ANSI INCITS ISO IEC TR 29195-2015 Traveller processes for biometric recognition in automated border (Technical Report).pdf

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1、 INCITS/ISO/IEC TR 29195:2015 2015 (ISO/IEC TR 29195:2015, IDT) Traveller processes for biometric recognition in automated border (Technical Report) INCITS/ISO/IEC TR 29195:2015 2015 PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobes licensing policy, this file ma

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4、e file is suitable for use by ISO member bodies. In the unlikely event that a problem relating to it is found, please inform the Central Secretariat at the address given below. Registered by INCITS (InterNational Committee for Information Technology Standards) as an American National Standard. Date

5、of Registration: 7/26/2015 Published by American National Standards Institute, 25 West 43rd Street, New York, New York 10036 Copyright 2015 by Information Technology Industry Council (ITI). All rights reserved. These materials are subject to copyright claims of International Standardization Organiza

6、tion (ISO), International Electrotechnical Commission (IEC), American National Standards Institute (ANSI), and Information Technology Industry Council (ITI). Not for resale. No part of this publication may be reproduced in any form, including an electronic retrieval system, without the prior written

7、 permission of ITI. All requests pertaining to this standard should be submitted to ITI, 1101 K Street NW, Suite 610, Washington DC 20005. Printed in the United States of America ii ITIC 2015 All rights reserved Traveller processes for biometric recognition in automated borderProcessus relatifs au v

8、oyageur pour la reconnaissance biomtrique aux frontires automatisesTECHNICAL REPORTISO/IEC TR29195First edition2015-03-15Reference numberISO/IEC TR 29195:2015(E) ISO/IEC 2015ii ISO/IEC 2015 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO/IEC 2015All rights reserved. Unless otherwise specified, n

9、o part of this publication 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 memb

10、er body in the country of the requester.ISO copyright officeCase postale 56 CH-1211 Geneva 20Tel. + 41 22 749 01 11Fax + 41 22 749 09 47E-mail copyrightiso.orgWeb www.iso.orgPublished in SwitzerlandISO/IEC TR 29195:2015(E)ISO/IEC TR 29195:2015(E)Foreword iv1 Scope . 12 Terms and definitions . 13 Key

11、 drivers 24 Overview of automated border control system 24.1 General . 24.2 The biometric process at the border 24.3 The processing steps 35 Key Success Factors 45.1 Operational considerations 45.1.1 Traveller considerations . 45.1.2 Traveller processing 55.1.3 Operational environment . 55.1.4 Borde

12、r stakeholder engagement . 55.1.5 System management.65.1.6 Vulnerabilities 65.2 Technical considerations 75.2.1 Security/Privacy. 75.3 Standards for interoperability . 75.4 Enrolment for automated border control systems 85.5 Privacy background for ABC systems 86 Guidance relating to specific modalit

13、ies . 86.1 Face . 86.1.1 Presentation of subject to camera: . 86.1.2 Other factors 96.2 Vascular (vein) 96.2.1 General 96.2.2 Presentation of subject to vein sensors . 96.2.3 Other factors . 106.3 Fingerprint 106.3.1 General. 106.3.2 Enrolment . 106.3.3 Verification . 116.4 Iris . 116.4.1 Presentati

14、on of subject to camera . 11Annex A (informative) Different types of ABC systems 13Annex B (informative) Examples of automated border control systems .14Annex C (informative) Malaysia Autogate System 15Annex D (informative) Nexus iris recognition system .18Annex E (informative) United Kingdom .19Ann

15、ex F (informative) Global Entry 22Annex G (informative) Examples of Signage used in ABC Systems .23Bibliography .26 ISO/IEC 2015 All rights reserved iiiISO/IEC TR 29195:2015(E)ForewordISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) for

16、m the specialized system for worldwide standardization. National bodies that are members of ISO or IEC 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 t

17、echnical committees collaborate in fields of mutual interest. Other international organizations, governmental 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

18、.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 document should be noted. This document was drafted in accordance with the edi

19、torial 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 and IEC shall not be held responsible for identifying any or all such patent rights. Details of any pa

20、tent 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

21、 an explanation on the meaning of ISO specific terms and expressions related to conformity assessment, 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

22、this document is ISO/IEC JTC 1, Information technology, Subcommittee SC 37, Biometrics.iv ISO/IEC 2015 All rights reservedTraveller processes for biometric recognition in automated border1 ScopeThis Technical Report provides recommended best practices and processes for automated border control syste

23、ms using biometrics to verify an identity claim by a traveller that uses an ePassport or equivalent identity card as the basis for the claim. It indicates areas that organisations proposing to use biometric technologies will need to address during design, deployment, and operation. Much of the infor

24、mation is generic to all types of applications especially around signage; however, some information will be specific to the modality of biometric technology used and how that technology is physically implemented.Biometric automated border control systems can have various biometric implementations, t

25、hey can be manned or unmanned, and might or might not require the presentation of documentation. This Technical Report points out the different requirements relating to many of the different types of biometric application implementations.The following are out of scope for this Technical Report.a. Wa

26、tch lists, although biometric technology can be used to check watch lists as part of traveller processing in automated border control systems.b. Manual customs and immigration systems mandated by government for travellers.c. Trusted traveller systems (including token-less systems).d. ePassport PKI:

