1、American National StandardDeveloped byfor Information Technology Conformance TestingMethodology Standard forBiometric Data InterchangeFormat Standards Part 1: GeneralizedConformance Testing MethodologyANSI INCITS 423.1-2008 (R2013)ANSI INCITS 423.1-2008(R2013)ANSIINCITS 423.1-2008(R2013)American Nat
2、ional Standardfor Information Technology Conformance TestingMethodology Standard forBiometric Data InterchangeFormat Standards Part 1: Generalized ConformanceTesting MethodologySecretariatInformation Technology Industry CouncilApproved January 23, 2008American National Standards Institute, Inc.Appro
3、val of an American National Standard requires review by ANSI that therequirements for due process, consensus, and other criteria for approval havebeen met by the standards developer.Consensus is established when, in the judgement of the ANSI Board ofStandards Review, substantial agreement has been r
4、eached by directly andmaterially affected interests. Substantial agreement means much more thana simple majority, but not necessarily unanimity. Consensus requires that allviews and objections be considered, and that a concerted effort be madetowards their resolution.The use of American National Sta
5、ndards is completely voluntary; theirexistence does not in any respect preclude anyone, whether he has approvedthe standards or not, from manufacturing, marketing, purchasing, or usingproducts, processes, or procedures not conforming to the standards.The American National Standards Institute does no
6、t develop standards andwill in no circumstances give an interpretation of any American NationalStandard. Moreover, no person shall have the right or authority to issue aninterpretation of an American National Standard in the name of the AmericanNational Standards Institute. Requests for interpretati
7、ons should beaddressed to the secretariat or sponsor whose name appears on the titlepage of this standard.CAUTION NOTICE: This American National Standard may be revised orwithdrawn at any time. The procedures of the American National StandardsInstitute require that action be taken periodically to re
8、affirm, revise, orwithdraw this standard. Purchasers of American National Standards mayreceive current information on all standards by calling or writing the AmericanNational Standards Institute.American National StandardPublished byAmerican National Standards Institute, Inc.25 West 43rd Street, New
9、 York, NY 10036Copyright 2008 by Information Technology Industry Council (ITI)All rights reserved.No part of this publication may be reproduced in anyform, in an electronic retrieval system or otherwise,without prior written permission of ITI, 1250 Eye Street NW, Washington, DC 20005. Printed in the
10、 United States of AmericaCAUTION: The developers of this standard have requested that holders of patents that may berequired for the implementation of the standard disclose such patents to the publisher. However,neither the developers nor the publisher have undertaken a patent search in order to ide
11、ntifywhich, if any, patents may apply to this standard. As of the date of publication of this standardand following calls for the identification of patents that may be required for the implementation ofthe standard, no such claims have been made. No further patent search is conducted by the de-velop
12、er or publisher in respect to any standard it processes. No representation is made or impliedthat licenses are not required to avoid infringement in the use of this standard.iContentsPageForeword iiIntroduction vii0 Scope. 11 Conformance . 22 Normative References . 23 Terms and Definitions 34 Confor
13、mance Testing Levels . 44.1 General Considerations . 44.2 Conformance Testing Types 54.3 Conformance Testing Hierarchy 54.4 Conformance Testing Level. 64.4.1 Level 1 - Data Format Conformance 64.4.2 Level 2 - Internal Consistency Checking 74.4.3 Level 3 - Content Checking 74.5 Data Sets . 84.6 Test
14、Reports 95 Assertion Elements for Level 1 and 2 Testing . 105.1 Introduction 105.2 Assertion Element Descriptions. 115.2.1 Field Names. 115.2.2 Operators. 115.2.2.1 Equal (EQ) . 115.2.2.2 Not-Equal (NEQ) 115.2.2.3 Greater Than or Equal (GTE) 125.2.2.4 Less Than or Equal (LTE) 125.2.2.5 Greater Than
15、(GT) . 125.2.2.6 Less Than (LT). 125.2.2.7 Incremental (INC). 125.2.2.8 Calculation (C) . 125.2.3 Operands . 125.2.3.1 Field Name 125.2.3.2 Read 125.2.3.3 Bytes Read 135.2.3.4 Total Bytes Read . 135.2.3.5 Bytes Expected 135.2.3.6 Total Bytes Expected. 135.2.4 Other Assertion Elements 135.2.4.1 Condi
16、tional. 135.2.4.2 References. 13AnnexA Bibliography . 14iiForeword (This foreword is not part of American National Standard ANSI INCITS 423.1-2008 (R2013).)This multipart standard describes a common set of methodologies and procedures tobe followed for conducting conformance testing for a series of
17、INCITS biometric datainterchange format base standards. The first part, contained in this document, de-scribes the different types of conformance testing and provides guidelines on con-ducting the tests and reporting the results. It also provides a set of common elementsfor defining test assertions.
