the compressed template is only 348 bytes. Fingerprint Core is the term used to describe distinguishing print characteristics usually found in the area of the print where the topography shows the tightest curvature. Although the entire fingerprint has significant data, the “core” is the most data-intensive area and therefore very important. Scanning an Image When the Veriprox properly reads a fingerprint, it looks for image quality and fingerprint content. When a raw image is collected from the sensor, the Veriprox searches for the fingerprint core.

Page 49 © 1999 Biometric Identification, Inc. Content scores are based upon the amount of non-ambiguous data in the region of the core. The higher the content, the greater the degree of useful information. See Section B.3 for a thorough discussion of content Quality scores are based on how well the ridge pattern is defined within the image. For best image quality, be sure that the sensor window is clear of dirt, residue, or other material that can block the Veriprox’s view of the fingerprint. See Section B.3 for a thorough discussion on quality. Once the image is scanned, the Veriprox then creates and stores the resulting fingerprint template. Storing User Templates on the Veriprox The Veriprox recognizes users by matching current images to stored templates of previously enrolled fingerprints. Along with the fingerprint, the Veriprox requires a proximity card with a unique user ID number. The Veriprox allows associating multiple fingerprints with a single proximity card. Each instance of a template with a specific Id has a unique index (up to 256 indices possible (0-255)). This allows a user to have a single proximity card, but be able to enroll multiple fingers. During VERIFICATION, a user waves their card at the Veriprox reader and places their finger on the sensor. The Veriprox then will scan the current fingerprint and compare it against all enrolled templates for that specific card. If there are multiple templates enrolled under one card, then the Veriprox will check templates in the numerical order based on their index. Example: On Card # 123, a person ENROLLs both their left and right index fingers. The next time that user goes to verify, they wave Card # 123 and place a finger on the sensor. The Veriprox scans the current finger and compares it against the first template (the right index finger, Template ID 123 0). If a match is found, the VERIFICATION is PASSED and the operation ends. If a match is not found, the Veriprox will check the second print (the left index finger, Template ID 123 1). If a match is found, the VERIFICATION is PASSED and the operation ends. If the match is not found and since all templates have been compared, the VERIFICATION is FAILED. NOTE: The initial finger scan takes ~0.5 seconds and each comparison takes ~0.5 seconds. So if the first template results in a successful verification, the total time is ~1.0 seconds. Successful verification on the second templates requires ~1.5 seconds, and so on.

Page 50 © 1999 Biometric Identification, Inc. Section A.2 - Proper Finger Placement The basics for successful operation of the Veriprox are simple but important. System performance improves dramatically with consistent finger placement. It is important to make sure that the position of the finger allows the Veriprox to record the unique features of the print. Here are the steps to follow for trouble-free fingerprint recognition. • BII has designed the Ridge-Lock to create “simple user instruction” and “consistent” finger position. With the fingertip raised, position the finger so that the Ridge-Lock rests comfortably within the first indentation of the finger. Next, lower the finger onto the sensor and apply moderate pressure. Common mistakes Correct finger placement is a significant component for reliable fingerprint imaging. The following list some common mistakes to avoid. • Sliding the fingertip into place instead of lowering it onto the sensor will cause distortion of the fingerprint and will degrade image quality. Keep the fingertip raised while locating the Ridge-Lock, then lower the fingertip. • Rotating the finger into position also will cause distortion of the fingerprint, subsequently making verification less reliable. • Positioning the finger to one side and leaving a portion of the sensor exposed will degrade image quality. • Placing the finger at an angle to the finger guide is another common mistake. Rotation of the fingertip will not provide a reliable image of the fingerprint. Image quality Dry skin is another factor that can contribute to an unreliable image of a fingerprint. A normal amount of moisture on the skin makes the ridges and valleys of the fingerprint stand out to the sensor. Too little moisture makes the image “noisy” and will “cause Veriprox to reject the image during processing. Lightly moisturizing the finger will enhance the contrast of the print and provide more reliable verification. The increased sensitivity of the silicon sensor is dramatically reducing problems in this area.

Page 51 © 1999 Biometric Identification, Inc. Image consistency Once a user’s fingerprint template has been enrolled, the best performance in the candidate matching process depends on consistency. Obviously, the user must use the same finger for ID verification as was used to form the original template. It also is important to position the finger correctly for each verification, as was done when the template was enrolled, so the Veriprox “sees” approximately the same information each time.

