ISO IEC TR 29156-2015 Information technology - Guidance for specifying performance requirements to meet security and usability needs in applications using biome.pdf

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1、Information technology Guidance for specifying performance requirements to meet security and usability needs in applications using biometrics Technologies de linformation Directives spcifiant les exigences de performance afin datteindre la scurit et les besoins dutilisation dans les applications bio

2、mtriques TECHNICAL REPORT ISO/IEC TR 29156 First edition 2015-11-15 Reference number ISO/IEC TR 29156:2015(E) ISO/IEC 2015 ii ISO/IEC 2015 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2015, Published in Switzerland All rights reserved. Unless otherwise specified, no part of this publicat

3、ion may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below or ISOs member body in the country

4、of the requester. ISO copyright office Ch. de Blandonnet 8 CP 401 CH-1214 Vernier, Geneva, Switzerland Tel. +41 22 749 01 11 Fax +41 22 749 09 47 copyrightiso.org www.iso.org ISO/IEC TR 29156:2015(E) ISO/IEC TR 29156:2015(E)Foreword v Introduction vi 1 Scope . 1 2 Normative references 1 3 T erms and

5、 definitions . 2 4 Abbreviated terms 3 5 Authentication factors 3 5.1 Overview 3 5.2 Security and usability of authentication mechanisms 4 5.3 Knowledge-based authentication (PIN, passwords) 5 5.3.1 General description with examples . 5 5.3.2 Security considerations . 6 5.3.3 Usability consideration

6、s 7 5.4 Possession based authentication (tokens, cards) . 7 5.4.1 General description with examples . 7 5.4.2 Security considerations . 8 5.4.3 Usability considerations 9 5.5 Personal characteristic based authentication (biometrics) . 9 5.5.1 General description with examples . 9 5.5.2 Security cons

7、iderations 11 5.5.3 Usability considerations .12 5.6 Multi-factor authentication .12 5.6.1 General.12 5.6.2 Example: token and PIN .13 5.6.3 Implementation options .13 5.6.4 Performance requirements for multi-factor authentication .14 5.7 Comparing security performance of authentication mechanisms 1

8、4 5.8 Summary comparison of authentication factors 15 6 Determining biometric authentication security requirements .15 6.1 General 15 6.2 Business requirements .15 6.3 Security-enhancing aspects 16 6.4 Suitable target figures for false acceptance rates 16 6.5 Other considerations in authentication s

9、ecurity 16 6.6 Limits of authentication assurance 16 7 Determining biometric authentication usability requirements .17 7.1 General 17 7.2 Accessibility considerations .17 7.3 Throughput .17 7.4 Authentication failure rate for authorized users 18 7.5 Ease of use at point of authentication 19 7.6 Ease

10、 of use for enrolment .19 7.7 Other aspects of usability .19 8 A dditional c onsider ations in defining biometric security and usability r equir ements .19 8.1 Organization of requirements .19 8.2 Verification and identification modes of operation20 8.3 Stages of authentication .20 8.4 Authenticatio

11、n assurance and standards 21 8.5 Application-specific performance considerations 21 8.5.1 Performance for business functionality 21 8.5.2 Performance for identity proofing and enrolment 22 ISO/IEC 2015 All rights reserved iii Contents Page ISO/IEC TR 29156:2015(E)8.5.3 Performance for identity verif

12、ication .23 8.6 Additional security related requirements 23 8.7 Exception handling .24 8.8 Multi-factor authentication .24 8.8.1 General.24 8.8.2 Improved discrimination .24 8.8.3 Improvements in accessibility 25 8.8.4 Improvements in usability .25 8.8.5 Improvements in overall security 25 8.9 Deali

13、ng with security and usability shortfalls 25 8.10 Hypothetical example of quantitative performance requirements 26 9 Use cases 27 9.1 General 27 9.2 Time and attendance 27 9.3 Physical access control 27 9.4 Computer sign-on 28 9.5 Remote authentication 29 Annex A (informative) Risk assessment 31 Bib

14、liography .40 iv ISO/IEC 2015 All rights reserved ISO/IEC TR 29156:2015(E) Foreword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system for worldwide standardization. National bodies that are members of ISO or I

15、EC participate in the development of International Standards through technical committees established by the respective organization to deal with particular fields of technical activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international organizations, gov

16、ernmental and non-governmental, in liaison with ISO and IEC, also take part in the work. In the field of information technology, ISO and IEC have established a joint technical committee, ISO/IEC JTC 1. The procedures used to develop this document and those intended for its further maintenance are de

17、scribed in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of document 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

18、the possibility that some of the elements of this document may be the subject of patent rights. ISO and IEC 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 o

19、n 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 on the meaning of ISO specific terms and expressions related to conformity asses

20、sment, as well as information about ISOs adherence to the WTO principles in the Technical Barriers to Trade (TBT) see the following URL: Foreword - Supplementary information The committee responsible for this document is ISO/IEC JTC 1, Information technology, SC 37, Biometrics. ISO/IEC 2015 All righ

21、ts reserved v ISO/IEC TR 29156:2015(E) Introduction This Technical Report is aimed at helping readers to make informed decisions about the specification of performance requirements for authentication systems using biometric recognition in order to achieve desired levels of security and usability for

22、 the authentication process. Guidance extends to the use of biometric recognition with and without other authentication factors such as passwords and physical tokens. This Technical Report describes security and usability trade-offs in biometric recognition relative to those of other authentication

23、mechanisms and provides advice on how to balance conflicting security and usability parameters in the context of real applications. In addition to a consideration of technical performance parameters such as biometric error rates and password strength, this Technical Report also addresses technical,

24、human and procedural vulnerabilities associated with the various types of human authentication. Vulnerabilities when exploited can lead to an undermining of the integrity of the authentication result. These need to be considered as part of the risk management process which would seek to avoid risk o

