1、BSI Standards Publication Personal identification Borders and law enforcement application profiles for mobile biometric identification systems PD CEN/TS 16921:2016National foreword This Published Document is the UK implementation of CEN/TS 16921:2016. The UK participation in its preparation was entr
2、usted 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 British
3、Standards Institution 2016. Published by BSI Standards Limited 2016 ISBN 978 0 580 91181 1 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 Standards Policy and Strategy Committee on 30 Ap
4、ril 2016. Amendments/corrigenda issued since publication Date Text affected PUBLISHED DOCUMENT PD CEN/TS 16921:2016 TECHNICAL SPECIFICATION SPCIFICATION TECHNIQUE TECHNISCHE SPEZIFIKATION CEN/TS 16921 March 2016 ICS 35.240.15 English Version Personal identification - Borders and law enforcement appl
5、ication profiles for mobile biometric identification systems Personenidentifikation - Biometrische Anwendungsprofile fr Ordnungskrfte und Grenzbergangsverantwortliche, die tragbare Identifizierungssysteme einsetzen This Technical Specification (CEN/TS) was approved by CEN on 25 January 2016 for prov
6、isional 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 whether the CEN/TS can be converted into a European Standard. CEN members are required to announ
7、ce 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 force (in parallel to the CEN/TS) until the final decision about the possible conversion of the
8、 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, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Mal
9、ta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION COMIT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2016 CE
10、N All rights of exploitation in any form and by any means reserved worldwide for CEN national Members. Ref. No. CEN/TS 16921:2016 E PD CEN/TS 16921:2016CEN/TS 16921:2016 (E) 2 Contents Page European foreword . 3 Introduction 4 1 Scope 5 2 Terms and definitions . 5 3 Symbols and abbreviations . 6 4 P
11、ortable identity verification systems 6 4.1 Introduction 6 4.2 Typology of portable identity verification systems 7 4.3 Portable identity verification systems in border control environment . 7 5 General recommendations for portable identity verification systems . 8 5.1 Biometric modalities . 8 5.2 U
12、sability and accessibility 8 5.3 European data protection regulation 8 5.4 Architecture 8 5.4.1 General aspects of architecture . 8 5.4.2 Physical and logical structure 9 5.5 Biometric security functions 11 5.6 Biometric sensors 11 5.6.1 General . 11 5.6.2 Fingerprint sensors . 12 5.6.3 Face image s
13、ensors 13 5.6.4 Iris sensors . 13 5.7 Biometric algorithms 13 5.8 Network performance 14 6 Application profiles . 14 6.1 Introduction . 14 6.2 Transportable systems 14 6.2.1 Profile description . 14 6.2.2 Environment description 14 6.2.3 Biometric security description evaluation . 14 6.3 Hand-held s
14、ystems 15 6.3.1 Profile description . 15 6.3.2 Environment description 15 6.4 Workstation systems 16 Bibliography . 17 PD CEN/TS 16921:2016CEN/TS 16921:2016 (E) 3 European foreword This document (CEN/TS 16921:2016) has been prepared by Technical Committee CEN/TC 224 “Personal identification and rela
15、ted personal devices with secure element, systems, operations and privacy in a multi sectorial environment”, 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 shall not be held responsi
16、ble for identifying any or all such patent rights. 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, Fin
17、land, Former Yugoslav Republic of Macedonia, France, 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 16921:2016CEN/TS 1692
18、1:2016 (E) 4 Introduction Most countries around the world are provided with identification systems for law enforcement and border control. To be consistent in such deployments and processes, technical documents, guidelines and best practice recommendations are being developed by different groups. Ho
19、wever, these documents are primarily focused on Automated Border Control (ABC) systems and the technical and operational issues to be considered when planning and deploying such systems in Europe. There is little guidance covering the circumstances in which identification is not done in a fixed poin
20、t, or for other purposes that cover any law enforcement application besides fixed ABC. There is a need for guidance for the use of mobile or portable identification capabilities as such systems have special biometrics characteristics: calibration problems, uncontrolled environment, specific biometri
21、c security aspects, that have to be considered differently for fixed point solutions. Law enforcement authorities can use mobile and especially hand-held systems to check persons identity under numerous circumstances, on borders as identity check for border control purposes as well as inside the nat
22、ional borders for standard law enforcement purposes like suspect identity check, police check point control, police swoop, etc. In any of these applications, the mobile system may be able to use identity document, or if not present, to check persons identity using his/her biometrics against date bas
23、e (local or remote). PD CEN/TS 16921:2016CEN/TS 16921:2016 (E) 5 1 Scope This Technical Specification primarily focuses on biometric aspects of portable verification and identification systems for law enforcement and border control authorities. The recommendations given here will balance the needs o
24、f security, ease of access and data protection. ISO/IEC has published a series of standards dealing with biometric data coding, interfaces, performance tests as well as compliance tests. It is essential for interoperability that all these standards are applied in European deployments. However, ISO/I
25、EC standards do not consider national or regional characteristics; in particular, they do not consider European Union privacy and data protection regulation as well as accessibility and usability requirements. This Technical Specification extends the ISO standards by emphasizing specific European ne
26、eds (for example EU data Protection Directive 95/46/EC and European databases access). The Technical Specification systematically discusses issues to be considered when planning, deploying and using portable identity verification systems and gives recommendations for those types of systems that are
27、or will be in use in Europe. 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 identification procedu
28、res. 2 Terms and definitions For the purposes of this document, the following terms and definitions apply. 2.1 biometric verification (1:1) process of confirming a biometric claim through biometric comparison SOURCE: ISO/IEC 2382-37 2.2 biometric identification (1:N) process of searching against a b
