Identification for Development - Tampa 083112

Alan Gelb, Center for Global DevelopmentAlan Gelb, Center for Global DevelopmentPresentation to the Biometrics Consortium Conference, Tampa Florida, September 18, Presentation to the Biometrics Consortium Conference, Tampa Florida, September 18,

2012. 2012. (Research joint with Julia Clark, Center for Global Development) (Research joint with Julia Clark, Center for Global Development)

Biometrics and Identification Biometrics and Identification in Developmentin Development

OverviewOverview1.1. INTROINTRO – identification, development, and – identification, development, and

social programssocial programs2.2. TECHNOLOGYTECHNOLOGY – the biometric revolution – the biometric revolution3.3. CASES CASES – biometric identification in developing – biometric identification in developing

countries: findings from a global surveycountries: findings from a global survey4.4. STRATEGIESSTRATEGIES – key lessons and pitfalls – key lessons and pitfalls5.5. DONORSDONORS – roles and priorities in the area of – roles and priorities in the area of

identificationidentification

22

Intro Identification and Intro Identification and DevelopmentDevelopment

33

necessary for necessary for exercising basic rightsexercising basic rights

instrumentinstrument and and goal goal of developmentof development

necessary for service necessary for service delivery including delivery including social programs social programs (cash transfers, (cash transfers, pensions, healthcare)pensions, healthcare)

INTROINTRO TECHNOLOGY CASES STRATEGIES TECHNOLOGY CASES STRATEGIES DONORSDONORS

““Identifiability” is necessary to Identifiability” is necessary to access basic rights and access basic rights and

development…development…UN declaration on human rights:UN declaration on human rights:

namename nationalitynationality recognition before the lawrecognition before the law take part in governmenttake part in government an identity with family tiesan identity with family ties equal access to public services…equal access to public services…

More in convention on the rights of the childMore in convention on the rights of the child

44INTROINTRO TECHNOLOGY CASES STRATEGIES TECHNOLOGY CASES STRATEGIES DONORSDONORS

… … but lagging in poor but lagging in poor countriescountries

Under-documentationUnder-documentation(children (children adults adults children) children)

48 million unregistered births each year, 36% of total (UNICEF)48 million unregistered births each year, 36% of total (UNICEF)• LDCs: LDCs: 71% 71% • South Asia: South Asia: 63%63%• Sub-Saharan Africa: Sub-Saharan Africa: 55%55%• Rich countries: Rich countries: 2% 2%

12 million stateless (UNHCR)12 million stateless (UNHCR)

These people do not formally exist! These people do not formally exist! But ID is not enough, must have “functionality”: But ID is not enough, must have “functionality”: development purposedevelopment purpose

55INTROINTRO TECHNOLOGY CASES STRATEGIES TECHNOLOGY CASES STRATEGIES DONORSDONORS

““Robust” developmental ID Robust” developmental ID mustmust

Be inclusiveBe inclusive::– Avoid unnecessary cost barriers for the poor Avoid unnecessary cost barriers for the poor – Address failures-to-enroll (worn fingerprints)Address failures-to-enroll (worn fingerprints)– Achieve financial sustainabilityAchieve financial sustainability

Have integrity: Have integrity: – For both enrolment and authenticationFor both enrolment and authentication

Conform to social norms: Conform to social norms: – Privacy concerns not yet prominent but will likely Privacy concerns not yet prominent but will likely

increase over timeincrease over time

66INTROINTRO TECHNOLOGY CASES STRATEGIES TECHNOLOGY CASES STRATEGIES DONORSDONORS

2. Technology2. TechnologyThe biometrics revolutionThe biometrics revolution

77

88

Rapid Industry Growth Rapid Industry Growth in Developing Countries in Developing Countries

Estimated growth rate of biometrics industry by region, USD millions

Region Sales, 2005 Sales, 2010% of Global Sales, 2005

% of Global Sales, 2010

Growth per Year

South America 137.0 515.8 9% 10% 30%Middle East / India 160.0 715.9 10% 14% 35%Africa 87.7 415.8 6% 8% 37%Developing countries

384.7 1647.5 25% 31% 34%

Asia-Pacific Rim* 372.4 1158.0 24% 22% 25%Europe / Australia 257.0 821.1 17% 16% 26%North America 524.8 1637.0 34% 31% 26%Industrialized countries

1154.2 3616.1 75% 69% 26%

World 1538.9 5263.6 100% 100% 28%

Development-related

Security & surveillance

* Mixed grouping, both developed and industrializedINTRO INTRO TECHNOLOGYTECHNOLOGY CASES STRATEGIES CASES STRATEGIES DONORSDONORS