18、 Each of the subsequent parts contains specific instruc-tions relevant to a single data interchange format base standard, including the rele-vant tests and assertions defined using the common assertion elements from thispart.The INCITS 423 multipart standard currently comprises the following parts u
19、nder thegeneral title “Conformance Testing Methodology Standard for Biometric Data Inter-change Format Standards“:Part 1: Generalized Conformance Testing MethodologyPart 2: Conformance Testing Methodology for INCITS 378-2004, Finger Mi-nutiae Format for Data InterchangePart 3: Conformance Testing Me
20、thodology for INCITS 377-2004, Finger Pat-tern Data Interchange FormatPart 4: Conformance Testing Methodology for INCITS 381, Finger Image-Based Data Interchange FormatPart 5: Conformance Testing Methodology for INCITS 385, Face Recogni-tion Format for Data InterchangePart 6: Conformance Testing Met
21、hodology for INCITS 379, Iris Image Inter-change FormatRequests 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, 1250 Eye Street, NW, Suite 200, Washington,DC
22、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 thefollowing members:Karen Higginbottom, ChairJennifer
23、 Garner, SecretaryOrganization Represented Name of RepresentativeAdobe Systems, Inc Leslie BixelSteve Ziles (Alt.)AIM Global, Inc. Dan MullenCharles Biss (Alt.)Apple Computer, Inc. David MichaelElectronic Industries Alliance Edward Mikoski, Jr.David Thompson (Alt.)EMC Corporation Gary RobinsonFaranc
24、e, Inc Frank FaranceTimothy Schoechle (Alt.)GS1 US Frank SharkeyJames Chronowski (Alt.)Mary Wilson (Alt.)iiiOrganization Represented Name of RepresentativeHewlett-Packard Company .Karen HigginbottomSteve Mills (Alt.)Scott Jameson (Alt.)IBM Corporation Ronald F. SillettiRobert Weir (Alt.)Sandy Block
25、(Alt.)Richard Schwerdtfeger (Alt.)IEEE Judith GormanTerry DeCourcelle (Alt.)Bill Ash (Alt.)Jodi Haasz (Alt.)Bob Labelle (Alt.)Intel .Philip WennblomDave Thewlis (Alt.)Jesse Walker (Alt.)Grace Wei (Alt.)Lexmark InternationalDon WrightDwight Lewis (Alt.)Paul Menard (Alt.)Microsoft CorporationJim Hughe
26、sDon Stanwyck (Alt.)Isabelle Valet-Harper (Alt.)National Institute of Standards & Technology .Michael HoganElaine Barker (Alt.)Dan Benigni (Alt.)Fernando Podio (Alt.)Teresa Schwarzhoff (Alt.)Oracle CorporationDonald R. DeutschJim Melton (Alt.)Tony DiCenzo (Alt.)Peter Lord (Alt.)Toshihiro Suzuki (Alt
27、.)Sony Electronics, Inc.Ed BarrettJean Baronas (Alt.)US Department of Defense .Jerry SmithDennis Devera (Alt.)Dave Brown (Alt.)Leonard Levine (Alt.)US Department of Homeland Security Peter ShebellJohn Neumann (Alt.)Technical Committee M1, Biometrics, which reviewed this standard, had the follow-ing
28、members:Fernando Podio, ChairWayne Kyle, Vice-ChairOrganization Represented Name of Representative3M/AiT Yuan Jia Roger Larson (Alt.)A4 Vision Artem YukhinPavel Morozov (Alt.)ATMEL Jean-Francois MainguetDavid Richard (Alt.)Authenti-Corp . Valorie Valencia Aware, Inc. David Benini Rob Mungovan (Alt.)
29、BearingPoint. Rish PathakRon Sutton (Alt.)Biocom Wayne KyleThe Biometric Foundation Paul CollierFred Herr (Alt.)Bioscrypt, Inc Colin Soutar Omid Jahromi (Alt.)Booz Allen and Hamilton, Inc. Donald WaymireKeith Andreano (Alt.)Cogent Systems . Anne WangXian Tang (Alt.)Computer Sciences Corporation (CSC
30、) . Rick LazarickDaniel Munyan (Alt.)Cross Match Technologies, Inc. . Greg CannonDaon. Cathy TiltonMathew Swayze (Alt.)EDS Jeff StephensJeffery Poulson (Alt.)Fujitsu Laboratories Johnathan AgreGerald Byrnes (Alt.)Geometrix. Thomas MaurerDavid West (Alt.)International Biometric Group LLC . Michael Th
31、iemePhil Youn (Alt.)ID Technology Partners, Inc. Mark Jerde Richard Chang (Alt.)Identix Corporation . Kirsten Rudolph NobelPaul Griffin (Alt.)Erik Bowman (Alt.)L1 Identity Solutions . Tim BrownUdo Mahlmeister (Alt.)Mitretek Systems Donald DAmato Harold Korves (Alt.)Motorola, Inc. Artour Karaguiozian
32、Guy Cardwell (Alt.)NBSP Gerald O. WilliamsJohn Campbell (Alt.)NIST . Fernando Podio Michael Hogan (Alt.)Michael McCabe (Alt.)OSS Nokalva Alessandro TrigliaPaul Thorpe (Alt.)Precise Biometrics Ken GregoryKrister Walfridsson (Alt.)Purdue University . Stephen Elliott Matt Young (Alt.)Eric Kukula (Alt.)
