BS ISO IEC 30107-1-2016 Information technology Biometric presentation attack detection Framework《信息技术 生物识别演示攻击检测 框架》.pdf

1、BSI Standards Publication BS ISO/IEC 30107-1:2016 Information technology Biometric presentation attack detection Part 1: FrameworkBS ISO/IEC 30107-1:2016 BRITISH STANDARD National foreword This British Standard is the UK implementation of ISO/IEC 30107-1:2016. The UK participation in its preparation

2、 was entrusted to Technical Committee IST/44, Biometrics. A list of organizations represented on this committee can be obtained on request to its secretary. This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. The

3、 British Standards Institution 2016. Published by BSI Standards Limited 2016 ISBN 978 0 580 77139 2 ICS 35.040 Compliance with a British Standard cannot confer immunity from legal obligations. This British Standard was published under the authority of the Standards Policy and Strategy Committee on 3

4、1 January 2016. Amendments/corrigenda issued since publication Date T e x t a f f e c t e dBS ISO/IEC 30107-1:2016 Information technology Biometric presentation attack detection Part 1: Framework Technologies de linformation Dtection dattaque de prsentation en biomtrie Partie 1: Structure INTERNATIO

5、NAL STANDARD ISO/IEC 30107-1 Reference number ISO/IEC 30107-1:2016(E) First edition 2016-01-15 ISO/IEC 2016 BS ISO/IEC 30107-1:2016ii ISO/IEC 2016 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2016, Published in Switzerland All rights reserved. Unless otherwise specified, no part of this

6、publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below or ISOs member body in the

7、country of the requester. ISO copyright office Ch. de Blandonnet 8 CP 401 CH-1214 Vernier, Geneva, Switzerland Tel. +41 22 749 01 11 Fax +41 22 749 09 47 copyrightiso.org www.iso.org ISO/IEC 30107-1:2016(E)BS ISO/IEC 30107-1:2016ISO/IEC 30107-1:2016(E)Foreword iv Introduction v 1 Scope . 1 2 Normati

8、ve references 1 3 T erms and definitions . 1 4 Symbols and abbreviated terms . 2 5 Characterisation of presentation attacks . 3 5.1 General . 3 5.2 Presentation attack instruments . 4 6 Framework for presentation attack detection methods . 5 6.1 Types of presentation attack detection . 5 6.2 The rol

9、e of challenge-response . 5 6.2.1 Challenge-response related to liveness 6 6.2.2 Liveness not related to challenge-response . 6 6.2.3 Challenge-response not related to biometrics . 6 6.3 Presentation attack detection process . 6 6.4 Presentation attack detection within biometric system architecture

10、. 7 6.4.1 Overview in terms of the generalized biometric framework 7 6.4.2 PAD processing considerations relative to the other biometric subsystems. 8 6.4.3 PAD location implications regarding data interchange 9 7 Obstacles to biometric imposter presentation attacks in a biometric system 9 Bibliogra

11、phy .11 ISO/IEC 2016 All rights reserved iii Contents PageBS ISO/IEC 30107-1:2016ISO/IEC 30107-1:2016(E) Foreword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system for worldwide standardization. National bodie

12、s that are members of ISO or IEC participate in the development of International Standards through technical committees established by the respective organization to deal with particular fields of technical activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other in

13、ternational organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the work. In the field of information technology, ISO and IEC have established a joint technical committee, ISO/IEC JTC 1. The procedures used to develop this document and those intended for

14、its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of document should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/direc

15、tives). Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will b

16、e in the Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents). Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement. For an explanation on the meaning of ISO specific terms and expressio

17、ns related to conformity assessment, as well as information about ISOs adherence to the WTO principles in the Technical Barriers to Trade (TBT) see the following URL: Foreword - Supplementary information ISO/IEC 30107-1 was prepared by Technical Committee ISO/TC JTC1, Information technology, Subcomm

