1、BSI Standards Publication PD CEN/TS 16634:2014 Personal identification Recommendations for using biometrics in European Automated Border ControlPD CEN/TS 16634:2014 PUBLISHED DOCUMENT National foreword This Published Document is the UK implementation of CEN/TS 16634:2014. The UK participation in its
2、 preparation was entrusted to Technical Committee IST/17, Cards and personal identification. 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 responsib
3、le for its correct application. The British Standards Institution 2014. Published by BSI Standards Limited 2014 ISBN 978 0 580 83046 4 ICS 35.240.15 Compliance with a British Standard cannot confer immunity from legal obligations. This Published Document was published under the authority of the Stan
4、dards Policy and Strategy Committee on 30 April 2014. Amendments issued since publication Date Text affectedPD CEN/TS 16634:2014TECHNICAL SPECIFICATION SPCIFICATION TECHNIQUE TECHNISCHE SPEZIFIKATION CEN/TS 16634 April 2014 ICS 35.240.15 English Version Personal identification - Recommendations for
5、using biometrics in European Automated Border Control Identification personnelle - Recommandations pour lusage de la biomtrie lors des contrles automatiss aux frontires de lEurope Persnliche Identifikation - Empfehlungen fr den Einsatz von Biometrie bei der automatisierten Grenzbergangskontrolle in
6、Europa This Technical Specification (CEN/TS) was approved by CEN on 11 November 2013 for provisional application. The period of validity of this CEN/TS is limited initially to three years. After two years the members of CEN will be requested to submit their comments, particularly on the question whe
7、ther the CEN/TS can be converted into a European Standard. CEN members are required to announce the existence of this CEN/TS in the same way as for an EN and to make the CEN/TS available promptly at national level in an appropriate form. It is permissible to keep conflicting national standards in fo
8、rce (in parallel to the CEN/TS) until the final decision about the possible conversion of the CEN/TS into an EN is reached. CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia,
9、France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION COMIT EUROPEN DE NORMALISATION EUROPISCHE
10、S KOMITEE FR NORMUNG CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2014 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members. Ref. No. CEN/TS 16634:2014 EPD CEN/TS 16634:2014 CEN/TS 16634:2014 (E) 2 Contents Page Foreword 3 Introd
11、uction .4 1 Scope 5 2 Terms and definitions .5 3 Abbreviated terms .8 4 ABC systems - an overview 9 4.1 Concept .9 4.2 Biometric references .9 4.3 Types of travel documents 10 4.3.1 General . 10 4.3.2 National identity cards . 10 4.3.3 Biometric passports . 10 4.3.4 Schengen visa . 11 4.4 Topologies
12、 of ABC systems 11 5 Biometric systems in ABC . 11 5.1 General recommendations 11 5.1.1 Usability and accessibility . 11 5.1.2 Architecture . 13 5.1.3 Biometric security functions . 15 5.1.4 Logging, data protection and privacy. 20 5.2 Recommendations for face biometrics 20 5.2.1 Condition for good
13、quality sample acquisition . 20 5.2.2 Biometric verification and process design 21 5.2.3 Security 22 5.2.4 Usability and environment . 23 5.3 Recommendations for fingerprint biometrics . 23 5.3.1 Condition for good quality sample acquisition . 23 5.3.2 Biometric verification and process design 24 5.
