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ITL Bulletin for September 2005

ITL Bulletin for September 2005
ITL Bulletin for September 2005



Forwarded from: Elizabeth Lennon  

ITL BULLETIN FOR SEPTEMBER 2005

BIOMETRIC TECHNOLOGIES:  HELPING TO PROTECT INFORMATION AND 
AUTOMATED TRANSACTIONS IN INFORMATION TECHNOLOGY SYSTEMS

Shirley Radack, Editor
Computer Security Division
Information Technology Laboratory
National Institute of Standards and Technology
Technology Administration
U.S. Department of Commerce

Biometric technologies are crucial components of secure personal
identification and verification systems, which control access to
valuable information, to economic assets, and to parts of our national
infrastructure.  Biometric-based identification and verification
systems support our information-based economy by enabling secure
financial transactions and online sales, and by facilitating many law
enforcement, health, and social service activities. Since September
11, 2001, our national requirements to strengthen homeland security
have intensified, stimulating government and industry interest in
applying biometric technologies to the automated verification of the
identity of individuals.

What Are Biometrics

Biometric technologies are automated methods for identifying a person
or verifying a person's identity based on the person's physiological
or behavioral characteristics.  Physiological characteristics include
fingerprints, hand geometry, and facial, voice, iris, and retinal
features; behavioral characteristics include the dynamics of
signatures and keystrokes. Biometric technologies capture and process
a person's unique characteristics, and then authenticate that person's
identity based on comparison of the record of captured characteristics
with a biometric sample presented by the person to be authenticated.
After many years of research and development, biometric technologies
have become reliable and cost-effective, and acceptable to users. New
applications of biometrics are being successfully implemented in more
secure travel documents, visas, and personal identity verification
cards. These applications help to safeguard valuable assets and
information, strengthen homeland security, and contribute to the
safety and security of automated transactions.

Interest in Applications of Biometric Technology

Both public and private sectors are looking for reliable, accurate,
and practical methods for the automated authentication of identity,
and are using biometric technologies in a wide variety of
applications, including health and social service programs, passport
programs, driver licenses, electronic banking, investing, retail
sales, and law enforcement.

Authentication systems are usually characterized by three 
factors:

* Something that you know, such as a password,
* Something that you have, such as an ID badge, and/or
* Something that you are, such as your fingerprints or your face.

Systems that incorporate all three factors are stronger than those
that use only one or two factors. Authentication using biometric
factors can help to reduce identity theft and the need to remember
passwords or to carry documents, which can be counterfeited. When
biometric factors are used with one or two other factors, it is
possible to achieve new and highly secure identity applications. For
example, a biometric factor can be stored on a physical device, such
as a smart card that is used to verify the identification of an
individual. Today, the identification cards that are issued to
employees for access to buildings and to information, and the cards
that are used for financial transactions, often include biometric
information.

Biometric factors can also be used with encryption keys and digital
signatures to enhance secure authentication. For example, biometric
information could use public key infrastructure (PKI) systems that
incorporate encryption (such as Federal Information Processing
Standard [FIPS] 197, Advanced Encryption Standard). Encrypting the
biometric information helps to make the system more tamper resistant.

NIST Role in Biometrics

The Information Technology Laboratory (ITL) of the National Institute
of Standards and Technology (NIST) has been a major contributor to the
development of measurements, standards, and tests for biometrics for
many years. Areas of investigation include fingerprints, face
recognition, iris recognition, and speech recognition. NIST supports
the development of voluntary industry standards and the development of
conformance tests, reference implementations, and evaluation
procedures to facilitate the implementation of standards in biometric
products.  Recent legislation directed NIST to work with other federal
agencies to develop standards needed for the biometric authentication
of applicants for U.S. visas. In advancing the development of
measurements and standards for biometrics, NIST works in close
cooperation with industry, national and international standards
groups, and federal, state, and local government organizations.