29、iometric enrolment database to find and return the biometric reference identifier(s) attributable to a single individual SOURCE: ISO/IEC 2382-37 2.3 transportable system capable of being carried or moved about. Moving this system may require some specialized procedures 2.4 workstation system that ca
30、n be carried by one person from place to place (typically size = suitcase; weight 15 kg). Usually, once the system is in place subject shall move to it 2.5 hand-held system that can be operated by handling in one hand (typically size 30 cm; weight 1 kg). Usually, controller can move to subject with
31、the system PD CEN/TS 16921:2016CEN/TS 16921:2016 (E) 6 3 Symbols and abbreviations For the purposes of this document, the following symbols and abbreviations apply. ABC Automated Border Control CEN European Committee for Standardization eMRTD electronic Machine Readable Travel Documents EU European
32、Union ICAO International Civil Aviation Organization IEC International Electrotechnical Commission ISO International Organization for Standardization JTC Joint Technical Committee NIST National Institute of Standards and Technology RFID Radio-frequency identification TS Technical Specification VIS V
33、isa Information System WG Working Group 4 Portable identity verification systems 4.1 Introduction A portable identity verification system for law enforcement applications allows performing the identity verification of a citizen in contexts such as a police road block, foot or car patrol, etc. by com
34、paring (1:1) a biometric sample captured live using the portable system with a reference sample (stored in an electronic document or in a remote database) or by performing a 1:N search in a database. Different functionalities can be made available by the system, depending on the availability of an e
35、lectronic document and remote alphanumeric or biometric databases. If an electronic document, containing biometric fingerprint data is available (i.e. eMRTD or electronic National Identity document), the portable identity verification system allows to: perform a biometric verification (1:1) by compa
36、ring a biometric fingerprint sample captured live with the portable system with the reference sample stored in the electronic document. Once it is established that the citizen is the rightful holder of the document, national or international databases can then be searched to find out if the citizen
37、is present in any relevant databases; if the verification does not return a positive match or if the law enforcement officer has doubts about the citizen identity, a biometric identification (1:N) can also be performed, by sending the captured biometric (fingerprint) sample to an AFIS system for mat
38、ching, followed by a search in the alphanumeric databases using the identity returned by the AFIS system (that can be different from the one written in the document). If the document only contains a facial image (no fingerprints) or an iris, it is also possible to perform a search in a remote face o
39、r iris recognition system, if available. If the citizen does not have an electronic document (or has no document at all) the portable identity verification system allows to: perform a biometric verification (1:1) by comparing a biometric fingerprint sample captured live with the portable system with
40、 a reference sample stored in a remote database and identified by using information such as a national unique identity number or code (in the case where the citizen PD CEN/TS 16921:2016CEN/TS 16921:2016 (E) 7 has a non-electronic document) It is possible to perform this kind of verification if a Nat
41、ional Biometric registry exists in the country and if every citizen is assigned a national unique identity number or code. In case of a positive match, the information stored in the National Biometric registry can be returned to the user of the system. Additional national or international databases
42、can then be searched to find out if the citizen is present in any relevant databases; perform a biometric identification (1:N) by capturing a biometric fingerprint sample with the portable system and sending it for matching to an AFIS system, where the 1:N search is performed. Additional national or
43、 international databases can then be searched to find out if the citizen is present in any relevant databases. If the system allows capturing a facial image or an iris, it is also possible to perform a search in a remote face or iris recognition system, if available. NOTE In the case of EU eMRTD, th
44、e biometric authentication consists in capturing the live biometric data of the user fingerprint, iris or facial image and comparing it with the biometric information stored in the eMRTD chip. The fingerprint and iris data are protected, and the portable identification system accesses this informati
45、on through EAC protocol, whereas SAC or BAC only protocol is sufficient to access the facial image. 4.2 Typology of portable identity verification systems Mobile ID devices have been employed for a variety of applications where a stationary collection environment is not possible or easily attainable
46、. Applications include: the officer on the street or at a checkpoint who needs to perform a quick check against biometric data stored in a card or to biometric databases and/or watch-lists; security at high profile, major public events, where fixed ID systems may not be practical or appropriate; iss
47、uance of a citation that requires registration of the biometric with the incident; verification of the identity of subjects at court appearances; access control for buildings, or Critical Infrastructure buildings; security involving prisoner transport and release tracking; immigration and border con
48、trol; entitlement programs and job applications. These applications and others are being accomplished with on-the-spot acquisitions of biometric data for comparison with samples stored in key databases or in ID cards. NOTE In this document, the biometric data refers to fingerprint, face, vein or iri
49、s, biometrics stored in central databases and/or ID documents. 4.3 Portable identity verification systems in border control environment A portable border control system “authenticates the eMRTD, establishes that the traveller is the rightful holder of the document, queries border control records, then automatically determines eligibility for border crossing according to pre-defined rules” 1. The use of biometric data are the key for ensuring a close binding between the person and the document. The elements in a portable identification sys
