ANSI INCITS ISO IEC 29197-2015 Information technology - Evaluation methodology for environmental influence in biometric system performance.pdf

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1、 INCITS/ISO/IEC 29197:2015 (2016) (ISO/IEC 29197:2015, IDT) Information technology - Evaluation methodology for environmental influence in biometric system performance INCITS/ISO/IEC 29197:2015 (2016) PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobes licensing po

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4、 to ensure that the 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. Adopted by INCITS (InterNational Committee for Information Technology Standards) as an American National

5、Standard. Date of ANSI Approval: 11/11/2016 Published by American National Standards Institute, 25 West 43rd Street, New York, New York 10036 Copyright 2016 by Information Technology Industry Council (ITI). All rights reserved. These materials are subject to copyright claims of International Standar

6、dization Organization (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

7、the prior written 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 2016 All rights reserved Information technology Evaluation methodology for environmental influen

8、ce in biometric system performanceTechnologies de linformation Mthodologie de lvaluation de linfluence environnementale dans la performance dun systme biomtriqueINTERNATIONAL STANDARDISO/IEC29197Reference numberISO/IEC 29197:2015(E)First edition2015-04-01 ISO/IEC 2015ii ISO/IEC 2015 All rights reser

9、vedCOPYRIGHT PROTECTED DOCUMENT ISO/IEC 2015All rights reserved. Unless otherwise specified, no 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 wri

10、tten permission. Permission can be requested from either ISO at the address below or ISOs member 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

11、29197:2015(E)ISO/IEC 29197:2015(E)Foreword vIntroduction vi1 Scope . 12 Conformance . 13 Normative references 14 Terms and definitions . 25 Overview . 35.1 Introduction 35.2 Scenario evaluations 45.3 Operational evaluations 46 Evaluation conditions specification . 56.1 Introduction 56.2 Definition o

12、f evaluation conditions . 56.2.1 Description of the evaluation conditions 56.2.2 Types of environmental parameters 56.3 Selection of the evaluation conditions 66.3.1 General 66.3.2 Reference evaluation environment for scenario evaluations 66.3.3 Target evaluation environments 66.4 Measurement and re

13、cording of the environmental conditions 86.4.1 General 86.4.2 Instruments to measure and record environmental conditions 86.4.3 Requirements for measuring and recording environmental conditions . 87 Biometric scenario evaluation . 97.1 Introduction 97.2 Define evaluation objectives . 97.3 Environmen

14、t . 97.3.1 Environment for enrolment . 97.3.2 Generation and control of the environmental conditions 97.3.3 Biometric system placement 107.4 Test population 107.4.1 General. 107.4.2 Size 107.4.3 Selection . 117.4.4 Training and guidance of test subjects 117.4.5 Visits 127.5 Acclimatization 127.6 Lev

15、els of effort and decision policies 127.7 Exception handling protocols 127.8 Data to record and test results . 137.8.1 General. 137.8.2 Requirements for recording data . 137.8.3 Requirements for calculating results 137.8.4 Requirements for reporting results 147.9 Execution sequence . 157.9.1 General

16、. 157.9.2 Pre-test activities 157.9.3 Test activities . 157.9.4 Post-test activities16 ISO/IEC 2015 All rights reserved iiiContents PageISO/IEC 29197:2015(E)8 Operational evaluation .178.1 Introduction . 178.2 Environment 178.3 Test period . 178.4 Data recording processes 178.5 Performance measureme

17、nts 188.6 Impostor transactions . 188.7 Reporting 18Annex A (informative) Values for environmental parameters .19Annex B (informative) Test equipment .21Bibliography .23iv ISO/IEC 2015 All rights reservedISO/IEC 29197:2015(E)ForewordISO (the International Organization for Standardization) and IEC (t

18、he 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 the respective organization to deal with parti

19、cular 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 information technology, ISO and IEC have estab

20、lished a joint technical committee, ISO/IEC JTC 1.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. Thi

21、s document was drafted in accordance with the editorial 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

22、 any or all such patent rights. Details of any patent 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

23、 users and does not constitute an endorsement.For 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 Suppleme

24、ntary information .The committee responsible for this document is ISO/IEC JTC 1, Information technology, SC 37, Biometrics. ISO/IEC 2015 All rights reserved vISO/IEC 29197:2015(E)IntroductionThe performance of biometric systems can vary according to environmental conditions (see e.g. ISO/IEC 19795-1

25、:2006, C.2.6, ISO/IEC TR 19795-3:2007, Table 4). Environmental conditions can affect subjects ease of use and comfort in using the systems, subjects biometric characteristics, and also the devices used for acquisition of biometric samples.This International Standard provides a generic methodology to

26、 analyse the influence of environmental conditions on biometric system performance.NOTE Environmental conditions can affect several elements involved in the recognition process. However, the proposed evaluation methodology does not distinguish which of them is affected. The intention of this methodo

27、logy is to quantify the overall influence analysing the biometric system performance.For this International Standard, environmental conditions has to be understood as all atmospheric parameters (e.g. temperature, humidity) and other physical and chemical phenomena (e.g. illumination, noise) that can

