ANSI INCITS 422-2007 Information Technology C Application Profile for Commercial Biometric Physical Access Control.pdf

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1、American National StandardDeveloped byfor Information Technology Application Profile forCommercial BiometricPhysical Access ControlANSI INCITS 422-2007ANSIINCITS422-2007ANSIINCITS 422-2007American National Standardfor Information Technology Application Profile forCommercial BiometricalPhysical Acces

2、s ControlSecretariatInformation Technology Industry CouncilApproved February 1, 2007 American National Standards Institute, Inc.Approval of an American National Standard requires review by ANSI that therequirements for due process, consensus, and other criteria for approval havebeen met by the stand

3、ards developer.Consensus is established when, in the judgement of the ANSI Board ofStandards Review, substantial agreement has been reached by directly andmaterially affected interests. Substantial agreement means much more thana simple majority, but not necessarily unanimity. Consensus requires tha

4、t allviews and objections be considered, and that a concerted effort be madetowards their resolution.The use of American National Standards is completely voluntary; theirexistence does not in any respect preclude anyone, whether he has approvedthe standards or not, from manufacturing, marketing, pur

5、chasing, or usingproducts, processes, or procedures not conforming to the standards.The American National Standards Institute does not develop standards andwill in no circumstances give an interpretation of any American NationalStandard. Moreover, no person shall have the right or authority to issue

6、 aninterpretation of an American National Standard in the name of the AmericanNational Standards Institute. Requests for interpretations should beaddressed to the secretariat or sponsor whose name appears on the titlepage of this standard.CAUTION NOTICE: This American National Standard may be revise

7、d orwithdrawn at any time. The procedures of the American National StandardsInstitute require that action be taken periodically to reaffirm, revise, orwithdraw this standard. Purchasers of American National Standards mayreceive current information on all standards by calling or writing the AmericanN

8、ational Standards Institute.American National StandardPublished byAmerican National Standards Institute, Inc.25 West 43rd Street, New York, NY 10036Copyright 2007 by Information Technology Industry Council (ITI)All rights reserved.No part of this publication may be reproduced in anyform, in an elect

9、ronic retrieval system or otherwise,without prior written permission of ITI, 1250 Eye Street NW, Washington, DC 20005. Printed in the United States of AmericaContents Page 1 Scope 1 2 Conformance . 2 3 Normative References 2 3.1 Existing Standards2 3.1.1 Core Set of Standards 2 3.1.2 Modality Depend

10、ent Standards . 2 3.1.3 System Interface Standards. 2 3.1.4 Security Standards . 2 4 Terms and Definitions 3 4.1 application profile . 3 4.2 biometric 3 4.3 biometric data block (BDB) 3 4.4 biometric information record (BIR) . 3 4.5 biometric information data record (BIDR) 3 4.6 biometric technology

11、/biometric type 3 4.7 biometrics 3 4.8 credential . 3 4.9 enroll. 3 4.10 identification/identify 3 4.11 identifier . 4 4.12 integrity 4 4.13 biometric access control reader 4 4.14 standard biometric header (SBH) 4 4.15 verification/verify 4 5 Symbols (and abbreviated terms) . 4 6 Architectural Requi

12、rements for Biometric Commercial Access Control 4 6.1 Security 5 6.2 Interoperability 5 6.2.1 Biometric Characteristic Interoperability . 5 6.2.2 Access Control System Interoperability. 5 6.2.3 Credential Interoperability 6 6.3 Biometric Matching Mechanism 6 6.3.1 Verification to claimed identity 6

13、6.3.2 Identification establishes an identity 6 6.4 Hosting of the Biometric Processing 7 6.4.1 Match on Terminal 7 6.4.2 Match on Secure Service 7 7 Biometric Physical Access Control Context (Informative). 8 7.1 Biometric System Performance. 8 7.2 Identity Establishment 8 Annex A (normative) Require

14、ments List and Implementation Conformance Statement . 9 A.1 Requirements List. 9 A.2 Relationship between RL and corresponding ICS proformas 9 A.3 Profile Implementation Conformance Statement 9 A.4 Instruction for completing the ICS proforma . 10 A.4.1 General structure of the ICS proforma . 10 A.4.