18、ittee SC 37, Biometrics. ISO/IEC 30107 consists of the following parts, under the general title Information technology Biometric presentation attack detection: Part 1: Framework Part 2: Data formats Part 3: Testing and reportingiv ISO/IEC 2016 All rights reservedBS ISO/IEC 30107-1:2016ISO/IEC 30107-

19、1:2016(E) Introduction Biometric technologies are used to recognize individuals based on biological and behavioural characteristics and, consequently, are often used as a component in security systems. A biometric technology assisted security system may attempt to recognize persons who are known as

20、either friends or foes, or may attempt to recognize persons who are unknown to the system as either. Since the beginning of these technologies, the possibility of subversion of recognition by determined adversaries has been widely acknowledged, as has the need for countermeasures to detect and defea

21、t subversive recognition attempts, or presentation attacks. Subversion of the intended function of a biometric technology can take place at any point within a security system and by any actor, whether a system insider or an external adversary. This International Standard (ISO/IEC 30107) will be limi

22、ted in scope, however, focusing on techniques for the automated detection of presentation attacks undertaken by biometric capture subjects at the point of presentation and collection of the relevant biometric characteristics. We will call these automated techniques “Presentation Attack Detection” (P

23、AD) methods. The potential for subversion of biometric systems at the point of data collection by determined individuals acting as biometric capture subjects has limited the use of biometrics in applications which are unsupervised by an agent of the system owner, such as remote collections over untr

24、usted networks. Guidelines on e-authentication, for example, do not recommend the use of biometrics as an authentication factor for this reason. In unattended applications, such as remote authentication over open networks, automated presentation attack detection methods could be applied to mitigate

25、the risks of attack. Standards, best practices and independently evaluated techniques could improve the security of all systems employing biometrics, whether using supervised or unsupervised data capture, including those using biometric recognition to secure online transactions. As is the case for b

26、iometric recognition, PAD techniques are subject to errors, both false positive and false negative: false positive indications wrongly categorize routine presentations as attacks, thus impairing the efficiency of the system, and false negative indications wrongly categorize presentation attacks as r

27、outine, not preventing a security breach. Therefore, the decision to use a specific implementation of PAD will depend upon the requirements of the application and consideration of the trade-offs with respect to security and efficiency. The purpose of this part of ISO/IEC 30107 is to provide a founda

28、tion for PAD through defining terms and establishing a framework through which presentation attack events can be specified and detected so that they can be categorized, detailed and communicated for subsequent biometric system decision making and performance assessment activities. This foundation wi

29、ll also benefit other standards projects in ISO/IEC committees and sub-committees. This International Standard does not advocate a specific technique as a standard PAD tool. There are two other parts of ISO/IEC 30107. Part 2 defines data formats for conveying the type of approach used in biometric p

30、resentation attack detection and for conveying the results of presentation attack detection methods. Part 3 establishes principles and methods for performance assessment of presentation attack detection algorithms or mechanisms. ISO/IEC 2016 All rights reserved vBS ISO/IEC 30107-1:2016BS ISO/IEC 301

31、07-1:2016Information technology Biometric presentation attack detection Part 1: Framework 1 Scope This part of ISO/IEC 30107 establishes terms and definitions that are useful in the specification, characterization and evaluation of presentation attack detection methods. Outside the scope are standar

32、dization of specific PAD detection methods; detailed information about countermeasures (i.e. anti-spoofing techniques), algorithms, or sensors; and overall system-level security or vulnerability assessment. The attacks to be considered in ISO/IEC 30107 are those that take place at the sensor during

33、the presentation and collection of the biometric characteristics. Any other attacks are considered outside the scope of ISO/IEC 30107. 2 Normative references The following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated

34、 references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ISO/IEC 2382-37:2012, Information technology Vocabulary Part 37: Biometrics NOTE The electronic version of ISO/IEC 2382-37:2012 can be downloaded for

35、 free from the ISO/IEC Information Technology Task Force (ITTF) web site: http:/ /standards.iso.org/ittf/PubliclyAvailableStandards/index.html 3 T erms a nd definiti ons For the purposes of this document, the terms and definitions given in ISO/IEC 2382-37:2012 and the following apply. 3.1 artefact a