Page 52 © 1999 Biometric Identification, Inc. Section A.3 - Using Content and Quality during Enrollments As described in section A.1, Quality and Content scores are returned in the enrollment process. These scores give an indication of the performance of the template enrolled. To a large degree, the verification algorithm compensates for deficiencies in image quality and loss of information content. Nonetheless, knowledge of these parameters and what they mean helps ensure optimal performance of the Veriprox. False Acceptance and False Rejection In order to understand the effects of poor image quality and poor information content it is necessary to understand how to measure performance. Performance of the Veriprox is presented in terms of False Rejection and False Acceptance. False Rejection indicates that the Veriprox incorrectly rejected a fingerprint that corresponds to the person’s template. False Rejections rarely occur and primarily result from the inability to get a good image of the finger. False Acceptance indicates that the Veriprox accepted a fingerprint that does not correspond to the template it was compared against. False Acceptances also are rare and primarily result when a fingerprint template is characterized by low information in the enrolled print. The algorithm on the Veriprox has been tuned so that the false acceptance and false rejection rates are equal at the medium security level (level 3), delivering the industry leading accuracy. This is known as the Equal Error Rate. Increasing the security (e.g., changing the security level from 3 to 1) will decrease the chance for false acceptance at the expense of increased false rejection. Reducing the security (e.g., changing the security level from 3 to 5) will decrease the chance of a false rejection at the expense of false acceptance. The table below indicates the expected error rates at the different security levels. Security Level False Rejection Rate False Acceptance Rate Very Low (5) 1 / 10,000 1 / 100 Low (4) 1 / 5000 1 / 200 Medium (3) 1 / 1000 1 / 1000 High (2) 1 / 200 1 / 5000 Very High (1) 1 / 100 1 / 20,000

Page 53 © 1999 Biometric Identification, Inc. Quality The quality score is based on how well the ridge pattern is defined within the fingerprint image that was enrolled. In other words, quality measures how clearly the Veriprox imaged the fingerprint. Poor quality enrollments can result in an elevated rate of false rejection making it difficult for the user to verify reliably. The score is given in stars (
) and ranges from zero to five stars, with five being the best quality (rarely obtained) and zero being the worst. Quality scores of three stars and higher perform well with the BII verification algorithm. In this range, the algorithm readily compensates for differences in fingerprint quality. It statistically is still true that the larger the quality score the better the performance of an enrollment. As a general rule of thumb, quality scores less than three stars require intervention on the part of the enroller or administrative software. Sources of low scores include dry fingers and dirty sensors. If the quality score falls below three stars, BII recommends the following options: • Ensure that the sensor and finger are clean. • If the finger and sensor are clean and a dry finger is suspected, try re-enrolling one more time, leaving the finger on the sensor for several seconds prior to enrollment. Frequently finger moisture accumulates over time to provide a good image. • Fingerprint quality can vary among individual fingers for the same person. Try enrolling an alternate finger to see if the score improves. • Alter the security level for that particular template by decreasing the threshold a minimum of 1 level (e.g., change the value from medium [3] to low [4]). This will offset the false rejection for that template by making it easier to match. If use of that template indicates that raising the threshold one level still produces false rejections, try setting the value to its lowest security (level 5). Warning: Decreasing a template’s security may increase the risk of a false acceptance for that template. A thorough enrollment procedure will ensure streamlined and reliable verification for users. It is recommended that all four options be performed in the order listed above to maximize the performance of the device. Very Low Very High

Page 54 © 1999 Biometric Identification, Inc. Content The Content score is based upon the amount of usable information the Veriprox sees in the fingerprint. Templates that are characterized by low content scores may result in elevated rates of false acceptance. Again, the score is given in stars (
) and ranges from zero to five stars, with five being the most content and zero being the least. Content scores of three stars and higher perform well with the BII Algorithm. In this range the algorithm has enough information to distinguish between different fingerprints with a high level of accuracy. Templates with content scores above two stars do not vary in terms of the error rates. Content scores less than three stars require intervention on the part of the enroller or administrative software. Sources of poor content include improper finger positioning and extremely bland fingerprints. If the content score falls below three stars, BII recommends the following options: • Try re-enrolling the same finger if finger positioning seems to be the issue (see section A.2). Ensure that the user can comfortably place the finger on the sensor while maintaining the core region in the image. • Fingerprint content can vary among individual fingers for the same person. Try enrolling an alternate finger to see if the score improves. • Alter the security level for that particular template by increasing the threshold a minimum of 1 level (e.g., change the value from medium [3] to high [2]). This will offset the false acceptance for that template by making it more difficult to match. If use of that template indicates that raising the threshold one level still produces false rejections, try setting the value to its highest security (level 1). Warning: Increasing a template’s security may increase the risk of a false rejection for that template. Very High Low Content

Page 55 © 1999 Biometric Identification, Inc. A thorough enrollment procedure will ensure streamlined and reliable verification for users. It is recommended that all three options be performed in the order listed above to maximize the performance of the device. Content and Quality Summary Table 1: Quality and Content Minimum Thresholds Score Poor Range Normal Range Quality Less than three stars Three or more stars Content Less than three stars Three or more stars Table 2: Veriprox Administrative application map of score versus category Score Quality/Content Category
Very poor

Poor


Fair



High




Very high Recommended Enrollment Process • Have the user pick one of the following fingers for enrollment: Left Index, Left Middle, Right Index, or Right Middle. • Enroll the chosen finger and note the quality and content results. • If either is below the minimum threshold, follow the directions outlined in the previous section. • If both are above their minimum thresholds, either accept the created template, or attempt another finger trying to achieve the best quality possible. • If multiple fingers are attempted and only one finger is required, choose the template where both quality and content are above the threshold, and which the quality is maximized.

Page 56 © 1999 Biometric Identification, Inc. Biometric Identification Inc. 5000 Van Nuys Blvd., Suite 300 Sherman Oaks, CA 91403 Phone 818.501.3908 Fax 818.461.0843 World Wide Web Site: www.BiometricID.com