14、3.3 Usability and environment . 24 5.4 Recommendations for iris biometrics 25 5.4.1 Condition for good quality sample acquisition . 25 5.4.2 Biometric verification and process design 26 5.4.3 Security 27 5.4.4 Usability and environment . 27 Annex A (informative) Testing examples Facial Images 29 Ann
15、ex B (informative) Example process for multi-camera systems for 3D face recognition 30 Bibliography . 32 PD CEN/TS 16634:2014 CEN/TS 16634:2014 (E) 3 Foreword This document (CEN/TS 16634:2014) has been prepared by Technical Committee CEN/TC 224 “Personal identification, electronic signature and card
16、s and their related systems and operations”, the secretariat of which is held by AFNOR. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CEN and/or CENELEC shall not be held responsible for identifying any or all such patent rights
17、. According to the CEN-CENELEC Internal Regulations, the national standards organizations of the following countries are bound to announce this Technical Specification: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, Fran
18、ce, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom. PD CEN/TS 16634:2014 CEN/TS 16634:2014 (E) 4 Introduction European countries are
19、 increasingly deploying technological solutions to support border guard officers in fulfilling their duties. Such solutions can consist of inspection systems that directly assist the officers in screening travellers or of electronic kiosk and gates offering various degrees of automation. Electronic
20、Machine Readable Travel Documents (eMRTD) as defined in ICAO Document 9303 27 can contribute to a high degree of border automation. Under Council Regulation (EC) No 2252/2004 21, EU Member States nowadays issue electronic passports containing biometric data (facial image, two fingerprint images). Ir
21、eland and UK are not bound by the Regulation and issue ePassports storing only the facial image of the holder. Currently a number of European countries have deployed ABC systems which automate border checks for EU citizens in possession of an electronic passport. The upcoming “Smart Borders Package”
22、 will foresee the introduction of an EU Registered Traveller Programme 23. This would allow certain groups of frequent travellers (i.e. business travellers, family members, etc.) from third countries to enter the EU, subject to appropriate pre-screening, using simplified border checks at ABC systems
23、. The European Commission proposes that this RTP makes maximum use of existing systems and tools, such as the Biometric Matching System which underpins the Visa Information System (VIS) and the fingerprint scanners which are used for this system. There is a need to harmonize processes containing bio
24、metric elements, biometric technology tests and reporting frameworks (in accordance with Bibliographical Entries 11, 12, 13) and to link biometric characteristics with supervision requirements. This Technical Specification focuses on automated systems that can be supervised by an operator, but such
25、supervision is not a requirement for the biometric comparison subsystem. The level of supervision is an operational decision that can be changed according to the needs of the operating authorities. ABC systems can be classified into four profiles based on their document requirements: eMRTD based, MR
26、TD based, Token other than MRTD - physical and logical, transferable, Tokenless. Regarding the location of the eligibility check, ABC systems can be implemented as: One-Step Process, Integrated Two-Step Process, Segregated Two-Step Process. This document has been drafted with the contribution of the
27、 European Agency for the Management of Operational Cooperation at the External Borders of the Member States of the European Union (Frontex) and was adopted by CEN after public enquiry and formal vote according to the CEN Rules of Procedure. PD CEN/TS 16634:2014 CEN/TS 16634:2014 (E) 5 1 Scope This T
28、echnical Specification primarily focuses on biometric aspects of Automated Border Control (ABC) systems. Drawing on the first European and international ABC deployments, it aims to disseminate best practice experiences with a view to ensure consistent security levels in European ABC deployments. Fur
29、thermore, the best practice recommendations given here shall help make border control authorities processes more efficient, speeding up border clearance, and delivering an improved experience to travellers. ISO/IEC JTC1/SC 37 has published a series of standards dealing with biometric data coding, in
30、terfaces, performance tests as well as compliance tests. In order to promote global interoperability it is essential that all these standards are applied in European deployments. However, these standards do not consider national or regional characteristics; in particular, they do not consider Europe
31、an Union privacy and data protection regulation as well as European accessibility and usability requirements 22. Thus, this Technical Specification amends the ISO standards with respect to special European conditions and constraints. The Technical Specification systematically discusses issues to be
32、considered when planning and deploying biometric systems for ABC and gives best practice recommendations for those types of systems that are or will be in use in Europe. The document deals with personal identification including ergonomic aspects that have an impact on the acquisition of biometric da