27、Whilst PKI/PKD systems exist, they are not covered in this Technical Report. This subject is referenced in ICAO 9303.The recommendations contained in this Technical Report are not mandatory.2 Terms and definitionsFor the purposes of this document, the following terms apply.2.1travellerperson subject

28、 to biometric verification by an automated border control system2.2automated border control systememploys biometric verification of travellers to meet the requirements and regulations of border stakeholdersNote 1 to entry: Often referred to as ABC systems.2.3border stakeholderstate or state-sanction

29、ed entity that carries out border functions including, but not limited to, customs, immigration, transportation, and tourism2.4automated gatesubsystem of an automated border control system that incorporates physical entry/exit control, travel document reading (where applicable), and biometric verifi

30、cation.TECHNICAL REPORT ISO/IEC TR 29195:2015(E) ISO/IEC 2015 All rights reserved 1ISO/IEC TR 29195:2015(E)2.5kioskseparate physical device that is part of the ABC system which can be used for assessing the eligibility of travellers for self-process.3 Key driversAutomated border control systems usin

31、g biometrics have several key business drivers including increases in security, improving business processes and improving the travellers experiences. Airlines are now starting to use larger aircraft, fitting more travellers on existing aircraft and deploying more flights. This creates problems when

32、 processing travellers due to the increase in traveller numbers and creates many key drivers for authorities (airport, border control etc.) to look at automated processing of travellers.The key drivers for use of automated border control systems include to: Reduce the costs of the related processing

33、 of travellers. Decrease the traveller processing times. Make better use of finite floor space in border control processing areas. Contribute to making the traveller experience through border control points a positive one. Provide consistent and secure border control processing of travellers. Provid

34、e a lower cost scalable platform to meet growing traveller processing demands into the future. Give greater flexibility for workforce planning including staffing levels for the processing of increasing traveller numbers.4 Overview of automated border control system4.1 GeneralAutomated border control

35、 systems may consist of one or more physical devices with which the traveller needs to interact.Some systems use a separate physical device (for example: a kiosk) that travellers must use to determine their eligibility to self-process. In other words, to have their identity claim processed automatic

36、ally at a subsequent and separate physical device.Other systems undertake the eligibility check and identify claim processing using a single device.Typically, automated border control systems include other border control processing as required by a border control authority in addition to the eligibi

37、lity and identity claim processing.NOTE ABC systems are not intended to replace all manual/human border control policies and procedures. Current border control initiatives demonstrate a strong need to maintain human oversight and control over ABC systems.4.2 The biometric process at the borderThe au

38、tomated border control system verifies the travellers identity claim by capturing the biometric characteristic presented by the traveller (for example: face or fingerprint) and, using the biometric verification system component, comparing it with that encoded in the identity document.The system will

39、 then, based on results, accept the claim and allow the traveller to pass, or not accept the claim and refer them for processing by a border control officer.2 ISO/IEC 2015 All rights reservedISO/IEC TR 29195:2015(E)4.3 The processing stepsAutomated border control systems using biometrics typically i

40、nvolve the following process steps. An example of the processing steps is depicted in Figure 1. However this will depend on the individual business requirements. Not all the steps outlined below will apply and/or the order of these steps could be different. Each step may require an exception handlin

41、g procedure that is not described in this document.1. Detect traveller presence sensors recognise that a traveller is proximate to the biometric sensor(s) and initiate the traveller processing by activating instructions for the traveller.2. Detect Travel Document the traveller places a travel docume

42、nt with an embedded chip on a reader, which reads biographic data and the biometric data from the chip.3. Read Travel Document Data The security features of the document are checked for possible tampering (where applicable) and the biometric and biographic data are read from the chip.4. Present Ques

43、tions The traveller is asked to answer border control questions.5. Assess Eligibility The eligibility of the traveller to use automated process is assessed based on eligibility criteria.6. Store Travel Document Data Relevant data is read from the Travel Document and stored by the border control auth

44、ority.7. Issue token The traveller is issued a token with unique identifier for use at the subsequent automated border control system component.8. Initiate Biometric Verification Process The biometric verification process is started based on the detection of the physical presence of the traveller, t

45、he token or other system designed trigger.9. Retrieve Data Biometric data and other biographic read from the Traveller Document and stored is retrieved from the relevant data source.10. Acquire Traveller Biometric Sample the traveller is prompted, if necessary, to present the biometric characteristi

46、c of interest and a sample of it is acquired. The suitability of the sample for biometric verification is assessed and the traveller is prompted to re-present the biometric characteristic of interest if a new sample is required.11. Presentation attack detection test The process performs liveness det

47、ection of a biometric sample and anti-spoofing tests to the specification as defined in ISO/IEC 30107 multi-part standard.12. Biometric Verification The system compares the acquired biometric sample against the stored biometric reference obtained from the travel document to verify that the traveller

48、 is the same person to whom the document was issued.13. Clear Traveller The biographic and biometric data obtained from the travel document is used to assess other border control entry/exit requirements, which may include checking for a valid visa and possibly watchlist processing. Watchlist process

49、ing may include comparison of the acquired biometric sample against biometric references contained in the watchlist.This clearance processing may require retrieval of data from a central data repository or the transmission of data to a central repository. Note the exception handling for this stage can be complex.14. Allow Traveller to Proceed If all data is verified as valid and entry/exit is authorised, the traveller is allowed to p