ETR 4.0.0

Introduction

The GBS ETR (Exception Treatment) is a web application for biometrics specialists that assists in the process of handling exceptions generated by GBDS. This software allows profiles in exception to be compared in a clean and intuitive interface.

This manual is updated for version 4.0.0 of ETR.

Access and Authentication

GBS ETR must be accessed with a web browser, and Google Chrome is the recommended option. The access URL is specific to each installation. If necessary, contact Griaule support to obtain the correct URL.

To access the application you must authenticate. The credentials required by ETR are username and password.

Login screen

Two-Factor Authentication (2FA)

When two-factor authentication (2FA) is enabled, the first time you log in, after entering your username and password, a QR Code will be shown that must be registered in Google Authenticator.

Google Authenticator is an authentication code generator available as a smartphone app Android and iOS.

Google Authenticator QR Code for two-factor authentication

After successfully registering the QR Code in Google Authenticator, enter the six-digit code generated and click Submit.

You will only need to register the QR Code once. However, on each subsequent login, you will need to enter the six-digit code generated by Google Authenticator.

Two-Factor Authentication

There is a limited number of unsuccessful login attempts that a user can make. Whenever an incorrect code is entered, an error message will be displayed:

Two-Factor Authentication - incorrect code

If you reach the maximum number of unsuccessful login attempts, your account will be automatically locked.

Two-Factor Authentication - account locked

If your account is locked, contact the system administrator.

Simultaneous Logins and Browser Registration

Only one session per user is allowed. It is not possible to log in simultaneously with the same profile more than once in the application. If a user is already connected and another access occurs using the same username and password, the user with the older session will be notified and disconnected on the next action.

Additionally, only one browser can be used at a time. When attempting to log in using a different browser, the user will be informed that it is necessary to authenticate the new browser. Authenticating a new browser will revoke access from the previous browser.

To authenticate a new browser, click Authenticate and then enter the verification code that will be sent to the email associated with the user's account.

If authentication is successful, a notification will appear in the upper right corner of the screen after login.

Change or Reset Password

For security reasons, you can change your password or reset it if you forget it.

Change Password

To change your password, after logging in, hover over your username in the top right corner of the screen and click Change password.

Then enter the current password and the new password twice. Make sure to meet the password requirements; they are listed below the new password field and will turn green when met. Finally, to confirm the change, click Change password.

Reset Password

To reset your password, on the login screen, click Forgot your password?:

Then enter the profile username and click Submit.

An email containing a verification code will be sent to the email address associated with that profile. Enter the verification code and click Submit code.

If the code is correct, you will be able to create a new password. Enter the new password twice. Make sure to meet the password requirements, they are listed below the new password field and will turn green when met. Finally, to confirm the reset, click Reset password.

User Interface

Exception List

The exception list, by default, lists all pending exceptions.

Exceptions are sorted in ascending order by date.

Exception List

Filters

In the top bar there are several types of filters:

• Period (choose the start and end dates);

• Exception Type: Biometric, Biographic, Both;

• Category: Update, Enrollment, All;

• Biographic status: Analysis, Treated, All;

• Status (biometric): Analysis, Treated, All;

• Key, biographic or label (this filter overrides the status and exception type filters);

• TGUID (when applied, overrides the other filters);

• Responsible: filters by user responsible for the exception;

• External: filters by an external key.

The External may not appear or may have a different name depending on your environment.

filters

When one or more filters are applied, they are shown at the top of the list. You can remove each filter individually, or all at once.

remove filters buttons

Status:

• Analysis (yellow):

  Exceptions that have not yet been analyzed (pending, without a treatment decision).

• Treated (green):

  Exceptions that have been analyzed and had a treatment decision. Profiles in GBDS can be affected by the decision.

• Exceptions of the type Biometric will, by default, initially have the Biographic Status Treated and the Biometric Status Analysis.