Performance? Performance? Has worked in some very difficult conditionsHas worked in some very difficult conditions Error rate data not available for many cases. But UID Error rate data not available for many cases. But UID

has disclosed FTE, FAR and FRR with 84m enrolleeshas disclosed FTE, FAR and FRR with 84m enrollees– Achievements are impressive (even more so if applied in Achievements are impressive (even more so if applied in

smaller countries) smaller countries) – Lesson: need ample data and incentives for quality control Lesson: need ample data and incentives for quality control

at all stagesat all stages After UID open performance data should become the After UID open performance data should become the

normnorm Often no clear alternative to biometrics given limitations Often no clear alternative to biometrics given limitations

of civil and population registries of civil and population registries

99INTRO INTRO TECHNOLOGYTECHNOLOGY CASES STRATEGIES CASES STRATEGIES DONORSDONORS

Three concernsThree concerns1.1. Exclusion: Exclusion: basis of national or other credentials, basis of national or other credentials,

ethnicity, also FTE and redress of errorsethnicity, also FTE and redress of errors2.2. Privacy: Privacy: linking data bases through a common linking data bases through a common

identifier, surveillanceidentifier, surveillance3.3. Cost: Cost: technology is too expensive, cost to technology is too expensive, cost to

beneficiaries can be prohibitivebeneficiaries can be prohibitive

Many concerns relate to identification in general, not Many concerns relate to identification in general, not specifically to biometricsspecifically to biometrics

But face recognition raises specific issuesBut face recognition raises specific issues Technology costs are falling, to less than logistics costsTechnology costs are falling, to less than logistics costs

1010

And data security always an issue…

INTRO INTRO TECHNOLOGYTECHNOLOGY CASES STRATEGIES CASES STRATEGIES DONORSDONORS

1111

3. CASES3. CASESFindings from a global surveyFindings from a global survey

Sample of developmental Sample of developmental biometric cases by type and biometric cases by type and

regionregion

1212

150+ cases in 70+ countries

INTRO TECHNOLOGY INTRO TECHNOLOGY CASESCASES STRATEGIES STRATEGIES DONORSDONORS

Estimated population covered Estimated population covered in sample cases by regionin sample cases by region

1313INTRO TECHNOLOGY INTRO TECHNOLOGY CASESCASES STRATEGIES STRATEGIES DONORSDONORS

Over 1 billion people

Functional ID Functional ID Foundational IDFoundational ID

1414

USASSN

DRCVoter ID

PakistanNADRA

IndiaUID

INTRO TECHNOLOGY INTRO TECHNOLOGY CASESCASES STRATEGIES STRATEGIES DONORSDONORS

Single-purpose to broader use

General-purpose to specific functions

Country TrajectoriesCountry Trajectories

1515

No unique model, depends on history, infrastructure, needs, politics INTRO TECHNOLOGY INTRO TECHNOLOGY CASESCASES STRATEGIES STRATEGIES

DONORSDONORS

Some Successes of Stronger Some Successes of Stronger IdentificationIdentification

Social inclusion Social inclusion through recognition of disadvantaged through recognition of disadvantaged groups (identification)groups (identification)

Beneficiary empowerment Beneficiary empowerment (inclusion, authentication)(inclusion, authentication) Improved financial access Improved financial access via ATMs etc. (authentication)via ATMs etc. (authentication) Reduced leakage Reduced leakage in payments via smartcards, etc. in payments via smartcards, etc.

(authentication)(authentication) Rationalizing:Rationalizing:

Public payrolls and pensions to eliminate duplicates and Public payrolls and pensions to eliminate duplicates and ghosts and save resources (uniqueness)ghosts and save resources (uniqueness)

Social program beneficiaries (uniqueness)Social program beneficiaries (uniqueness)

1616INTRO TECHNOLOGY INTRO TECHNOLOGY CASESCASES STRATEGIES STRATEGIES DONORSDONORS

Successes contd. Successes contd. Increasing tax collectionIncreasing tax collection, reducing evasion, , reducing evasion,

fraud (single identifier)fraud (single identifier) Enabling marketsEnabling markets in health insurance in health insurance

(authentication, de-duplication)(authentication, de-duplication) Tracking health treatment Tracking health treatment (post-natal care, (post-natal care,

TB, HIV/AIDS) (authentication)TB, HIV/AIDS) (authentication) Sometimes useful beyond immediate Sometimes useful beyond immediate

application (voter card application (voter card ID) ID)