This bulletin summarizes some of NIST's activities to support
biometric standards and measurements, and updates the ITL Bulletin
issued in May 2001 detailing NIST's biometric technology and standards
activities: Biometrics - Technologies for Highly Secure Personal
Authentication, by Fernando L. Podio. Information about NIST,
industry, and standards activities, as well as listings of
publications and references, is available on the Biometrics Resource
Center website:

http://www.nist.gov/biometrics 

Under the Federal Information Security Management Act of 2002 (FISMA),
NIST develops standards and guidelines to protect the security and
privacy of sensitive unclassified information processed in federal
computers. NIST supports the development of voluntary industry
standards, both nationally and internationally, as the preferred
source of standards to be used by the federal government, enabling it
to rely upon the private sector to supply it with goods and services
(National Technology Transfer and Advancement Act of 1995 [Public Law
104-113]). NIST's Information Technology Laboratory (ITL) has been
accredited as a standards developer by the American National Standards
Institute (ANSI).

Information about ITL's information security activities is available
from the Computer Security Resource Center at:

http://csrc.nist.gov/ 

New Requirements for Homeland Security

The need for tests, measurements, reference data, and other technical
tools to support the development of biometric technologies became more
critical with threats to U.S.  homeland security. The USA PATRIOT Act
(Public Law 107-56)  provides that other federal organizations work
with NIST to "develop and certify a technology standard that can be
used to verify the identity of persons applying for a United States
visa . . ." The Enhanced Border Security Act (Public Law 107-71)
spells out requirements for reviews of the effectiveness of biometric
technology currently in use, and supports the development of new
biometric technology for identification verification. Public Law
107-173, the Enhanced Border Security and Visa Entry Reform Act of
2002, established requirements for the development of a technology
standard based on biometrics to verify the identity of persons
applying for visas to the United States. Homeland Security
Presidential Directive (HSPD) 12, issued in August 2004, called for
the development of a mandatory, governmentwide standard for secure and
reliable forms of identification for government employees and
contractors.

NIST Studies and Investigations

NIST scientists and engineers have a great deal of experience in using
computers to match images automatically. There have been long-standing
efforts to assist the law enforcement community in developing and
improving automated methods for fingerprint matching, in evaluating
facial recognition systems, and in acquiring information systems that
support the Department of Justice's Automated Fingerprint
Identification System (AFIS). Much work has been done to develop test
data for use in evaluating automated optical character recognition
(OCR), fingerprint classification and matching, and face recognition
systems. The test data help both users and implementers of recognition
systems in evaluating the effectiveness of these systems. A listing of
publications and test data collections related to NIST's past and
ongoing investigations and studies on the automated recognition of
fingerprints, faces, and handwritten characters is available at:

http://www.itl.nist.gov/iaui/894.03/pubs.html#fing 

In response to the USA PATRIOT Act and the Enhanced Border Security
Act, NIST studied biometric technologies to evaluate their potential
for enhancing border security.  These evaluations examined
applications that would positively identify visa applicants and verify
that the holder of a visa is the person to whom the visa was issued.  
Fingerprint performance was measured on an Immigration and
Naturalization Service (INS) database of 1.2 million prints of 620,000
individuals. Face Recognition Vendor Tests (FRVT) carried out in 2002
measured face recognition performance of ten vendors on a Department
of State database of 121,000 images of 37,000 individuals. Based on
the evaluations, as well as practical considerations about the amount
of data that can be stored on a smart card, NIST recommended that at
least two fingerprints be used to positively identify visa applicants
and that a dual system of face and fingerprint recognition be used to
verify the identities of visa holders at points of entry into the
United States. The FRVT 2002 was supported by the Defense Advanced
Research Projects Agency (DARPA), the Departments of Defense, Justice
and State, and other federal agencies.

A Fingerprint Vendor Technology Evaluation (FpVTE)  conducted in 2003
evaluated the accuracy of fingerprint matching, identification, and
verification systems. This evaluation was conducted by NIST on behalf
of the Justice Management Division (JMD) of the U.S. Department of
Justice to assess the capability of fingerprint systems in meeting the
requirements for law enforcement matching systems, visitor and
immigrant status programs, and implementer software development
efforts. Multiple tests were performed with combinations of
fingerprint data, such as single fingers, two index fingers, four to
ten fingers, and with different types and qualities of operational
fingerprints, such as flat live-scan images from visa applicants,
multi-finger slap live-scan images from booking or background check
systems, or rolled and flat inked fingerprints from law enforcement
databases.