• Exceptions of the type Biographic will, by default, initially have the Biographic Status Analysis and the Biometric Status Treated.

Exception Item

Each item in the list is clickable and is associated with an exception or group of exceptions.

Exception item

On the far left of each item, an icon indicates the exception type and whether it has already been accessed.

When an exception has never been accessed by a user, the icon will appear with a transparent background (indicated by 1, 3 and 5 in the image above).

After being accessed, Enrollment Biometric Exceptions will have a green background (2), Update Biometric Exceptions will have a blue background (4) and Biographic Exceptions will have a blue background (6).

The user can also identify the exception type by the sum symbols Enrollment Biometric Exceptions (1, 2), update symbols Update Biometric Exceptions (3, 4) and sheet of paper symbols Biographic Exceptions (5, 6).

The displayed date indicates when the exception was generated, if it is pending analysis. For exceptions with status Treated, the date indicates the moment the treatment was carried out.

The following columns indicate the name of the person in exception, the type of exception, the number of exceptions in that group, the type of biometrics (only for enrollment biometric exceptions) and the biographic and biometric status of the exception.

When an exception item is clicked, the application displays the exception details screen. The differences between exception types are described in the sections Biometric Exception Details and Biographic Exception Details.

The status will change to

The menu can be opened by hovering over the username in the top right corner of the screen.

The status will change to

The available options are:

• Logout.

• Manual

• Change password

• Logout

Biometric Exception Details

When a biometric exception is clicked in the exception list, or when a direct link to an exception is clicked, the application displays the biometric exception details screen. This screen displays all information necessary for handling the exception and offers all possible actions for handling.

Exception Detail

This screen can be divided into the following sections:

• General Information

• Profile Records

• the original profile's, but the expected behavior was that they would match, that is, that the incoming profile would present a positive match with the profile being updated.

• Viewing Images

General Information

This panel shows general data about the exceptions.

General Information

It contains the following information:

• Biometric Exception Type

  • Enrollment

  • Update

• Exception Information

  • Creation date (or resolution, if already treated)

  • Expert

• Exception Status

  • Analysis

  • Treated

• Action Button

  • Button to go back to the exception list.

Profile Records

This screen will always display two panels side by side, one for each profile. The left panel represents the Original Profile (pre-existing in the database) and the right panel represents the Exception Profile (whose submission generated the exception, also called the incoming profile).

Profile Records

The profile panel can be divided into two parts:

Biographical Data:

This section displays all the keys and biographical data of the profile and is displayed at the top of the panel. The section can also have labels of the profile, if configured. In this section, the profile's facial photo can be displayed on the left, depending on the configuration.

Biometrics:

This section contains all the biometric images of the profile and is displayed in the bottom of the panel. Each tab represents a type of biometric, among fingerprints, palmar, iris and signature. The environment must have at least one type of biometric configured. This section also includes a tab for auxiliary images, such as mugshots, scars, marks and tattoos, if available.

The details of already loaded biometric images can be displayed by clicking on each image. It is also possible to drag and drop a biometric over another from a distinct profile. This action will open a new screen that will allow side-by-side comparison of the two biometrics. This feature is described in more detail in the Biometric Comparison.

section.

Eventually, errors may occur when loading biometric images. This indicates that the profile has the biometric registered, but the image cannot be loaded due to some server error.

In this case, an error message and a button to retry the upload will be displayed over the affected images. If successful, the images will be displayed correctly. If errors persist, contact Griaule support. On this screen, data that show inconsistencies between profiles are highlighted with ared border . This highlight indicates that the comparison between the profiles' information differs from what was expected

and should be interpreted according to the exception type:Registration Exception : indicates that the information of the exception profile match

the original profile's, but the expected behavior was that they would not match, that is, that the profile being registered was different from all others already in the database.Registration Exception Update Exception do not match

the original profile's, but the expected behavior was that they would match, that is, that the incoming profile would present a positive match with the profile being updated.