36、rtificial object or representation presenting a copy of biometric characteristics or synthetic biometric patterns 3.2 liveness quality or state of being alive, made evident by anatomical characteristics, involuntary reactions or physiological functions, or voluntary reactions or subject behaviours E

37、XAMPLE 1 Absorption of illumination by the skin and blood are anatomical characteristics. INTERNATIONAL ST ANDARD ISO/IEC 30107-1:2016(E) ISO/IEC 2016 All rights reserved 1BS ISO/IEC 30107-1:2016ISO/IEC 30107-1:2016(E) EXAMPLE 2 The reaction of the iris to light and heart activity (pulse) are involu

38、ntary reactions (also called physiological functions). EXAMPLE 3 Squeezing together ones fingers in hand geometry and a biometric presentation in response to a directive cue are both voluntary reactions (also called subject behaviours). 3.3 liveness detection measurement and analysis of anatomical c

39、haracteristics or involuntary or voluntary reactions, in order to determine if a biometric sample is being captured from a living subject present at the point of capture Note 1 to entry: Liveness detection methods are a subset of presentation attack detection methods. 3.4 normal presentation interac

40、tion of the biometric capture subject and the biometric data capture subsystem in the fashion intended by the policy of the biometric system Note 1 to entry: The term “normal” is analogous to “routine” when referring to a “normal presentation.” Any type of presentation that is not an attack is consi

41、dered a “normal presentation.” 3.5 presentation attack presentation to the biometric data capture subsystem with the goal of interfering with the operation of the biometric system Note 1 to entry: Presentation attack can be implemented through a number of methods, e.g. artefact, mutilations, replay,

42、 etc. Note 2 to entry: Presentation attacks may have a number of goals, e.g. impersonation or not being recognized. Note 3 to entry: Biometric systems may not be able to differentiate between biometric presentation attacks with the goal of interfering with the systems operation and non-conformant pr

43、esentations. 3.6 presentation attack detection PAD automated determination of a presentation attack Note 1 to entry: PAD cannot infer the subjects intent. In fact it may be impossible to derive that difference from the data capture process or acquired sample. 3.7 presentation attack instrument PAI b

44、iometric characteristic or object used in a presentation attack Note 1 to entry: The set of PAI includes artefacts but would also include lifeless biometric characteristics (i.e. stemming from dead bodies) or altered biometric characteristics (e.g. altered fingerprints) that are used in an attack. 4

45、 Symbols and abbreviated terms PAD Presentation Attack Detection PAI Presentation Attack Instrument2 ISO/IEC 2016 All rights reservedBS ISO/IEC 30107-1:2016ISO/IEC 30107-1:2016(E) 5 Characterisation of presentation attacks 5.1 General Although attacks on a biometric system can occur anywhere and be

46、instantiated by any actor, ISO/IEC 30107 focuses on biometric-based attacks on the data capture subsystem by biometric capture subjects attempting to subvert the intended operation of the system. Attacks by other actors and at other points of the system have previously been considered in documents s

47、uch as 2. ISO/IEC 30107 does not address protecting the data capture subsystem, including the sensor itself, from modification, replacement, or removal or protecting the communication between the data capture subsystem and other subsystems. Figure 1 illustrates several generic attacks against a biom

48、etric system. ISO/IEC 30107 only focuses on attacks pointed out by arrow “1,” in which a biometric characteristic or PAI is presented to a sensor which is operating properly within a biometric system. Figure 1 Examples of points of attack in a biometric system (inspired by 1) Presentation attacks ca

49、n be carried out by two types of subversive biometric capture subjects: a biometric imposter, where the subversive biometric capture subject intends to be recognized as an individual other than him/herself, or a biometric concealer, where the subversive biometric capture subject intends to evade being recognized as any individual known to the system. Biometric imposters may perform attacks in two different ways. In the first sub-type, the subversive data subject intends to be r