The most accurate systems were found to have consistently low error
rates across a variety of data sets. System accuracy was improved when
four or more fingerprint images were used. The tests also showed that
the most accurate fingerprint systems are more accurate than the most
accurate facial recognition systems. Results are expected to form the
basis for the design and acquisition of large-scale fingerprint
identification systems, such as for entry and exit systems to the
United States.

More information about the evaluations is available at:

http://www.frvt.org 

Biometric technologies are essential to the implementation of Federal
Information Processing Standard (FIPS) 201, Personal Identity
Verification (PIV) of Federal Employees and Contractors, which was
developed in accordance with the requirements of HSPD 12 and approved
in February 2005 by the Secretary of Commerce. FIPS 201 specifies the
technical and operational requirements for interoperable PIV systems
that supply PIV cards as identification credentials and that use the
cards to authenticate an individual=92s identity. Draft NIST Special
Publication (SP) 800-76, Biometric Data Specification for Personal
Identity Verification, by Charles Wilson, Patrick Grother, and
Ramaswamy Chandramouli, was developed to provide the technical
specifications for the biometric data specified in FIPS 201. The
publication details the technical requirements for capturing and
formatting fingerprint and facial image information to be included on
PIV cards. The technical requirements are based on voluntary industry
standards, providing guidance for implementers when there are options
in the standards that would interfere with interoperability if the
options were to be implemented in different ways.

Information about FIPS 201 and the PIV program at NIST is 
available at:

http://csrc.nist.gov/piv-program/index.html 

Biometric Consortium

The U.S. Biometric Consortium (BC), which has been meeting since 1995,
includes more than 900 representatives from federal, state, and local
governments, academia, and industry, who work together to coordinate
and advance the development of biometric technologies. Over half of
the participants in the consortium are from industry, and more than 60
federal agencies, including the executive departments and the military
services, participate. The BC sponsors technology workshops, standards
activities, and user activities to address research and technology
evaluation efforts. The BC's annual conference, which is open to
members and the general public, is now the largest biometric
conference in the world.

NIST and the National Security Agency (NSA) co-chair the Biometric
Consortium.  Information about BC activities is available on the
website:

http://www.itl.nist.gov/div893/biometrics/consortium.html 

Common Biometric Exchange Formats Framework (CBEFF)

In 1999, the Biometric Consortium initiated the development of a
common data format to facilitate the exchange and interoperability of
biometric data. Industry and government representatives identified the
need for a technology-blind biometric format that would facilitate the
handling of different biometric types, versions, and biometric data
structures in a common way. This common format would facilitate the
exchange and interoperability of biometric data for all aspects of
biometrics, independent of the particular vendor that generates the
biometric data. The initial conceptual definition was achieved through
a series of workshops co-sponsored by NIST and the Biometric
Consortium. A technical development team led by NIST and NSA developed
the Common Biometric Exchange File Format. It was published by NIST as
NISTIR 6529, Common Biometrics Exchange File Format (CBEFF), in
January 2001. An augmented and revised version of the CBEFF was issued
as NISTIR 6529A, Common Biometric Exchange Formats Framework, in April
2004.

The CBEFF describes a set of data elements necessary to support
biometric technologies in a common way independently of the
application and the domain of use, such as mobile devices, smart
cards, protection of digital data, and biometric data storage. CBEFF
facilitates biometric data interchange between different system
components or between systems. It promotes interoperability of
biometric-based application programs and systems, provides forward
compatibility for technology improvements, and simplifies the software
and hardware integration process. The CBEFF was augmented by the
NIST/BC Biometric Interoperability, Performance and Assurance Working
Group to incorporate a compliant smart card format, product
identification (ID), and a CBEFF nested structure definition. The
augmented CBEFF was submitted to the INCITS M1 committee for
processing as a national standard and has been published as American
National Standard INCITS 398-2005. The international version of CBEFF
is in the last stages of development and is expected to become an ISO
standard at the end of 2005.

