Information security -- Criteria and methodology for security evaluation of biometric systems

For security evaluation of biometric verification systems and biometric identification systems, this document is dedicated to security evaluation of presentation attack detection applying the ISO/IEC 15408 series. It provides recommendations and requirements to the developer and the evaluator for the supplementary activities on presentation attack detection specified in ISO/IEC 19989-1. This document is applicable only to TOEs for single biometric characteristic type but for the selection of a characteristic from multiple characteristics.

Sécurité de l'information -- Critères et méthodologie pour l'évaluation de la sécurité des systèmes biométriques

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INTERNATIONAL ISO/IEC
STANDARD 19989-3
First edition
2020-09
Information security — Criteria and
methodology for security evaluation
of biometric systems —
Part 3:
Presentation attack detection
Sécurité de l'information — Critères et méthodologie pour
l'évaluation de la sécurité des systèmes biométriques —
Partie 3: Détection d'attaque de présentation
Reference number
ISO/IEC 19989-3:2020(E)
ISO/IEC 2020
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ISO/IEC 19989-3:2020(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2020

All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may

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on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address

below or ISO’s member body in the country of the requester.
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Published in Switzerland
ii © ISO/IEC 2020 – All rights reserved
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ISO/IEC 19989-3:2020(E)
Contents Page

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Abbreviated terms .............................................................................................................................................................................................. 4

5 General remark ...................................................................................................................................................................................................... 5

6 Overview of PAD testing in Class ATE and Class AVA ....................................................................................................... 5

6.1 Objectives and principles ............................................................................................................................................................... 5

6.1.1 Class ATE................................................................................................................................................................................. 5

6.1.2 Class AVA ................................................................................................................................................................................. 6

6.2 PAIs used in testing activities ..................................................................................................................................................... 6

6.2.1 Class ATE................................................................................................................................................................................. 6

6.2.2 Class AVA ................................................................................................................................................................................. 6

6.3 Testing activities .................................................................................................................................................................................... 6

6.3.1 Class ATE................................................................................................................................................................................. 6

6.3.2 Class AVA ................................................................................................................................................................................. 7

6.4 Criteria of pass/failure ..................................................................................................................................................................... 7

7 Supplementary activities to ISO/IEC 18045 on tests (ATE) ..................................................................................... 7

7.1 Testing approach toward PAD .................................................................................................................................................... 7

7.2 Metrics for PAD testing .................................................................................................................................................................... 8

7.2.1 General...................................................................................................................................................................................... 8

7.2.2 Metrics used for PAD subsystem TOEs ......................................................................................................... 9

7.2.3 Metrics used for data capture subsystem TOEs .................................................................................... 9

7.2.4 Metrics used for other TOEs ...............................................................................................................................10

7.3 Minimum test sizes and maximum error rates ........................................................................................................10

8 Supplementary activities to ISO/IEC 18045 on vulnerability assessment (AVA) ...........................11

8.1 Penetration testing using PAI variations .......................................................................................................................11

8.2 Potential vulnerabilities ...............................................................................................................................................................12

8.3 Rating of vulnerabilities and TOE resistance .............................................................................................................12

Annex A (informative) Examples of calculations of attack potential ...............................................................................13

Bibliography .............................................................................................................................................................................................................................18

© ISO/IEC 2020 – All rights reserved iii
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ISO/IEC 19989-3:2020(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.

ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of

electrotechnical standardization.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the

different types of ISO documents should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO 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 be 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 of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO's adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see www .iso .org/

iso/ foreword .html.

This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,

Subcommittee SC 27, Information security, cybersecurity and privacy protection.
A list of all parts in the ISO/IEC 19989 series can be found on the ISO website.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/ members .html.
iv © ISO/IEC 2020 – All rights reserved
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ISO/IEC 19989-3:2020(E)
Introduction

Biometric systems can be vulnerable to presentation attacks where attackers attempt to subvert the

system security policy by presenting their natural biometric characteristics or artefacts holding copied

or faked characteristics. Presentation attacks can occur during enrolment or identification/verification

events. Techniques designed to detect presentation artefacts are generally different from those to detect

attacks where natural characteristics are used. Defence against presentation attacks with natural

characteristics typically relies on the ability of a biometric system to discriminate between genuine

enrolees and attackers based on the differences between their natural biometric characteristics. This

ability is characterized by the biometric recognition performance of the system. Biometric recognition

performance and presentation attack detection have a bearing on the security of biometric systems.

