SIST-TS CEN/TS 16921:2016
(Main)Personal identification - Borders and law enforcement application profiles for mobile biometric identification systems
Personal identification - Borders and law enforcement application profiles for mobile biometric identification systems
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 of 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/IEC 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 needs (for example EU data Protection Directive 95/46/EC and European data bases 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 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 procedures.
Personenidentifikation - Biometrische Anwendungsprofile für Ordnungskräfte und Grenzübergangsverantwortliche, die tragbare Identifizierungssysteme einsetzen
Identification des personnes - Profils d'application des systèmes d'identification biométrique mobiles pour les autorités de contrôle aux frontières
Osebna identifikacija - Omejitve in zakonski profili za uporabo pravnega pregona za mobilne biometrične identifikacijske sisteme
Ta tehnična specifikacija se osredotoča predvsem na biometrične vidike prenosnih sistemov preverjanja in identifikacije za organe pregona in mejne kontrole. Podana priporočila bodo izravnala potrebe glede varnosti, enostavnega dostopa in zaščite podatkov.
ISO/IEC je objavil skupino standardov, ki obravnava biometrično kodiranje podatkov, vmesnike, preskuse izvedbe in preskuse skladnosti. Za namene medoperabilnosti je uporaba teh standardov v evropskih izvedbah ključnega pomena. Vendar standardi ISO/IEC ne upoštevajo nacionalnih ali regionalnih značilnosti; zlasti ne upoštevajo uredbe o varovanju zasebnosti in varstvu podatkov Evropske unije ter zahtev glede dostopnosti in uporabnosti.
Ta tehnična specifikacija razširja standarde ISO s poudarjanjem specifičnih evropskih potreb (na primer Direktiva EU o varstvu podatkov 95/46/ES in dostop do evropskih zbirk podatkov). Tehnična specifikacija sistematično obravnava vprašanja, ki jih je treba upoštevati pri načrtovanju, izvedbi in uporabi prenosnih sistemov preverjanja identitete, ter daje priporočila za tiste vrste sistemov, ki so ali bodo uporabljeni v Evropi.
Komunikacija, nadgradljivost infrastrukture in vidiki varnosti, ki niso povezani z biometrijo, niso vključeni. Ta dokument prav tako ne obravnava zahtev glede strojne opreme in varnosti biometrične opreme ter ne daje priporočil glede splošnih identifikacijskih postopkov.
General Information
Standards Content (Sample)
SLOVENSKI STANDARD
SIST-TS CEN/TS 16921:2016
01-julij-2016
2VHEQDLGHQWLILNDFLMD2PHMLWYHLQ]DNRQVNLSURILOL]DXSRUDERSUDYQHJDSUHJRQD
]DPRELOQHELRPHWULþQHLGHQWLILNDFLMVNHVLVWHPH
Personal identification - Borders and law enforcement application profiles for mobile
biometric identification systems
Personenidentifikation - Biometrische Anwendungsprofile für Ordnungskräfte und
Grenzübergangsverantwortliche, die tragbare Identifizierungssysteme einsetzen
Ta slovenski standard je istoveten z: CEN/TS 16921:2016
ICS:
35.240.15 ,GHQWLILNDFLMVNHNDUWLFHýLSQH Identification cards. Chip
NDUWLFH%LRPHWULMD cards. Biometrics
SIST-TS CEN/TS 16921:2016 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST-TS CEN/TS 16921:2016
CEN/TS 16921
TECHNICAL SPECIFICATION
SPÉCIFICATION TECHNIQUE
March 2016
TECHNISCHE SPEZIFIKATION
ICS 35.240.15
English Version
Personal identification - Borders and law enforcement
application profiles for mobile biometric identification
systems
Personenidentifikation - Biometrische
Anwendungsprofile für Ordnungskräfte und
Grenzübergangsverantwortliche, die tragbare
Identifizierungssysteme einsetzen
This Technical Specification (CEN/TS) was approved by CEN on 25 January 2016 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 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 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, 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
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels
© 2016 CEN All rights of exploitation in any form and by any means reserved Ref. No. CEN/TS 16921:2016 E
worldwide for CEN national Members.
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Contents Page
European foreword . 3
Introduction . 4
1 Scope . 5
2 Terms and definitions . 5
3 Symbols and abbreviations . 6
4 Portable 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 Usability 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 sensors . 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 systems . 15
6.3.1 Profile description . 15
6.3.2 Environment description . 15
6.4 Workstation systems . 16
Bibliography . 17
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European foreword
This document (CEN/TS 16921:2016) has been prepared by Technical Committee CEN/TC 224
“Personal identification and related 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 responsible 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, Finland, 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.
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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. However, 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 point, 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 biometric 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 person’s
identity under numerous circumstances, on borders as identity check for border control purposes as
well as inside the national 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 person’s identity using his/her biometrics
against date base (local or remote).
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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 of 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/IEC 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 needs (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 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 procedures.
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 biometric 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 can 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 the system
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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 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 Visa 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 comparing (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 electronic
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 comparing 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 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 matching, 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 or 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 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
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has a non-electronic document) It is possible to perform this kind of verification if a National
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
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 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, the 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 information
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. 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;
— issuance 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 control;
— 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 iris, 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 system are basically the same that are present in a fixed ABC
(biometrics, travel document verification, communications as described in CEN/TS 16634 [3]) but the
environment is very different (in a mobile installation environment is almost completely uncontrolled
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[8]). Also portable identity verification systems require sensor calibration and maintenance to ensure a
proper working condition. As a portable device may change from place to place, testing for scenario
adaptation could be more important than in a static placement. These conditions have influence in the
system architecture and in biometrics performance. At least, the selection of the biometric technology
used, quality conditions and available technology to perform identification and communication can be
defined and evaluated.
5 General recommendations for portable identity verification systems
5.1 Biometric modalities
European portable systems are designed for the use of fingerprints and facial images. Adaption of other
modalities like iris and vein is possible. The aim is to check that the traveller presenting a travel
document really is the person to whom this document was issued and thus verifies the person's right to
enter the territory. A portable identity verification system is not limited to identity verification at the
borders but can also be used for identity verification within the territory of the nation, both for EU
citizens and 3rd country nationals. A portable system should also allow to perform biometric
identification (1:N search).
5.2 Usability and accessibility
NOTE General guidance on these aspects is given in ISO/IEC/TR 24714-1 and CEN/TS 16634.
For portable identity verification systems usability should be extended to the specific operational
conditions. For hand-held devices, the operator should be holding the device while biometric data are
acquired from the subject (for example fingerprint, face). In this case, operator and user share the
device and special considerations should be taken to allow an easy and ergonomic use.
Portable systems should be designed to be equitable in use for subjects who have permanent or
temporary physical or psychological inabilities. They should be easy to use and with a wide tolerance of
operation. For subjects that cannot use the biometric system alternative systems are necessary
...
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