33、ta. Communication, infrastructure scalability and security aspects other than those related to biometrics are not considered. This document also does not consider hardware and security requirements of biometric equipment and does not recommend general border crossing procedures. The enrolment proces
34、s, e. g. for electronic passports, is out of scope of this document. 2 Terms and definitions 2.1 Automated Border Control (ABC) system automated system which authenticates the electronic machine readable travel document or token, establishes that the passenger is the rightful holder of the document
35、or token, queries border control records, then determines eligibility of border crossing according to the pre-defines rules 2.2 biometric capture collection of, or attempt to collect a signal(s) from a biometric characteristic(s), or a representation(s) of a biometric characteristic(s,) and conversi
36、on of the signal(s) to a captured biometric sample set 4 2.3 biometric verification process of confirming a biometric claim of the holder of an eMRTD through biometric comparison 2.4 border checks checks carried out at border crossing points, to ensure that persons, including their means of transpor
37、t and the objects in their possession, may be authorized to enter the territory of the Member States or authorized to leave it 24 Note 1 to entry: See also “Border crossing point (BCP)”. 2.5 Border Crossing Point BCP crossing point authorized by the competent authorities for the crossing of external
38、 borders 24 PD CEN/TS 16634:2014 CEN/TS 16634:2014 (E) 6 2.6 border guard public official assigned, in accordance with national law, to a border crossing point or along the border or the immediate vicinity of that border who carries out, in accordance with the Schengen Borders Code and national law,
39、 border control tasks 24 2.7 border management authority public law enforcement institution which, in accordance with national law, is responsible for border control 2.8 database application storing a structured set of data and allowing for the management and retrieval of such data EXAMPLE The Schen
40、gen Information System (SIS) is a joint information system that enables the competent authorities in each Member State of the Schengen area, by means of an automated search procedure, to have access to alerts on persons and property for the purposes of border checks and other police and customs chec
41、ks carried out within the country in accordance with national law and, for some specific categories of alerts (those defined in Article 96 of the Schengen Convention), for the purposes of issuing visas, residence permits and the administration of legislation on aliens in the context of the applicati
42、on of the provisions of the Schengen Convention relating to the movement of persons. Note 1 to entry: See also “Schengen area” and “Watch List”. 2.9 database hit instance of identifying an item of data which matches the requirements of a search Note 1 to entry: See also “Database” and “Watch List”.
43、2.10 digital mirror display showing the horizontally mirrored live image of the cameras capturing area 2.11 eGate one of the components of an ABC system, consisting of a physical barrier operated by electronic means 2.12 eID electronically enabled card that may be used as an identity document (typic
44、ally compliant to ICAO Doc 9303 Part 3 27) 2.13 ePassport A machine readable passport (MRP) containing a contactless integrated circuit (IC) chip within which is stored data from the MRP data page, one or more biometric samples of the passport holder, and a security object to protect the data with P
45、ublic Key Infrastructure (PKI) cryptographic technology, and which conforms to the specifications of ICAO Doc 9303, Part 1 27 2.14 EU citizen person having the nationality of an EU Member State, within the meaning of Article 20(1) of the Treaty on the Functioning of the European Union 2.15 Frontex E
46、uropean Agency for the Management of Operational Cooperation at the External Borders of the Member States of the European Union 29 PD CEN/TS 16634:2014 CEN/TS 16634:2014 (E) 7 2.16 impostor subversive biometric capture subject who attempts to be matched to someone elses biometric reference 4 2.17 Ma
47、chine Readable Zone MRZ area on a passport containing two lines of data (three lines on a TD-1 card) that are printed using a standard format and font as explained in ICAO Doc 9303 Note 1 to entry: See also “Visual Inspection Zone (VIZ)”. 2.18 member state country which is member of the European Uni
48、on Note 1 to entry: Within the context of the present Recommendations, the term also applies to those countries that, not being EU members, take part in the Schengen area. See also “Schengen area”. 2.19 Machine Readable Travel Document MRTD official document (e.g. passport, visa), conforming with th
49、e specifications contained in ICAO Doc 9303, issued by a State or organization which is used by the holder for international travel (e.g. passport, visa, MRTD) and which contains mandatory visual (eye readable) data and a separate mandatory data summary in a format which is capable of being read by machine 2.20 operator border guard officer who is responsible for the remote monitoring and control of the ABC system and whose tasks typically include: a) monitor the user interface of the application; b) react upon any notifica