Possible Actions

• The possible actions for the exception are displayed in a panel at the bottom of the screen, with buttons to perform the treatment, such as:

• Treat as Different Biometrics;

• Treat as Incorrect Registration;

• Treat as Recollect;

• Treat as Merge.

Treat as Merge profiles.

The possible actions can produce the following results (or a combination of them):

• Keep a profile (green highlight): the original profile is kept in the database.

• Register a profile (green highlight): the profile is registered in the database.

• Discard a profile (red highlight): the profile is rejected and its data is discarded.

• Incorrect Registration profile data (green highlight): the data of the two profiles are merged.

• Merge profile data (green highlight) unknown (yellow highlight). The exception profile will be discarded and additional actions will be necessary.

In some cases, the Approve and Reject options may be available. These options can be configured to have different results. The profile highlight will indicate when a profile will be kept or discarded.

Before handling an exception, if necessary, it is possible to remove a biometric. For more information, see the section : Good (Light Green).

Check your business rules to understand the correct procedures for handling. For more information on how treatments affect profiles in the GBDS, see the section Biometric Exception Handling, in the chapter of Match highlight color..

Check your business rules to understand the correct procedures for handling.

When Enrollment Biometric Exceptions Biometrics Selection Update Biometric Exceptionsare treated with Merge profiles or

, with Same biometrics, it is possible to choose the biometrics that will be kept and used by GBDS as references for matching with that profile (the other biometrics will be discarded).

, with Same biometrics, it is possible to choose the biometrics that will be kept and used by GBDS as references for matching with that profile (the other biometrics will be discarded).

This option will only be available if enabled in the configuration files. Contact your system administrator to check availability in your environment.

After selecting a biometric, to navigate to other biometrics that need to be selected, click the Previous and Next buttons at the bottom of the screen or use the arrow keys After selecting a biometric, to navigate to other biometrics that need to be selected, use the and left on the keyboard.

arrow keys on the keyboard or click the Previous and Next buttons at the bottom of the screen.

• White: no biometric has been selected, awaiting decision.

• Gray: biometrics being shown on the screen at this moment.

• Green: biometric selected, a decision has been made.

Green: biometric selected, a decision has been made.

If one of the profiles does not contain some of the biometrics, the biometrics of the other profile (if available) will be automatically selected:

If one of the profiles does not contain one of the biometrics, the biometrics (if available) of the other profile will be automatically selected:

If one of the profiles does not contain one of the biometrics, the biometrics (if available) of the other profile will be automatically selected:

automatic selection when missing traits Note that, for each pair of biometrics shown, there are several viewing options, such as zoom, pan and rotation, in addition to options to show minutiae and singularities. More information about these options can be found in the.

Viewing Images

Some profiles may have more than one associated exception. When this happens, a new sidebar will be added to the left side of the screen. Associated exceptions can be of the type biometric or biographic.

In the upper right corner of the screen, click on the username to access the menu:

In the upper right corner of the screen, click on the username to access the menu:

You can navigate through the exceptions by clicking the number or expanding the sidebar by clicking the >> button located at the bottom of the sidebar.

Some profiles may have more than one associated exception. When this happens, a new sidebar will be added to the left side of the screen.

When exporting more than one exception, ETR will try to open as many browser pages as the exception profiles you have. This action is sometimes blocked by the browser and you must allow the ETR page to open pop-ups to use this functionality properly.

You can also export all related exceptions by clicking Export PDF -> All exceptions.

• If a related update exception with multiple keys is approved, all the others must, Related exceptions can occur in update transactions when the system uses multiple unique keys. In this scenario, the treatment options will be reduced to Approve, Reject and Recollect., be rejected.

• If a related update exception with multiple keys is handled with recollect, all the others must, Related exceptions can occur in update transactions when the system uses multiple unique keys. In this scenario, the treatment options will be reduced to Approve, Reject and Recollect., be handled with recollect.

necessarily , be rejected, while recollect must be applied to all related exceptions..