Hence, the evaluation of these aspects of performance from a security viewpoint will become important

considerations for the procurement of biometric products and systems.

Biometric products and systems share many of the properties of other IT products and systems which

are amenable to security evaluation using the ISO/IEC 15408 series and ISO/IEC 18045 in the regular

way. However, biometric systems embody certain functionality that needs specialized evaluation

criteria and methodology which is not addressed by the ISO/IEC 15408 series and ISO/IEC 18045.

Mainly, these relate to the evaluation of biometric recognition and presentation attack detection. These

are the functions addressed in this document.

ISO/IEC 19792 describes these biometric-specific aspects and specifies principles to be considered

during the security evaluation of biometric systems. However, it does not specify the concrete criteria

and methodology that are needed for security evaluation based on the ISO/IEC 15408 series.

The ISO/IEC 19989 series provides a bridge between the evaluation principles for biometric products

and systems defined in ISO/IEC 19792 and the criteria and methodology requirements for security

evaluation based on the ISO/IEC 15408 series. The ISO/IEC 19989 series supplements the ISO/IEC 15408

series and ISO/IEC 18045 by providing extended security functional requirements together with

assurance activities related to these requirements. The extensions to the requirements and assurance

activities found in the ISO/IEC 15408 series and ISO/IEC 18045 relate to the evaluation of biometric

recognition and presentation attack detection which are particular to biometric systems.

This document provides guidance and requirements to the developer and the evaluator for the

supplementary activities on presentation attack detection specified in ISO/IEC 19989-1. It builds on

the general considerations described in ISO/IEC 19792 and the presentation attack detection testing

methodology described in ISO/IEC 30107-3 by providing additional guidance to the evaluator.

In this document, the term "user" is used to mean the term "capture subject" used in biometrics.

© ISO/IEC 2020 – All rights reserved v
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INTERNATIONAL STANDARD ISO/IEC 19989-3:2020(E)
Information security — Criteria and methodology for
security evaluation of biometric systems —
Part 3:
Presentation attack detection
1 Scope

For security evaluation of biometric verification systems and biometric identification systems,

this document is dedicated to security evaluation of presentation attack detection applying the

ISO/IEC 15408 series. It provides recommendations and requirements to the developer and the evaluator

for the supplementary activities on presentation attack detection specified in ISO/IEC 19989-1.

This document is applicable only to TOEs for single biometric characteristic type but for the selection of

a characteristic from multiple characteristics.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO/IEC 15408-3:2008, Information technology — Security techniques — Evaluation criteria for IT

security — Part 3: Security assurance components

ISO/IEC 18045:2008, Information technology — Security techniques — Methodology for IT security

evaluation

ISO/IEC 19989-1:2020Information Technology — Security techniques — Criteria and methodology for

security evaluation of biometric systems – Part 1: framework

ISO/IEC 30107-3:2017, Information technology — Biometric presentation attack detection — Part 3:

Testing and reporting
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at http:// www .electropedia .org/
3.1
attack presentation acquisition rate
APAR

proportion of attack presentations using the same PAI species (3.15) from which the data capture

subsystem acquires a biometric sample of sufficient quality
[SOURCE: ISO/IEC 30107-3: 2017, 3.2.5]
© ISO/IEC 2020 – All rights reserved 1
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ISO/IEC 19989-3:2020(E)
3.2
attack presentation classification error rate
APCER

proportion of attack presentations using the same PAI species (3.15) incorrectly classified as bona fide

presentations (3.5) in a specific scenario
[SOURCE: ISO/IEC 30107-3: 2017, 3.2.1]
3.3
attack presentation non-response rate
APNRR