28、 surround the biometric system and influence in its performance. Certain environmental conditions such as vibration are not dealt with in this International Standard.These evaluations consist of carrying out a similar “end-to-end” biometric performance evaluation in one or more predefined environmen

29、ts. These environments can be real (naturally occurring) or modelled (artificially controlled).There are two possible ways to carry out an “end-to-end” biometric performance evaluation: performing scenario evaluations or operational evaluations. In scenario evaluations, biometric systems are assesse

30、d in modelled environments considering a real-world target application and population. These evaluations are specified as a special case of scenario test based on ISO/IEC 19795-2. An evaluation performed in a controlled environment can be reproducible, unlike in an operational environment which unco

31、ntrolled parameters can affect the system. In operational evaluations, biometric systems are analysed in real environments using a target population. These evaluations are specified as a special case of operational evaluations based on ISO/IEC 19795-6. Operational testing can lack the precision of s

32、cenario testing (in terms of the levels of the environmental parameters), but the testing will benefit in terms of being operationally realistic. This International Standard provides testing requirements specific to environmental testing for both kinds of evaluations.The methodology addresses how to

33、 test several environmental factors; however, an evaluation that conforms to this International Standard can consider as few as one single environmental parameter. The test parameter or parameters to assess and control has to be previously defined by participants involved in the evaluation.The targe

34、ts of this kind of evaluations include: Analyse how one or a combination of environmental factors can affect the biometric system performance and quantify this influence. Analyse how a biometric system works in a specific controlled environment, compared to the same system working in a reference eva

35、luation environment. Analyse how a biometric system behaves in a real environment compared to the same system working in a modelled environment simulating the operational environment.The results of these evaluations can inform suppliers and users so that they can assess which environmental condition

36、s are likely to affect the performance of a biometric system under conditions they expect to encounter. Results can also indicate whether the particular biometric modality and method of implementation is appropriate for the situation under which the system is expected to be used. Also this methodolo

37、gy can be used for examining environmental parameters under which biometric systems poorly.vi ISO/IEC 2015 All rights reservedInformation technology Evaluation methodology for environmental influence in biometric system performance1 ScopeThis International Standard addresses fundamental requirements

38、 for planning and execution of environmental performance evaluations for biometric systems based on scenario and operational test methodologies, specifications to define, establish, and measure specific conditions to assess, including requirements for equipment, requirements for establishing a basel

39、ine performance in order to compare the influence of environmental parameters, a specification of the biometric evaluation including requirements for test population, test protocols, data to record, and test results, and procedures for carrying out the overall evaluation.This International Standard

40、does not determine which parameters should be analysed for a specific biometric modality (This is currently covered in ISO/IEC/TR 19795-3.), specify requirements to perform a vulnerability analysis modifying environmental factors (This is covered by ISO/IEC 19792.), classify biometric systems upon p

41、erformance against different environmental conditions, or specify requirements for determining the functional effects of environmental conditions on hardware components (such as corrosion, electrical interference, breakage, etc.) of biometric systems.2 ConformanceEnvironmental tests of biometric sys

42、tems shall be based on scenario evaluations or operational evaluations. Scenario evaluations shall conform with mandatory requirements of Clause 7 whereas operational evaluations shall conform with mandatory requirements of Clause 8.Further, a scenario evaluation that conforms to this International

43、Standard shall analyse at least two evaluation conditions: the reference evaluation environment and one target evaluation environment. Both shall consider at least one environmental parameter to assess such as temperature, humidity, illumination, etc. These evaluation conditions shall be selected, s

44、pecified, measured, and recorded in accordance with Clause 6.3 Normative referencesThe following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, only the edition cited applies. For undated references, the la

45、test edition of the referenced document (including any amendments) applies. ISO/IEC 19795-1:2006, Information technology Bio metric performance testing and reporting Par t 1: Principles and frameworkINTERNATIONAL STANDARD ISO/IEC 29197:2015(E) ISO/IEC 2015 All rights reserved 1ISO/IEC 29197:2015(E)I

46、SO/IEC 19795-2, Information technology Bio metric performance testing and reporting Par t 2: Testing methodologies for technology and scenario evaluationISO/IEC 19795-6, Information technology Bio metric performance testing and reporting Par t 6: Testing methodologies for operational evaluation4 Ter

47、ms and definitionsFor the purposes of this document, the terms and definitions given in ISO/IEC 19795-1 and the following apply.4.1ambient conditionsreal environmentcommon, prevailing, and uncontrolled atmospheric and weather conditions in a room or placeNote 1 to entry: A test described as “conduct

48、ed at ambient conditions” was performed at whatever conditions were prevailing at that time on that day.4.2baseline performanceperformance of a biometric system in a reference evaluation environment4.3controlled conditionsclimatic and physical conditions that are constrained or managed or kept withi

49、n certain bounds for the testing purpose4.4environment generatorspecialized test equipment used to establish and maintain the controlled conditions of the test4.5environmental conditionsall atmospheric parameters (e.g. temperature, humidity) and other physical and chemical phenomena (e.g. illumination) that can surround the biometric system and influence in its performanceNote 1 to entry: These can be controlled or ambient.4.6evaluation