Biographic Exception Details

When a biographic exception is clicked in the exception list, or when a direct link to an exception is accessed, the biographic exception details screen will be shown. This screen displays all information necessary for handling the exception and offers all possible actions for handling.

This screen, as well as the biometric exception details can be divided into general information, profile tabs, possible actions and related exception.

The general information is the same, only adding the reason for the biographic exception, which was entered when submitting the profile to the server. The profile tabs also have the same information, however, only one panel is displayed, since the biographic exception does not compare two profiles, there is only the exception profile. In addition, related exceptions also have the same arrangement of information on the screen, and a biographic exception can be related to a biometric exception.

The possible actions for handling a biographic exception differ from those for biometric exceptions and are described in the following section.

the original profile's, but the expected behavior was that they would match, that is, that the incoming profile would present a positive match with the profile being updated.

The possible actions for handling biographic exceptions are:

• Reject Biographics

• Approve Biographics

• Edit and Approve Biographics

Check your business rules to understand the correct procedures for handling. For more information on how treatments affect profiles in the GBDS, see the section Biographic Exception Handling, in the chapter of Match highlight color..

1

Reject Biographics

To reject a biographic exception, click the Reject biographics button located at the bottom of the screen. Then, enter a comment if necessary, and click Reject biographics to confirm the action.

2

Approve Biographics

To approve a biographic exception without making changes, click the Approve biographics button located at the bottom of the screen. Then, enter a comment if necessary, and click Approve biographics to confirm the action.

3

Edit and Approve Biographics

If it is necessary to make changes to the profile's biographics, click the Edit biographics button located at the top left of the profile panel. Then, a modal window will appear with the fields available for editing. Make the necessary edits and click Update and accept biographics.

A confirmation window, showing the old and new values, will be displayed. Click Update and accept to confirm the action.

After the handling, if the operation was completed successfully, a success message will appear in the upper right corner of the screen.

Additionally, the biographic exception status will change to Treated (approved).

Biometric Comparison

When clicking on one of the biometrics (face, fingerprint, palm, iris or signature), a modal window will be displayed comparing side by side the biometric of the original profile (on the left) with the corresponding biometric of the profile that generated the exception (on the right).

the treatments are only applied to transactions after all related exceptions in the group receive a treatment

When clicking one of the biometrics (face, fingerprint, palmar, iris or signature), a modal window will be displayed comparing side by side the biometric of the original profile (on the left) with the corresponding biometric of the profile that generated the exception (on the right).

If one of the profiles does not have the corresponding biometric, an empty field will be presented.

Note that, for each pair of biometrics shown, there are several viewing options, such as zoom, pan and rotation, in addition to options to show minutiae and singularities. More information about these options can be found in the

In addition, there are several options to customize image viewing:

It is possible to change the biometric by selecting a new item in the dropdown menu.

• There are several options to customize the image viewing:

  image viewing options

• Magnification (Zoom)

  By default, images are automatically adjusted to occupy all available space in the viewing window. The user can change the magnification (zoom) using the mouse wheel. Panning When the left Move image Rotate image if selected, it is possible to move the image using the right button mouse button to pan the visible region. This operation is only possible when the image size is larger than the size of the viewing window. If the

• option is selected, it is possible to pan the image using the

  mouse button. Rotate image and clicking and dragging the image with the left button mouse button to pan the visible region. This operation is only possible when the image size is larger than the size of the viewing window. If the

• The user can rotate the image by selecting the

  option and clicking and dragging the image with the

• Show/hide minutiae

  If this option is selected, both images will show all detected minutiae. Each minutia is highlighted with a color according to its quality score (blue for good quality, yellow for medium and red for low quality).

• Any changes made to the report do not affect the fragment or the reference images.

  Show/hide cores and deltas

• Create matches

  If this option is selected, both images will show the detected cores and/or deltas.