proportion of attack presentations using the same PAI species (3.15) that cause no response at the PAD

subsystem or data capture subsystem

EXAMPLE A fingerprint system may not register or react to the presentation of a PAI due to the PAI’s lack of

realism.
[SOURCE: ISO/IEC 30107-3: 2017, 3.2.3]
3.4
attack type

element and characteristic of a presentation attack, including PAI species (3.15), concealer or impostor

attack, degree of supervision, and method of interaction with the capture device
[SOURCE: ISO/IEC 30107-3: 2017, 3.1.3]
3.5
bona fide presentation

interaction 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: Bona fide is analogous to normal or routine, when referring to a bona fide presentation.

Note 2 to entry: Bona fide presentations can include those in which the user has a low level of training or

skill. Bona fide presentations encompass the totality of good-faith presentations to a biometric data capture

subsystem.
[SOURCE: ISO/IEC 30107-3: 2017, 3.1.2]
3.6
bona fide presentation classification error rate
BPCER

proportion of bona fide presentations (3.5) incorrectly classified as presentation attacks in a specific

scenario
[SOURCE: ISO/IEC 30107-3: 2017, 3.2.2]
3.7
bona fide presentation non-response rate
BPNRR

proportion of bona fide presentations (3.5) that cause no response at the PAD subsystem or data capture

subsystem
[SOURCE: ISO/IEC 30107-3: 2017, 3.2.4]
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ISO/IEC 19989-3:2020(E)
3.8
concealer attack presentation non-identification rate
CAPNIR

proportion of concealer presentation attacks using

the same PAI species (3.15) in which the reference identifier of the concealer is not among the identifiers

returned or, depending on intended use case, in which no identifiers are returned

Note 1 to entry: In a negative identification system, such as a black-list, the concealer can intend that no identifiers

are returned to avoid scrutiny by a human operator.
[SOURCE: ISO/IEC 30107-3: 2017, 3.2.9]
3.9
concealer attack presentation non-match rate
CAPNMR

proportion of concealer attack presentations using

the same PAI species (3.15) in which the reference of the concealer is not matched

[SOURCE: ISO/IEC 30107-3: 2017, 3.2.7]
3.10
false-negative identification-error rate
FNIR

proportion of identification transactions by users enrolled in the system in which the user’s correct

identifier is not among those returned
[SOURCE: ISO/IEC 19795-1:2006, 4.6.8]
3.11
false-positive identification-error rate
FPIR

proportion of identification transactions by users not enrolled in the system, where an identifier is

returned
[SOURCE: ISO/IEC 19795-1:2006, 4.6.9]
3.12
impostor attack presentation identification rate
IAPIR

proportion of impostor attack presentations using

the same PAI species (3.15) in which the targeted reference identifier is among the identifiers returned

or, depending on intended use case, at least one identifier is returned by the system

Note 1 to entry: An attacker can be both an impostor (trying to match an existing non-self enrolee) and a

concealer (obscuring his real biometric sample with a PAI).
[SOURCE: ISO/IEC 30107-3: 2017, 3.2.8]
3.13
impostor attack presentation match rate
IAPMR

proportion of impostor attack presentations using the

same PAI species (3.15) in which the target reference is matched
[SOURCE: ISO/IEC 30107-3: 2017, 3.2.6]
3.14
non-standard PAI

presentation attack instrument (PAI) not corresponding to a standard PAI species (3.18).

© ISO/IEC 2020 – All rights reserved 3
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ISO/IEC 19989-3:2020(E)
3.15
PAI species

class of presentation attack instruments created using a common production method and based on

different biometric characteristics

EXAMPLE 1 A set of fake fingerprints all made in the same way with the same materials but with different

friction ridge patterns would constitute a PAI species.

EXAMPLE 2 A specific type of alteration made to the fingerprints of several data capture subjects would

constitute a PAI species.

Note 1 to entry: The term “recipe” is often used to refer to how to make a PAI species.