NISTIR 6529A is available at:

http://www.itl.nist.gov/div893/biometrics/documents/NISTIR6529A.pdf 

Other Organizations Supporting Biometric Technology

The National Biometric Security Project (NBSP) is an independent
not-for-profit corporation, which supports non-defense government and
private sector efforts to protect the security of the civil
infrastructure from terrorist threats through the application of
proven biometric technologies. More information is available at:

http://www.nationalbiometric.org/nbsp.html 

The Department of Defense (DoD) Biometrics Management Office (BMO) is
responsible for leading, consolidating, and coordinating the
development, adoption, and use of biometric technologies for the
Department of Defense to support the warfighter and enhance Joint
Service interoperability. More information is available at:

http://www.biometrics.dod.mil/ 

The BioAPI Consortium was founded to develop a biometric Application
Programming Interface (API) to allow for platform and device
independence to application programmers and biometric service
providers. The BioAPI Consortium is a group of over 120 companies and
organizations that have a common interest in promoting the growth of
the biometrics market. The BioAPI Consortium developed a specification
and reference implementation for a standardized API that is compatible
with a wide range of biometric application programs and a broad
spectrum of biometric technologies.  More information is available at:

http://www.bioapi.org/ 

The Biometric Interoperability, Performance and Assurance Working
Group was established by NIST and the Biometric Consortium to broaden
the utilization and acceptance of biometric technologies and to
facilitate and encourage further exchange of information and
collaborative efforts for biometrics between users and private
industry.  The Working Group (WG) supports the advancement of
technically efficient and compatible biometrics technology solutions
on a national and international basis. The WG addresses issues and
efforts other than those efforts already under way in national or
international organizations, such as formal standards bodies,
industrial consortiums, and cooperative testing activities. In
addition to developing the Common Biometric Exchange Formats Framework
(the augmented and revised version of CBEFF), the WG developed a
specification defining methods for biometric template protection and a
biometric Application Programming Interface for Java Card.

Support for Voluntary Standards Development

NIST has contributed to the development of national and international
standards for biometrics. These standards are considered to be
critical for U.S. needs for homeland security, the prevention of
identity theft, and for other government and commercial applications
based on biometric personal authentication. These standards are
essential for achieving the connectivity and interoperability of
different systems and for assuring security. As an accredited
standards developer, NIST/ITL has sponsored the development of
voluntary industry standards for the interchange of fingerprints,
facial data, and scar, mark and tattoo (SMT) data.

For the past seven years and particularly since September 11, 2001,
NIST has intensified its work in support of the development of
biometric standards by working with consortia and other industry
groups. NIST strongly backs national and international standards
organizations as the best environments for the development of
voluntary consensus standards for biometric technology and the
deployment of standards-based solutions. Priorities for homeland
security have been driving efforts to develop high performance
interoperability standards for biometrics.  Interest in standards for
smart cards has also intensified.

The chief U.S. venues for these standardization efforts are the
InterNational Committee for Information Technology Standards (INCITS)
Technical Committees M1, for biometrics, and B10, for smart cards. In
addition to developing national standards, the M1 and B10 committees
act as the U.S. technical advisory groups (TAGs) to subcommittees in
International Standards Organization/ International Electrotechnical
Commission (ISO/IEC) Joint Technical Committee 1 (JTC 1). INCITS M1 is
the TAG to ISO/IEC JTC 1 Subcommittee 37 - Biometrics. INCITS B10 is
the TAG to ISO/IEC JTC 1 SC 17 - Cards & Personal Identification.