15、2 Additional Information 10 i ANSI INCITS 422-2007 A.4.3 Exception Information 11 A.5 Function Requirements Tables . 11 A.5.1 Tables for Biometric Interchange Data Records 11 A.5.2 Table for CBEFF Specification 24 Annex B (normative) Access Control Interface 26 B.1 Wiegand-26 26 Annex C (normative)

16、Interoperable Credential Format 27 Annex D (Informative) Bibliography. 30 ii iiiForeword (This foreword is not part of American National Standard ANSI INCITS 422-2007.)This standard specifies a biometric profile for access control applications. It defines aset of base standards and criteria for appl

17、ying those standards in applications thatuse biometrics to authenticate the identity of users requesting access to a facility. This document contains three normative annexes (Annexes A, B, and C), which areconsidered part of this standard, and one informative annex (Annex D), which is notconsidered

18、part of this standard.INCITS (The InterNational Committee for Information Technology Standards) is theANSI recognized Standards Development Organization for information technologywithin the United States of America. Members of INCITS are drawn from Govern-ment, Corporations, Academia and other organ

19、izations with a material interest in thework of INCITS and its Technical Committees. INCITS does not restrict membershipand attracts participants in its technical work from 13 different countries, and oper-ates under the rules of the American National Standards Institute. In the field of Biometrics,

20、 INCITS has established the Technical Committee M1. Stan-dards developed by this Technical Committee have reached consensus throughoutthe development process and have been thoroughly reviewed through several PublicReview processes. In addition, this American National Standard has been approvedby the

21、 INCITS Executive Board and ANSI Board of Standards Review for Publicationas an ANSI INCITS Standard.Requests for interpretation, suggestions for improvement or addenda, or defect re-ports are welcome. They should be sent to InterNational Committee for InformationTechnology Standards (INCITS), ITI,

22、1250 Eye Street, NW, Suite 200, Washington,DC 20005.This standard was processed and approved for submittal to ANSI by INCITS. Com-mittee approval of this standard does not necessarily imply that all committee mem-bers voted for its approval. At the time it approved this standard, INCITS had thefollo

23、wing members:Karen Higginbottom, ChairJennifer Garner, SecretaryOrganization Represented Name of RepresentativeAIM Global Dan MullenCharles Biss (Alt.)Apple Computer, Inc. David MichaelElectronic Industries Alliance Edward Mikoski, Jr.David Thompson (Alt.)EMC Corporation Gary RobinsonFarance, Inc Fr

24、ank FaranceTimothy Schoechle (Alt.)GS1 US Frank SharkeyJames Chronowski (Alt.)Mary Wilson (Alt.)Hewlett-Packard Company. Karen HigginbottomSteve Mills (Alt.)Scott Jameson (Alt.)IBM Corporation . Ronald F. SillettiPeter Schirling (Alt.)IEEE . Judith GormanTerry DeCourcelle (Alt.)Robert Pritchard (Alt

25、.)Jodi Haasz (Alt.)Bob Labelle (Alt.)ivOrganization Represented Name of RepresentativeIntel. Philip WennblomDave Thewlis (Alt.)Jesse Walker (Alt.)Grace Wei (Alt.)Lexmark International. Don WrightDwight Lewis (Alt.)Paul Menard (Alt.)Microsoft Corporation . Jim HughesDon Stanwyck (Alt.)Mike Ksar (Alt.

26、)Isabelle Valet-Harper (Alt.)National Institute of Standards the table in Annex A.5.2; the requirements of Annex B; and the table in Annex C. Note that some of these tables might specify mandatory requirements that are merely optional in the referenced base standards. 3 Normative References The foll

27、owing referenced documents are indispensable for the application 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. 3.1 Existing Standards 3.1.1 Core Set of Standards a) ANS

28、I INCITS 398-2005, Information technology Common Biometric Exchange Formats Framework (CBEFF) (see A.5.2) 3.1.2 Modality Dependent Standards b) ANSI INCITS 377-2004, Information Technology Finger Pattern-Based Format for Data Interchange (see A.5.1.2) c) ANSI INCITS 378-2004, Information Technology

29、Finger Minutiae Format for Data Interchange (see A.5.1.1) d) ANSI INCITS 379-2004, Information Technology Iris Image Interchange Format (see A.5.1.5) e) ANSI INCITS 381-2004, Information Technology Finger Image Format for Data Interchange (see A.5.1.3) f) ANSI INCITS 385-2004, Information Technology

30、 Face Recognition Format for Data Interchange (see A.5.1.4) g) ANSI INCITS 395-2005, Information Technology Biometric Data Interchange Formats - Signature/Sign Data (see A.5.1.6) h) ANSI INCITS 396-2005, Information technology - Hand Geometry Format for Data Interchange (see A.5.1.7) 3.1.3 System In

31、terface Standards i) SIA (Security Industry Association) Access Control Standard Protocol for the 26-bit Wiegand Reader Interface (October 17, 1996) 3.1.4 Security Standards j) Advanced Encryption Standard (AES) (FIPS PUB 197) (November 26, 2001) k) RFC 3447: Public-Key Cryptography Standards (PKCS)