Note 2 to entry: Presentation attack instruments of the same species may have different success rates due to

variability in the production process.
[SOURCE: ISO/IEC 30107-3: 2017, 3.1.6]
3.16
penetration testing

testing used in vulnerability analysis for vulnerability assessment, trying to reveal vulnerabilities of

the TOE based on the information about the TOE gathered during the relevant evaluation activities

Note 1 to entry: In the ISO/IEC 15408 series, this term is used without definition.

3.17
standard PAI
PAI in standard PAI species (3.18)
3.18
standard PAI species

PAI species (3.15) determined and specified as standard by a certification body or a technical community

for the purpose of conducting evaluations

Note 1 to entry: If standard PAI species are not specified, the developer as well as the evaluator prepare non-

standard PAIs (3.14) to use in evaluation activities.
4 Abbreviated terms
ADV security assurance requirement (SAR) class of development
NOTE The class name is defined in ISO/IEC 15408-3. Here, A stands for assurance

requirement, DV for development. The class name is defined in this way in ISO/IEC 15408.

ATE security assurance requirement (SAR) class of tests
AVA security assurance requirement (SAR) class of vulnerability assessment

AVA_VAN security assurance requirement (SAR) family for vulnerability analysis in class AVA

FMR false match rate
FNIR false-negative identification-error rate
FNMR false non-match rate
FPIR false-positive identification-error rate
FTAR failure to acquire rate
FTER failure to enrol rate
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ISO/IEC 19989-3:2020(E)
PAD presentation attack detectioin
PAI presentation attack instrument
PP protection profile
SFR security functional requirement
ST security target
TOE target of evaluation
5 General remark

In addition to the requirements and recommendations provided in this document, those in

ISO/IEC 15408-3 and ISO/IEC 18045 shall be applied.
The definition of authentication is available in ISO/IEC 2382.

The definitions of biometric (adjective), biometric capture, biometric capture device, biometric

characteristic, biometric concealer, biometric enrolment, biometric identification, biometric impostor,

biometric recognition, biometric system, biometric verification, comparison, enrol, failure-to-acquire

rate, failure-to-enrol rate, false match rate, false non-match rate, identify and threshold (noun) are

available in ISO/IEC 2382-37.

NOTE 1 In this document, the expression "capture device" is sometimes used instead of "biometric capture

device".

NOTE 2 In this document, the expression "concealer" is sometimes used instead of "biometric concealer".

NOTE 3 In this document, the expression "enrolment" is sometimes used instead of "biometric enrolment".

NOTE 4 In this document, the expression "impostor" is sometimes used instead of "biometric impostor".

The definition of assurance, attack potential, class, component, confirm, delivery, describe, determine,

developer, development, ensure, evaluation, family, Protection Profile, Security Target, target of

evaluation and vulnerability are available in ISO/IEC 15408-1.

The definitions of activity, methodology and report are available in ISO/IEC 18045:2008.

The definitions of presentation attack, presentation attack detection and presentation attack

instrument are available in ISO/IEC 30107-1.
6 Overview of PAD testing in Class ATE and Class AVA
6.1 Objectives and principles
6.1.1 Class ATE

The activities in Class ATE focus on the question whether the provided PAD mechanisms work as

specified. Functional testing can demonstrate the existence of PAD vulnerabilities in the TOE (i.e. non-

zero error rates) but it cannot prove that no vulnerabilities exist.

Functional testing of the effectiveness of the PAD capability of the TOE is done by measuring the

successes and failures of detection by the TOE of PAIs using a statistically based test methodology (i.e.

the measurement of PAD success and error rates), in order to demonstrate that PAD capability exists

and that the PAD error rates meet the specification in the ATE_FUN documentation. ATE_IND may or

may not include statistical testing depending on the evaluation context.
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ISO/IEC 19989-3:2020(E)

Note that the functional testing described in this document is distinct from the functional testing

of biometric recognition performance using the natural biometric characteristics of test subjects

described in ISO/IEC 19989-2 following intended use of the TOE.
6.1.2 Class AVA

Class AVA evaluation includes penetration testing activities. Penetration testing involves investigating

the potential vulnerabilities of a TOE to presentation attacks which may not have been uncovered

by previous functional testing (class ATE). This can include standard PAIs and variants of standard

PAIs used in functional testing, and new PAIs which are created to expose possible PAD weaknesses

in the capture hardware or software algorithms used, for example, in signal processing and biometric

comparison. Penetration testing does not involve the statistical testing approach used for functional

testing (class ATE).

