1、 Collection of SANS standards in electronic format (PDF) 1. Copyright This standard is available to staff members of companies that have subscribed to the complete collection of SANS standards in accordance with a formal copyright agreement. This document may reside on a CENTRAL FILE SERVER or INTRA
2、NET SYSTEM only. Unless specific permission has been granted, this document MAY NOT be sent or given to staff members from other companies or organizations. Doing so would constitute a VIOLATION of SABS copyright rules. 2. Indemnity The South African Bureau of Standards accepts no liability for any
3、damage whatsoever than may result from the use of this material or the information contain therein, irrespective of the cause and quantum thereof. ISBN 978-0-626-22557-5 SANS 19795-3:2009Edition 1 ISO/IEC 19795-3:2007Edition 1 SOUTH AFRICAN NATIONAL STANDARD Information technology Biometric performa
4、nce testing and reporting Part 3: Modality-specific testing This national standard is the identical implementation of ISO/IEC 19795-3:2007, and is adopted with the permission of the International Electrotechnical Commission. Published by SABS Standards Division 1 Dr Lategan Road Groenkloof Private B
5、ag X191 Pretoria 0001Tel: +27 12 428 7911 Fax: +27 12 344 1568 www.sabs.co.za SABS SANS 19795-3:2009 Edition 1 ISO/IEC 19795-3:2007 Edition 1 Table of changes Change No. Date Scope National foreword This South African standard was approved by National Committee SABS TC 71J, Information technology -
6、Cards and personal identification, in accordance with procedures of the SABS Standards Division, in compliance with annex 3 of the WTO/TBT agreement. This SANS document was published in April 2009. Reference numberISO/IEC TR 19795-3:2007(E)ISO/IEC 2007TECHNICAL REPORT ISO/IECTR19795-3First edition20
7、07-12-15Information technology Biometric performance testing and reporting Part 3: Modality-specific testing Technologies de linformation Essais et rapports de performances biomtriques Partie 3: Essais de modalit spcifique SANS 19795-3:2009This s tandard may only be used and printed by approved subs
8、cription and freemailing clients of the SABS .ISO/IEC TR 19795-3:2007(E) PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobes licensing policy, this file may be printed or viewed but shall not be edited unless the typefaces which are embedded are licensed to and ins
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12、crofilm, without permission in writing from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ii ISO
13、/IEC 2007 All rights reservedSANS 19795-3:2009This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO/IEC TR 19795-3:2007(E) ISO/IEC 2007 All rights reserved iiiContents Page Foreword iv Introduction v 1 Scope . 1 2 Normative references . 1 3 Ter
14、ms and definitions. 1 4 Symbols and abbreviated terms . 2 5 Modality-specific test design. 2 5.1 Development flow . 2 5.2 Modality-specific factors that may impact performance (Step 1) 3 5.3 Modality-specific policies pertaining to Test Subjects (Step 2) 3 5.4 Modality-specific policies pertaining t
15、o data collection (Step 3). 5 5.5 Modality-specific policies in impostor transactions (Step 4). 7 5.6 Modality-specific reporting policies (Step 5) . 9 6 Evaluation of modality-specific influential factors 10 6.1 Robustness tests 10 6.2 Base example: face. 11 6.3 Other examples: fingerprint, iris, v
16、ein, and voice . 13 7 Test design principles on “new” modalities 18 Bibliography . 19 SANS 19795-3:2009This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO/IEC TR 19795-3:2007(E) iv ISO/IEC 2007 All rights reservedForeword ISO (the Internation
17、al Organization for Standardization) and IEC (the International Electrotechnical Commission) form 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
18、 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, governmental and non-governmental, in liaison with ISO and IEC, also take part in the work. In the field of
19、 information technology, ISO and IEC have established a joint technical committee, ISO/IEC JTC 1. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. The main task of the joint technical committee is to prepare International Standards. Draft Inte
20、rnational Standards adopted by the joint technical committee are circulated to national bodies for voting. Publication as an International Standard requires approval by at least 75 % of the national bodies casting a vote. In exceptional circumstances, the joint technical committee may propose the pu
21、blication of a Technical Report of one of the following types: type 1, when the required support cannot be obtained for the publication of an International Standard, despite repeated efforts; type 2, when the subject is still under technical development or where for any other reason there is the fut
22、ure but not immediate possibility of an agreement on an International Standard; type 3, when the joint technical committee has collected data of a different kind from that which is normally published as an International Standard (“state of the art”, for example). Technical Reports of types 1 and 2 a
23、re subject to review within three years of publication, to decide whether they can be transformed into International Standards. Technical Reports of type 3 do not necessarily have to be reviewed until the data they provide are considered to be no longer valid or useful. Attention is drawn to the pos
24、sibility 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. ISO/IEC TR 19795-3, which is a Technical Report of type 1/2/3, was prepared by Joint Technical Committee ISO/IEC JTC 1, In
25、formation technology, Subcommittee SC 37, Biometrics. ISO/IEC TR 19795 consists of the following parts, under the general title Information technology Biometric performance testing and reporting: Part 1: Principles and framework Part 2: Testing methodologies for technology and scenario evaluation Pa
26、rt 3: Modality-specific testing Technical Report Performance and interoperability testing of data interchange formats will form the subject of a future Part 4. SANS 19795-3:2009This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO/IEC TR 19795-
27、3:2007(E) ISO/IEC 2007 All rights reserved vIntroduction In biometric performance testing and reporting, careful consideration should be given to the characteristic differences of each modality (fingerprint, face, iris, etc.). These differences naturally require variations within the general methodo