33、Recognition Systems Samir TamerRick White (Alt.)vOrganization Represented Name of RepresentativeRetica Systems .David MullerYasonari Tosa (Alt.)Sagem Morpho, Inc.Creed Jones Underwriters Laboratories.Louis ChavezDave Mills (Alt.)United States Dept. of Defense - BMO/BFC .Ramy GuirguisGregory Zektser
34、(Alt.)Dale Hapeman (Alt.)United States Dept. of Homeland SecurityBradford WingJohn Neumann (Alt.)Steve Jonkers (Alt.)United States Dept. of StateBarry Kefauver John Akins (Alt.)UPEK Mike ChaudoinWest Virginia University LaRue Williams Arun Ross (Alt.)viTask Group M1.3 on Biometric Data Interchange F
35、ormats, which developed thisstandard, had the following members:Creed Jones, ChairJames Cambier Vice-ChairGreg Cannon, SecretaryOrganization Represented Name of Representative3M Co . Yuan JiaA4 Vision, Inc Pavel MorozovBruce Batemann (Alt.)Anametrics Paul SchueppAssoy Abbloy Michael DavisAware, Inc.
36、 David BeniniBAI Mike ChaudoinBearingPoint . Amarish PathakBioPassword. David FriantSeshadri Mani (Alt.)Bioscrypt, Inc. . Colin SoutarBooz Allen Hamilton . Chris CrooksCogent Systems, Inc. Anne WangXian Tang (Alt.)Cross Match Technologies, Inc. . Greg CannonCSC Rick LazarickDaon . Connor WhiteMatt S
37、wayze (Alt.)Fujitsu . John AgreGeometrix . Thomas MaurerID Tech Partners. Mark JerdeIdentix Corporation . Kirsten Rudolph NobelPaul Griffin (Alt.)L1 Kirsten NobleMitretek Systems Donald DAmatoMotorola Artour KaraguiozianNBSP John CampbellNIST Michael McCabeMichael Hogan (Alt.)OSS Nokalva Alessandro
38、TrigliaPurdue Shimon ModiStephen Elliot (Alt.)Recognition Systems, Inc. Samir TamerRetica Systems. David MullerNick Accomando (Alt.)Transaction Security, Inc. . Rod BeatsonUnited States Army - BTF. Robert YenGregory Zekster (Alt.)United States Dept. of Homeland Security . John Mayer-SplainViola Lee
39、(Alt.)United States Dept. of State . Barry KefauverUPEK John HochsteinviiIntroductionRecently, INCITS M1 has developed a number of biometric data interchange formatstandards for different biometric modalities or technologies. Other standards for addi-tional modalities or technologies are expected to
40、 be developed in the future. End us-ers of biometric systems desire to use these standards to ensure that components ofthe biometric system can be substituted with other components from different ven-dors with a minimum of effort, and also to ensure that biometric data produced byone system can be u
41、sed by another system. In order to achieve this, it is critical thatsystems claiming conformance to the system actually are conformant, and thus thereis a need for conformance testing methodology standards for each of the biometricdata interchange formats, in order to provide a reasonable degree of
42、assurance thata conformance claim has validity. In fact, no test can be absolutely comprehensiveand prove that a given system is conformant under all possible circumstances, espe-cially when there are optional components of the standard. A well-designed confor-mance test can, however, test all of th
43、e most likely sources of problems and ensurethat the system under test conforms under a reasonable set of circumstances, givingassurance, but not a guarantee, of conformance.There are many different types of conformance testing that may be appropriate forthe various biometric data interchange format
44、 standards. Some of these tests arehighly specific to each data interchange format but some of them have many com-mon elements across all of the formats. Therefore, it appears that a multi-part confor-mance testing standard will be useful. The first part, contained in this document,describes the dif
45、ferent types of conformance testing. It then goes on to provide de-tails of the common elements for defining test assertions for Level 1 and Level 2 test-ing, as they are defined in clause 4 of this standard, which have many similaritiesamong all of the biometric data interchange format standards. F
46、inally, it providesguidelines for conducting the tests and reporting the results of the tests. The specifictests and assertions for each biometric data interchange format are left to the subse-quent parts, one for each biometric data interchange format base standard.This standard is one of a family
47、of American National Standards being developed byINCITS that support interoperability and data interchange among biometrics applica-tions and systems. This family of standards specifies requirements that solve thecomplexities of applying biometrics to a wide variety of personal recognition applica-t
48、ions, whether such applications operate in an open systems environment or consistof a single, closed system. Open systems are built on standards-based publicly de-fined data formats, interfaces, and protocols to facilitate data interchange and in-teroperability with other systems, which may include
49、components of different designor manufacture. A closed system may also be built on publicly defined standards,and may include components of different design or manufacture, but inherently hasno requirement for data interchange and interoperability with any other system.Biometric data interchange format standards and biometric interface standards areboth necessary to achieve full data interchange and interoperability for biometric rec-ognition in an open systems environment. The INCITS biometric standards family in-cludes a layered set of standards consisting of biometric data inter