  

If this option is selected, both images will show the matches (coincident minutiae) highlighted in green. The number of displayed minutiae can be selected by dragging the slider.

show matching minutiae

• 0 - 20%Quality

• 21% - 40%Below each image, when available, a quality value in the range of 0% to 100% will be displayed. Quality is classified into the following ranges:

• 41% - 60%: Very Low (Orange)

• 61% - 80%: Low (Yellow)

• 81% - 100%: Medium (Blue)

: Good (Light Green)

: Very Good (Dark Green)Remove a Biometric

Having the appropriate permissions

, it is possible to remove a biometric from a profile before treating the exception. To do this, hover over the biometric and click the trash icon in the top right corner of the biometric. Then confirm the action by clicking Remove.

remove biometric trait

Logout.

Logout.

After removal, the text "Biometric removed" will appear in place of the removed biometric. It is possible to undo the action by restoring the biometric. To do this, hover over the removed biometric and, in the top right corner, click the restore button. Then confirm the action by clicking Restore.

• Theme: Theme: or or;

• Language: Portuguese, English or Spanish;

• mm/dd/yyyy yyyy/mm/dd or Time Format:;

• English This screen allows the user to configure four options:, Language; or dd/mm/yyyy;

• Match highlight color (minutiae with match).

In addition to showing the versions of GBS ETR Web, New Transaction:, GBS Common Server, React Griaule UI and React Griaule Konva.

Match highlight color.

Biometric Exception Handling (standard flow)

The standard flow to handle a biometric exception is shown below:

1. Log in to the application;

2. Open pending biometric exception;

3. Compare the images of each profile;

4. Decide how to handle the exception (Same biometrics, Different biometrics, Incorrect Enrollment, Recollect or Merge);

5. Add a comment, if desired;

6. Export to PDF, if desired (it is also possible to export to PDF before performing the handling).

In some cases, Approve and Reject may also be options to handle an exception. Additionally, depending on the situation or environment, some options may not be available.

Handle Exception

Finally, the expert can choose how to handle the exception.	Enrollment Biometric Exception	Update Biometric Exception
Decide how to treat the exception (	Indicates that the profiles have different biometrics and there was a false positive. The original profile will be kept and the exception profile will be registered.	Indicates that the exception profile has different biometrics from the profile being updated. The original profile will be kept and the exception profile will be discarded.
Incorrect enrollment	(not recommended)	Indicates that the original profile was enrolled incorrectly. The original profile will be deleted and the exception profile will be registered.
Different biometrics	Indicates an error in the biometric collection of the exception profile. The original profile will be kept and the exception profile will be discarded.	Indicates an error in the biometric collection of the exception profile. The original profile will be kept and the exception profile will be discarded.
Export to PDF (if desired)	Indicates that the biometrics of the exception profile match those of the original profile. The original profile will be kept and the exception profile will be discarded.	Indicates that the biometrics of the exception profile match those of the original profile and there was a false negative. The original and exception profiles will be merged.
Incorrect Registration	Indicates that the biometrics of the exception profile match those of the original profile. The original and exception profiles will be merged.	(not recommended)

Biographic Exception Handling (standard flow)

The standard flow to handle a biographic exception is shown below:

1. Log in to the application;

2. Open pending biographic exception;

3. Analyze the profile's biographic data;

4. Decide how to handle the exception (Reject biographics, Approve biographics, Edit and approve biographics);

5. Add a comment, if desired;

6. Export to PDF, if desired (it is also possible to export to PDF before performing the handling).

There are 3 possible treatments, depending on the desired resolution for the exception, described in the table below:

Finally, the expert can choose how to handle the exception.	Description
Reject biographics	The profile's biographic data are not acceptable and will be discarded. The profile will not enter the database.
Approve biographics	The profile's biographic data are acceptable and will be added to the database. The profile will enter the database.
Edit and approve biographics	The profile's biographic data are edited before being accepted and added to the database. The edited profile enters the database.