NIST contributes to the work of INCITS M1 and to JTC 1 SC 37 by
providing leadership, including committee officers, technical editors,
and other technical expertise.  The committees' work includes the
development of standards and specifications for biometric data formats
for finger, facial, iris, and signature recognition; the development
of application profiles for transportation workers, border crossing,
and point-of-sale; and biometric performance evaluation and reporting
methods. Since its first meeting in January 2002, the INCITS M1
committee has developed many needed biometric data interchange and
interoperability standards, which have been approved as American
National Standards Institute (ANSI) standards: seven biometric data
interchange standards and two biometric application profiles. Two
biometric interface standards (the BioAPI specification and the Common
Biometric Exchange Framework Format) were also approved by INCITS. In
2005 ISO approved and published four biometric data interchange
standards that had been developed by JTC 1 SC 37. In the United
States, large government organizations are adopting many of the INCITS
biometric standards that have been approved as American National
Standards. Large international organizations are adopting the
international standards emerging from JTC 1 SC 37. Other standards
that will contribute to the successful deployment of secure,
interoperable, reliable, secure, and cost-effective information
systems are currently under development in these national and
international standards groups.

Voluntary industry standards to which NIST has made significant
contributions include:

* X9.84-2000, Biometrics Management and Security for the Financial
Services Industry. This standard specifies the minimum security
requirements for effective management of biometrics data for the
financial services industry and security for the collection,
distribution, and processing of biometrics data.

* ANSI/NIST-ITL 1-2000, Data Format for the Interchange of
Fingerprint, Facial, and Scar, Mark and Tattoo (SMT)  Information.
This standard revises and consolidates earlier standards developed by
NIST to specify a common format for exchanging biometric data across
jurisdictional lines or between dissimilar systems made by different
manufacturers.  Originally published as NIST Special Publication
500-245, the specifications were advanced to status of national
standards in accordance with ANSI procedures for the development of
standards using the canvass method.

Conformance Testing in Support of Users and Product Developers

Standards-based, high-quality conformance testing helps both
developers and users by validating conformance claims, leading to
greatly increased levels of confidence in products. Testing can also
help to ensure interoperability between standards-based products and
systems. NIST and the Department of Defense (DoD) Biometrics
Management Office (BMO) have been working in close collaboration in
the development of biometric standards and supporting testing tools.
For more than a year, NIST and the BMO have been independently
developing implementations of BioAPI test tools. These test tools will
support users within DoD and other government agencies already
requiring, or intending to require in the near future, that Biometric
Service Providers (BSPs) conform to the BioAPI standard. The test
tools will enable the future establishment of conformity assessment
programs to validate conformance to the BioAPI standard and other
emerging standards, and will help product developers interested in
developing products conforming to voluntary consensus biometric
standards to use the same test tools available to users.

NIST and the BMO are conducting intensive testing of the initial
versions of the test tools to cross-validate the test results using a
number of vendor BSPs that claim their products conform to the BioAPI
standard. The initial test tool implementations were developed using
concepts and principles specified in a draft conformance testing
methodology standard that is currently under development in INCITS M1
committee. This documentary standard project was sponsored by NIST,
the DoD BMO, the National Biometric Security Project (NBSP), Saflink
Corp., and The Biometric Foundation (TBF).  The NIST test tool
implementation development was co-sponsored by the National Biometric
Security Project. The principal developer is Saflink Corp.

Conclusion

After many years of involvement in biometric activities, NIST
continues to investigate promising technologies and to advance the
development of industry standards for biometrics. Although they are
quite promising, biometric technologies are not the sole solution for
controlling access to information or for verifying the identity of an
individual. All biometric data must be protected appropriately, and
biometric controls must be selected and used within an integrated
security program that assesses risks to information and information
systems, determines security requirements, and selects cost-effective
management, operational, and technical controls.

Disclaimer

Any mention of commercial products or reference to commercial
organizations is for information only; it does not imply
recommendation or endorsement by NIST nor does it imply that the
products mentioned are necessarily the best available for the purpose.


Elizabeth B. Lennon
Writer/Editor
Information Technology Laboratory
National Institute of Standards and Technology
100 Bureau Drive, Stop 8900
Gaithersburg, MD 20899-8900
Telephone (301) 975-2832
Fax (301) 975-2378



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