25、r implement strategies to reduce risk to an acceptable level. This Technical Report builds on existing relevant standards and guidelines including those related to e-authentication and risk management. Although some work has been done on examining the links between performance and security for biome

26、tric recognition, there currently exists no accepted rationale for comparing the security and usability of biometric recognition with that of passwords and other mechanisms. It is useful to be able to compare biometric recognition as an authentication factor with other factors such as passwords and

27、tokens. The latter have a wide existing deployment base and a well-established basis for setting security and usability performance parameters. However, comparisons between authentication factors are difficult because the strengths and weaknesses of the factors lie in different areas. In combination

28、, the strengths of one factor can be used to counter the weaknesses of another. These considerations make the comparisons multi-dimensional and complex. Passwords are usually specified in terms of length and randomness in order to satisfy authentication security requirements. 10However, it is well k

29、nown that long and random passwords are difficult to remember and to enter and this is a usability problem. The historic understanding of password authentication and the trade- offs between security and usability provides a good reference against which to assess biometric recognition authentication

30、performance. As well as addressing the use of biometrics as a replacement for passwords or tokens, this Technical Report also considers the use of multiple factors (e.g. biometrics plus password) for authentication. This introduces another aspect of the trade-off decision, that of how to assess the

31、performance requirements of the individual authentication factors when used in combination in order to meet an overall security and usability requirement. This Technical Report addresses this issue but the complexity of the subject limits the specificity of the advice that can be given. This Technic

32、al Report provides guidance on performance considerations where biometric recognition is to be used for authentication to replace or augment the use of passwords or tokens. It also provides guidance for the interpretation of security and usability performance information in the application domain of

33、 interest so that suitable levels of security and usability can be achieved for single and multi- factor authentication.vi ISO/IEC 2015 All rights reserved Information technology Guidance for specifying performance requirements to meet security and usability needs in applications using biometrics 1

34、Scope This Technical Report provides guidance on specifying performance requirements for authentication using biometric recognition in order to achieve desired levels of security and usability for the authentication mechanism. Guidance addresses issues such as the following: the biometric performanc

35、e metrics that impact security and usability; comparing and quantifying the security and usability of biometrics and other authentication mechanisms, when used alone or in combination; how to combine performance of individual authentication elements in order to meet an overall security and usability

36、 requirement; the trade-off between security and usability in applications using biometric recognition; considerations in maintaining security and usability in systems incorporating biometrics. The guidance is targeted towards applications that use biometrics for the authentication of individuals, a

37、nd are of small to medium size (in terms of the number of enrolled individuals). The guidance does not address the following: surveillance systems; systems whose primary aim is to detect and prevent attempts by individuals to create multiple enrolments under different identities; systems with a larg

38、e and diverse population of enrolees, which can include people with special needs; other systems with a complex mix of functional, security and usability requirements. Such large-scale applications are typically the domain of large organizations, and it is assumed that the developers of such systems

39、 will have access to appropriate biometric expertise able to provide guidance beyond the scope of this Technical Report. This Technical Report does not address biometric modality and technology specific issues, nor does it provide quantitative biometric performance requirements that would satisfy a

40、particular application. 2 Normative references The following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced docum

41、ent (including any amendments) applies. ISO/IEC 2382, Information technology Vocabulary ISO/IEC 2382-37, Information technology Vocabulary Part 37: Biometrics TECHNICAL REPORT ISO/IEC TR 29156:2015(E) ISO/IEC 2015 All rights reserved 1 ISO/IEC TR 29156:2015(E) 3 T erms a nd definiti ons For the purp

42、oses of this document, the terms and definitions given in ISO/IEC 2382, ISO/IEC 2382-37 and the following apply. 3.1 accessibility usability of a product, service, environment or facility by people with the widest range of capabilities SOURCE: ISO 9241-171:2008, 3.2 3.2 authentication mechanism syno

43、nym authentication method process of identity authentication using one or more authentication factors 3.3 authentication factor evidence to assert the identity of an individual Note 1 to entry: Within this Technical Report, three categories of authentication factors are identified: possession based,

44、 knowledge based and personal characteristic based. EXAMPLE ID card, smartcard, PIN, password, fingerprint, iris. 3.4 biometric throughput number of users that a biometric system can process within a given time interval Source: Springer Encyclopaedia of Biometrics 11 3.5 effective entropy amount of

45、randomness available within a particular authentication mechanism, taking into account implementation and procedural factors 3.6 entropy measure of the amount of uncertainty that an attacker faces to determine the value of a secret Source: NIST SP800-63 10 3.7 exhaustion attack attack against the se

46、curity of a system that attempts to determine the value of a parameter by testing all possible states of that parameter 3.8 multi-factor authentication authentication based on more than one authentication factor Note 1 to entry: In the context of this Technical Report, the multiple authentication fa

47、ctors encompass biometric + password, password + token, biometric + token and password + biometric + token. Combinations of biometrics such as iris + fingerprint are not included. 3.9 raw entropy theoretical maximum amount of randomness available within a particular authentication mechanism2 ISO/IEC

48、 2015 All rights reserved ISO/IEC TR 29156:2015(E) 3.10 system throughput number of users that an overall system can process within a given time interval (which is inclusive of the biometric throughput if biometrics are used) 3.11 usability extent to which a product can be used by specified users to

49、 achieve specified goals with effectiveness, efficiency, and satisfaction in a specified context of use SOURCE: ISO 9241-210:2010, 2.13 Note 1 to entry: In the context of this Technical Report, usability is related to the ease of use of the authentication and the convenience it affords to the users (both subjects and operational staff). The following factors are addressed: throughput; authentication failure rate for authorized users; ease of use at point of