ETR

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 ETR version 3.1.4.

If you are using version 4.0.0 or higher of the ETR, consult the manual: GBS ETR 4.0.0.

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, which includes the statuses Analysis, Review and Divergent. The last two are available only when the Double-Blind feature is enabled (more information in Double-Blind). The status Treated can also be displayed if selected in the filters.

For each possible status, exceptions are ordered ascending by date.

Exception List

Filters

In the top bar there are several types of filters:

• Period;

• Exception Type: All, Enrollment, Update;

• Status: All, Pending, Analysis, Review, Divergent, Treated;

• Search text, to restrict by key, biographical field or label; This filter ignores the status and exception type filters;

• TGUID: when applied, overrides the other filters;

• Responsible: filters by the user responsible for the exception;

• external: filters by an external key.

The external filter may not appear or may have a different name in your environment.

filters

When one or more filters are applied, they are shown at the top of the list. It is possible to quickly remove each filter individually, or all at once.

remove filters buttons

Status:

• Analysis:

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

• Treated:

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

• Review:

  Present only when double-blind is active. Exceptions in this state have already been analyzed by a specialist, but still require analysis by another specialist.

• Divergent:

  Present only when double-blind is active. Exceptions with divergent treatment decisions are listed as Divergent. A supervising specialist needs to decide the appropriate treatment.

Status Groups:

• Pending:

  All exceptions that require some type of analysis. Includes Analysis, Review and Divergent.

• All:

  All the possible status values described above.

Exception Item

Each item in the list is clickable and associated with an exception.

Exception item

When an exception has never been accessed by a user, the symbol with a transparent background will appear. After being accessed, Update Exceptions will have a blue background and Registration Exceptions, green background. The user can also identify the exception type by the update symbols Update Exceptions and a plus symbol on the Registration Exceptions.

The reported date and time indicate when the exception was generated, if it is pending. For exceptions with status Treated, the date and time indicate the moment when the treatment was effected.

The information Original is associated with the pre-existing profile that matched the new profile. Exception is the incoming profile whose registration or update attempt generated the exception. The displayed fields are configurable. If no field is available, the PGUID indicates the information of the original profile and the TGUID indicates the exception profile.

Finally, on the right the exception status is displayed, which can be one of the following:

• Analysis (Yellow)

• Review (Orange)

• Divergent (Red)

• Treated (Green)

The status will change to

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

The available options are:

• Logout.

• Manual

• Change Password

• Logout

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

Exception Details

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

Exception Detail

This screen can be divided into the following sections:

General Information

This panel shows general data about the exceptions, such as:

• Exception Type

  • Enrollment

  • Update

• Exception Information

  • Creation date (or resolution)

  • Expert

• Exception Status

  • Analysis

  • Review

  • Divergent

  • Treated

• Action Button

  • Button to go back to the exception list.

General Information

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 Same Biometrics;

Treat as Merge profiles.

possible actions buttons

• The possible actions can produce the following results:

• Keep profiles (green highlight)

• Reject one profile and accept another (the rejected profile will have a red highlight)

• Merge profile data (green highlight) ResultUnknown . The exception profile will be rejected

and additional actions will be necessary. (Yellow highlight)

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

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

When Registration Exceptions Biometrics Selection Update 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).

select biometrics pop-up menu

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, use the and left right

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

• On the left side of the screen, the colors of the biometric icons indicate their selection status:

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

• Gray: biometrics currently being shown on the screen.

Green: biometric selected, a decision has been made.

select biometrics status

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

section.

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:

Related Exception

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.

You can navigate through the exceptions by clicking the number or expanding the sidebar by clicking the >> button.

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

When exporting more than one exception, ETR will attempt to open as many browser pages as 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 correctly. 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.If a related update exception is approved, the others must,

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

Biometric Comparison

All treatments chosen for related exceptions are saved during the workflow. However,

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

biometric comparison

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 option is selected, the user can drag the images with the right 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 Rotation right 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 enabled, both images will always have the same magnification and positioning.

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.

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;

• restore biometric trait

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

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

• 12-hour (AM/PM)

24-hour

Logout.

Match highlight color.

Besides showing the versions of GBS ETR and GBS Common Server.

Flows

1. Default Flow

2. The default flow to handle an exception is shown below:

3. Log in to the application

4. Open pending exception

5. Compare the images of each profile

6. Add comment (if desired)Export to PDF (if desired), Decide how to treat the exception (, Same biometrics, Different biometrics or Incorrect Registration)

Recollect Merge and In some cases, Approve

Reject

may also be options to handle an exception.

The next section describes the allowed treatment types.

Handle Exception

Finally, the expert can choose how to handle the exception.	There are 5 possible treatments, depending on the desired resolution for the exception, described in the table below:	Treatment
Decide how to treat the exception (	Registration Transaction	Update Transaction
Same biometrics	Indicates that the incoming registration has biometrics different from those of the profile already present in the database (false positive).	Does not accept the biometric data of the new transaction.
Different biometrics	Not recommended.	Not recommended.
The original registration is canceled and the new registration is accepted.	Discards the transaction that generated the exception.	Same Biometrics
Incorrect Registration	Indicates that the incoming registration has biometrics that match the profile already present in the database.	Indicates that the incoming registration has biometrics different from those of the profile already present in the database (false positive).

Recollect Merge and In some cases, Approve

Accepts the biometric data of the new transaction.

Merges the original transaction with the new one, adding the biographical and biometric data of the new transaction to the existing record.

Original Transaction:

The transaction that was already registered in the database.

Double-Blind

New Transaction:

The transaction that generated the exception and is awaiting treatment in ETR.

GBS ETR Server

The double-blind feature requires the GBS ETR Server to be installed and in operation. Contact Griaule support if you need help installing this component.

Flows with GBS ETR Server

1. The GBS ETR Server will frequently update the database with the exceptions listed in GBDS, after taking over the review of the exceptions for itself.

2. When listing exceptions, the GBS ETR Server will display: Review)

3. Exceptions that have no decisions. Divergent)

Exceptions with only one decision, made by a user different from the current one (status

• Exceptions with two divergent decisions, if the current user is a supervisor (status

• For each exception received by the GBS ETR Server, the following may occur after the user applies a treatment decision:

• If the decision was the first for that exception, the exception will still be displayed to other users.

• If the decision was the second for that exception, and the treatment is the same as the first, the decision is final and the exception will be marked as treated.