1717INTRO TECHNOLOGY INTRO TECHNOLOGY CASES CASES STRATEGIES STRATEGIES DONORSDONORS

Some Problems from the Some Problems from the CasesCases

Planning:Planning: trying to do too much too quickly, trying to do too much too quickly, leading to failure e.g. some electoral registrations leading to failure e.g. some electoral registrations

FragmentationFragmentation:: loses economies of scale and loses economies of scale and scope, and inconveniences citizens by multiple scope, and inconveniences citizens by multiple registrationsregistrations

ExclusionExclusion:: for example due to restrictive criteria for example due to restrictive criteria for citizenshipfor citizenship

ProcurementProcurement:: corruption, lock-in to proprietary corruption, lock-in to proprietary systemssystems

1818INTRO TECHNOLOGY INTRO TECHNOLOGY CASESCASES STRATEGIES STRATEGIES DONORSDONORS

Not always used to full Not always used to full potential potential

Sometimes no de-duplication Sometimes no de-duplication (or only local) (or only local) • Data quality and logistics inadequate for 2-stage Data quality and logistics inadequate for 2-stage

process especially under time deadline (electoral process especially under time deadline (electoral rolls Bolivia, Somaliland, initial AP…)rolls Bolivia, Somaliland, initial AP…)• Allows operator collusion (e.g. mixing hand and Allows operator collusion (e.g. mixing hand and

eye data)eye data)• Prevents results-based incentives to registerPrevents results-based incentives to register• Can cause system failure or abandonmentCan cause system failure or abandonment

Sometimes no authentication Sometimes no authentication at point of serviceat point of service• Although there are other ways to authenticate once have Although there are other ways to authenticate once have

strong registrationstrong registration

1919INTRO TECHNOLOGY INTRO TECHNOLOGY CASESCASES STRATEGIES STRATEGIES DONORSDONORS

Donors Support Many Donors Support Many Applications and Can Play Applications and Can Play

Several RolesSeveral Roles FinancingFinancing: : – ID systems can have steep initial costsID systems can have steep initial costs– Can use Results-Based mechanismsCan use Results-Based mechanisms

Technical assistanceTechnical assistance: : – Best practices and standardsBest practices and standards– Legal reformLegal reform– ProcurementProcurement

Coordination:Coordination:– Overcoming collective action problems within government Overcoming collective action problems within government – De-politicization of identificationDe-politicization of identification

Requires taking a wider view than project-by-project. Requires taking a wider view than project-by-project.

2020INTRO TECHNOLOGY CASES STRATEGIES INTRO TECHNOLOGY CASES STRATEGIES DONORSDONORS

ImplicationsImplications Formal identification is integrally related to the Formal identification is integrally related to the

process of development process of development There is still a large ID gap but some developing There is still a large ID gap but some developing

countries are closing itcountries are closing it Biometric technology is playing a vital role Biometric technology is playing a vital role

though it cannot do everythingthough it cannot do everything Large potential benefits in program efficiency, Large potential benefits in program efficiency,

inclusion and accountability. Also waste and risks inclusion and accountability. Also waste and risks Identification should be seen as part of Identification should be seen as part of

development strategy not just a cost for each development strategy not just a cost for each individual programindividual program

2121INTRO TECHNOLOGY INTRO TECHNOLOGY CASESCASES STRATEGIES STRATEGIES DONORSDONORS

2222INTRO TECHNOLOGY PATHWAYS STRATEGIES INTRO TECHNOLOGY PATHWAYS STRATEGIES DONORSDONORS

Thank Thank you!you!

For more, see:For more, see:

Gelb, A. and Clark, J. (2012) “Identification for Development: Gelb, A. and Clark, J. (2012) “Identification for Development: The Biometrics Revolution”, The Biometrics Revolution”, CGD Policy PaperCGD Policy Paper, forthcoming, forthcomingZelazny, F. (2012) “The Evolution of India’s UID Program: Zelazny, F. (2012) “The Evolution of India’s UID Program: Lessons Learned and Implications for Other Developing Lessons Learned and Implications for Other Developing Countries.”Countries.” CGD Policy Paper 008 CGD Policy Paper 008. Washington, DC: Center . Washington, DC: Center for Global Development.for Global Development.Gelb, A., & Decker, C. (2011). “Cash at Your Fingertips: Gelb, A., & Decker, C. (2011). “Cash at Your Fingertips: Biometric Technology for Transfers in Resource-Rich Biometric Technology for Transfers in Resource-Rich Countries.” CGD Countries.” CGD Working Paper 253Working Paper 253. Washington, DC: Center . Washington, DC: Center for Global Development.for Global Development.

Available at Available at www.cgdev.org/publications