32、 #1: RSA Cryptography Specifications Version 2.1 (February, 2003) (http:/www.ietf.org/rfc/rfc3447.txt) l) RFC 1321: The MD5 Message-Digest Algorithm (April, 1992) (http:/www.ietf.org/rfc/rfc1321.txt) 2 ANSI INCITS 422-2007 4 Terms and Definitions 4.1 application profile conforming subsets or combina

33、tions of base standards used to provide specific functions NOTE: Application profiles identify the use of particular options available in base standards, and provide a basis for the interchange of data between applications and interoperability of systems. 4.2 biometric pertaining to the field of bio

34、metrics (see 4.7). NOTE: “biometric“ should never be used as a noun. 4.3 biometric data block (BDB) block of data with a defined format that contains one or more biometric samples or biometric templates 4.4 biometric information record (BIR) data structure containing one or more BDBs together with i

35、nformation identifying the BDB formats, and possibly further information such as whether a BDB is signed or encrypted 4.5 biometric information data record (BIDR) data structure, corresponding to one person, that contains a BIR plus other information specific to access control functions 4.6 biometri

36、c technology/biometric type generalized terms used where it is not appropriate to mention a specific behavioral or biological biometric feature 4.7 biometrics automated recognition of living persons based on observation of behavioral and biological (anatomical and physiological) characteristics 4.8

37、credential encrypted signed document that contains at least an identifier and biometric information 4.9 enroll process of collecting biometric samples from a person and the subsequent preparation and storage of biometric reference templates representing that persons identity 4.10 identification/iden

38、tify one-to-many process of comparing a submitted biometric sample against all of the biometric reference templates on file to determine whether it matches any of the templates and, if so, the identity of the enrollee whose template was matched 3 ANSI INCITS 422-2007 4.11 identifier unique data stri

39、ng used as a key in the biometric system to name a persons identity and its associated attributes. An example of an identifier would be a passport number 4.12 integrity property of physically stored data, both on a travel document and in a central database, that the data cannot be altered without su

40、ch alteration being detected and tracked 4.13 biometric access control reader system comprising at least of the following components: one or more biometric sensors, a credential input mechanism, an access control system interface, and a biometric comparison capability 4.14 standard biometric header

41、(SBH) part of a CBEFF compliant BIR structure that provides encodings for values of CBEFF data elements and enables an application to obtain knowledge about the BDB contents without having to process the BDB 4.15 verification/verify process of comparing a submitted biometric sample against the biome

42、tric reference template of a single enrolee whose identity is being claimed, to determine whether it matches the enrolees template. Contrast with “Identification” 5 Symbols (and abbreviated terms) API application programming interface BIDR biometric information data record BIR biometric information

43、record ICS Implementation Conformance Statement 6 Architectural Requirements for Biometric Commercial Access Control Of the many drivers for the development of this profile, a few have been specifically identified. A first requirement is security. Since access control is primarily a security related

44、 system, the system itself must be reasonably secure against typical threats, such as fraudulent credentials, false network services, etc A second requirement is interoperability. The system should be interoperable with respect to biometrics, access control interface, and credentials. A third requir

45、ement is to ensure all biometric modalities can be accommodated in the Biometric access control systems. This includes operating the access control system using any number of biometric characteristics, sensor types or subtypes and methods of processing (both identification and verification, for exam

46、ple). Finally, the processing of the biometric data may be hosted in a variety of locations in the access control system. This is a cooperative system where users are motivated to achieve successful verification or identification. 4 ANSI INCITS 422-2007 6.1 Security An access control reader shall be

47、 able to decrypt and authenticate a protected credential. An access control reader shall be able to authenticate a remote server that is responsible for matching biometrics. 6.2 Interoperability 6.2.1 Biometric Characteristic Interoperability Biometric data structures used in access control manageme

48、nt systems shall be in compliance with NISTIR 6529-A, Common Biometric Exchange Formats Framework. Such structures shall conform to a publicly available CBEFF-compliant patron format. The CBEFF-compliant patron header shall specify a conforming standard biometric header (SBH) and a CBEFF-compliant B

49、DB. The use of a CBEFF signature block is optional. The use of encryption or other security techniques as provided by CBEFF is not allowed. These standards apply whenever the reader must import or export biometric information. It specifically applies to the credential format, such that any biometric information encoded on the credential shall utilize CBEFF and also the interchange formats (where applicable). When a standardized access control system uses one of the following biometric characteristics, the biometric data blocks (BDB) created and processed by th