1、BSI Standards PublicationPD CEN/TS 16634:2014Personal identification Recommendations for usingbiometrics in EuropeanAutomated Border ControlPD CEN/TS 16634:2014 PUBLISHED DOCUMENTNational forewordThis Published Document is the UK implementation of CEN/TS16634:2014.The UK participation in its prepara
2、tion was entrusted to TechnicalCommittee IST/17, Cards and personal identification.A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the necessaryprovisions of a contract. Users are responsible for its co
3、rrectapplication. The British Standards Institution 2014. Published by BSI StandardsLimited 2014ISBN 978 0 580 83046 4ICS 35.240.15Compliance with a British Standard cannot confer immunity fromlegal obligations.This Published Document was published under the authority of theStandards Policy and Stra
4、tegy Committee on 30 April 2014.Amendments issued since publicationDate 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 using biometrics in Eur
5、opean 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 Europa This Technical S
6、pecification (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 whether the CEN/TS can be
7、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 force (in parallel to the
8、 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, France, Germany, Greece
9、, 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 EUROPISCHES KOMITEE FR NORMUNG CE
10、N-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 16634:2014CEN/TS 16634:2014 (E) 2 Contents Page Foreword 3 Introduction .4 1 Scope 5 2 Te
11、rms 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 of ABC systems 11 5 Bio
12、metric 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 quality sample acquisiti
13、on . 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 5.3.3 Usability and enviro
14、nment . 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 Annex B (informative) Examp
15、le process for multi-camera systems for 3D face recognition 30 Bibliography . 32 PD CEN/TS 16634:2014CEN/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 cards and their related syste
16、ms 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. According to the CEN-CE
17、NELEC 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, France, Germany, Greece, Hung
18、ary, 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 16634:2014CEN/TS 16634:2014 (E) 4 Introduction European countries are increasingly deploying te
19、chnological 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 Machine Readable Travel Do
20、cuments (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). Ireland and UK are not bound
21、 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” will foresee the introduc
22、tion 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. The European Commission
23、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 biometric elements, biometric
24、 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 supervision is not a requi
25、rement 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, MRTD based, Token other than
26、 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 European Agency for the M
27、anagement 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 16634:2014CEN/TS 16634:2014 (E) 5 1 Scope This Technical Specification prim
28、arily 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. Furthermore, the best practice
29、 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, interfaces, performance tests
30、 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 European Union privacy and data p
31、rotection 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 considered when planning an
32、d 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 data. Communication, infrastr
33、ucture 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 process, e. g. for electronic pas
34、sports, 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 or token, queries border co
35、ntrol 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 conversion of the signal(s) to a ca
36、ptured 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 transport and the objects in their
37、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 borders 24 PD CEN/TS 16634
38、:2014CEN/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, border control tasks 24 2.7
39、 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 Schengen Information System (SIS)
40、 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 checks carried out within the co
41、untry 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 application of the provisions of the
42、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”. 2.10 digital mirror display
43、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 (typically compliant to ICAO Doc 9
44、303 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 Public Key Infrastructure (PK
45、I) 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 European Agency for the Manag
46、ement of Operational Cooperation at the External Borders of the Member States of the European Union 29 PD CEN/TS 16634:2014CEN/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 Machine Readable Zone MRZ area
47、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 Union Note 1 to entry: Within th
48、e 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 the specifications contained in
49、 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 notification given by the application;