Note that testing with PAIs is subject to presentation variability and PAI preparation variability.

Testing should be continued until an appropriate level of confidence in the results of the test is achieved

corresponding to the level of the assurance family AVA_VAN specified in the ST of the TOE.

6.2 PAIs used in testing activities
6.2.1 Class ATE

Standard PAIs shall be prepared and used in accordance with specifications and instructions, if

provided. Standard PAIs may be supplied to the developer and the evaluator by the certification

body or a technical community, or prepared by the developer and the evaluator in accordance with

specifications and instructions of the standard PAI species. If standard PAIs are not provided, then non-

standards PAIs shall be constructed and used by the developer and the evaluator.

NOTE The use of natural biometrics as PAI is included in testing activities if SFR(s) such as FPT_BCP.1, FIA_

EBR.1, FIA_BVR.4 and FIA_BID.4 specified in ISO/IEC 19989-1 are selected in the ST. Even if those SFRs are not

selected, natural biometric PAIs can be part of the standard PAIs. As described in ISO/IEC 19989-1:2020, 6.4.2.1,

7.5.1.1, 7.5.6.1, and 7.5.10.1, natural biometric PAIs include natural biometric characteristics presented with

movements, rotations, or distances against the specification of the capture device. This also applies to Class AVA.

If standard PAIs are not provided, non-standard PAIs shall be prepared by the developer and supplied

to the evaluator by the developer.

The PAIs used by the evaluator for ATE vary with the information available to the evaluator because it

is one of the key factors of the determination of the PAIs used by the evaluator. By default, the evaluator

should rely on the standard PAI species. Additionally, the evaluator should rely on state-of-the-art

attack information to determine whether the PAIs used for the functional testing are representative of

the PAIs that can be used on the TOE by attackers.
6.2.2 Class AVA

Non-standard PAIs shall be created and used by the evaluator in penetration testing.

6.3 Testing activities
6.3.1 Class ATE

It is the objective of any functional testing activity conducted in Class ATE to determine whether the

PAD mechanism is able to detect PAIs with sufficient reliability. In ATE_FUN.1 and ATE_FUN.2, the

developer shall conduct functional testing using standard PAIs at least or non-standard PAIs depending

on whether standard PAI species are provided or not. The developer may prepare non-standard PAIs to

conduct additional functional testing which gives information on the nature of the PAIs the evaluator

should focus on in order to reduce the evaluator’s evaluation activities.
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ISO/IEC 19989-3:2020(E)

The evaluator shall conduct independent testing using PAIs selected from standard PAIs, if standard

PAI species are provided, or non-standard PAIs.

The values for maximum error rates to be validated in the evaluation are specified in the TOE ATE_FUN

documentation and the implications of the values to the test sizes are further discussed in 6.3.

The error rates shall be reported independently for each PAI species tested. The maximum error rate of

all PAI species tested is the main indicator on how well the TOE performs in detecting given PAI species.

NOTE ADV documents are disclosed only to the evaluator and the certification body while the ST is

publicized when the TOE is certified.
6.3.2 Class AVA

Functional testing clearly does not provide any information on the PAD effectiveness against untested

PAI species. It falls to the vulnerability assessment to evaluate whether the use of additional PAIs that

have not been part of the standard PAI species or variations of PAIs from the standard PAI species can

lead to exploitable vulnerabilities.

During the vulnerability analysis, the evaluator should use information and knowledge gained during

the evaluation of the other assurance classes for penetration testing. Any information found in the

previous evaluation activities shall be made available as input to the activities for the AVA evaluation

activities described in this document.

Penetration testing depends on the evaluator’s expertise, skill, and knowledge on potential PAD

vulnerabilities, such as identification of possible areas of weakness, iteratively p

...

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