28、logy defined in ISO/IEC 19795-1. Since there are many modality-dependent variations, it is desirable that each modality be specified with specific testing and reporting methods. This ensures that not only specialists of biometrics but also non-specialists can carry out reasonably accurate testing. T
29、he characteristics that affect evaluation methodology can at least be discussed from the following viewpoints: characteristics of users, including the definition of impostors; restrictions that come from practical situations in which that biometric modality is used in applications. Characteristics o
30、f impostors: There are two factors to consider regarding the definition of impostors: (1) multiple biometric data from one person, and (2) impostor attempts for behaviour-based modalities, such as voice or signature. For modalities in which multiple biometric data can be collected from one person, e
31、.g. finger (ten fingerprints from one person) and iris (two iris-images from one person), a rule for permitting or prohibiting use of these data as impostor attempts needs to be clearly defined. In the case of behaviour-based modalities, testing results regarding impostor attempts false match rate (
32、FMR) or false acceptance rate (FAR) can be influenced depending on whether (or how much) an impostor tries to imitate an authorized users behaviour or not. For instance, the case in which an impostor physically traces an authorized users signature that the impostor obtained differs significantly in
33、FMR or FAR from the case where the impostor only looks at the signature and imitates it. For these modalities, a criterion regarding impostor attempts needs to be defined. Characteristics of modality specific to applications In general, almost all modalities of biometrics are used for user authentic
34、ation. However, some modalities are expected to be used in different classes of applications; for example, face-based identification is widely used in surveillance applications. While we can expect a users cooperation in the former, we cannot expect it in the latter case. Thus variation of testing m
35、ethodologies needs to be considered depending on the way the modality is used in real applications. These restrictions can be divided into two classifications: factors relating to users, such as facial expressions that affect the countenance of the face, wearing eye-glasses or contact lenses for the
36、 iris; factors relating to external environments that are uncontrollable by the algorithm or system, such as illumination change for face or background noise for voice. These factors naturally affect the performance, and the types and number of factors are different in each modality. These modality-
37、dependent variations need to be considered in testing and reporting. In addition, a concept of robustness testing needs to be introduced to evaluate the sensitivity or robustness of the technology toward environmental factors, in case the variation of the factors strongly influences the observed per
38、formance. SANS 19795-3:2009This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO/IEC TR 19795-3:2007(E) vi ISO/IEC 2007 All rights reservedThis part of ISO/IEC 19795 is intended to describe the variations in methodologies relating to these moda
39、lity-dependent characteristics. It presents and defines methods for determining, given a specific biometric modality, how to develop a technical performance test. This part of ISO/IEC 19795 has been developed based on six technical reports 1-6, which are the outputs of standardization activities in
40、Japan for biometric testing and reporting, and have been published by the Japanese Standards Association as JIS-TRs (Japanese Industrial Standards Technical Reports). They have been prepared through discussions by experts of respective modalities, and have extensive considerations particular to diff
41、erent procedures specific to each modality. They are intended to define detailed procedures for testing, including specifications of a test database and how to collect data. These documents can be used as reference when designing specific evaluation procedures. SANS 19795-3:2009This s tandard may on
42、ly be used and printed by approved subscription and freemailing clients of the SABS .TECHNICAL REPORT ISO/IEC TR 19795-3:2007(E) ISO/IEC 2007 All rights reserved 1Information technology Biometric performance testing and reporting Part 3: Modality-specific testing 1 Scope In biometric performance tes
43、ting and reporting, careful consideration needs to be given to the characteristic differences of each modality (fingerprint, face, iris, etc.). These differences naturally require variations within the general methodology defined in ISO/IEC 19795-1. This part of ISO/IEC 19795 describes the methodolo
44、gies relating to these modality-dependent variations. It presents and defines methods for determining, given a specific biometric modality, how to develop a technical performance test. 2 Normative references The following referenced documents are indispensable for the application of this document. F
45、or dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ISO/IEC 19795-1:2006, Information technology Biometric performance testing and reporting Part 1: Principles and framework 3 Terms and definit
46、ions For the purposes of this document, the terms and definitions given in ISO/IEC 19795-1:2006 and the following apply. 3.1 influencing factors factors that have influence on performance 3.2 robustness test test to evaluate how much a certain influential factor affects biometric performance 3.3 act
47、ive forgery attempt impostor attempt in which an individual tries to match the stored template of a different individual by presenting a simulated or reproduced biometric sample, or by intentionally modifying his/her own biometric characteristics 3.4 forgery type type of method of impostor forgery a
48、ttempts SANS 19795-3:2009This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO/IEC TR 19795-3:2007(E) 2 ISO/IEC 2007 All rights reserved3.5 forgery level difficulty level of impostor forgery attempts 4 Symbols and abbreviated terms ROC receiver
49、 operating characteristic CMR cumulative matching rate CMC cumulative match characteristic FNMR false non-match rate FMR false match rate 5 Modality-specific test design 5.1 Development flow When designing performance evaluation tests, the following test planning sequence should be used to ensure that the primary modality-dependent factors are accounted for (see Figure 1): Step 1: Identify and analyze “influencing factors“ that may impact performance Step 2: Consider and establish policy on test s
