ISO IEC TR 24741-2007 Information technology - Biometrics tutorial《信息技术 生物统计学指南》.pdf

1、 Reference number ISO/IEC TR 24741:2007(E) ISO/IEC 2007TECHNICAL REPORT ISO/IEC TR 24741 First edition 2007-09-15 Information technology Biometrics tutorial Technologies de linformation Tutoriel biomtrique ISO/IEC TR 24741:2007(E) PDF disclaimer This PDF file may contain embedded typefaces. In accor

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6、 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/IEC 2007 All rights reservedISO/IEC TR 24741:2007(E) ISO/IEC 2007 All rights reserved iii Contents Page Foreword . v Introduction vi 1 Scope.

7、1 2 Introduction and general history .1 2.1 What are biometric technologies?.1 2.2 History.2 3 Technology overview3 3.1 Eye technologies3 3.1.1 Iris characteristics3 3.1.2 Retina characteristics.3 3.2 Face technologies.4 3.3 Finger ridge technologies4 3.3.1 Finger scanning4 3.3.2 Finger image verifi

8、cation5 3.3.3 Finger image identification5 3.3.4 Palm technologies5 3.4 Hand geometry technologies.6 3.5 Finger geometry technologies.6 3.6 Dynamic signature technologies.6 3.7 Speaker recognition technologies.7 3.8 Vein patterns.7 3.9 Keystrokes.8 3.10 Possible future biometric technologies 8 3.10.

9、1 Scent8 3.10.2 DNA8 3.10.3 Ear shape.8 3.10.4 Body potential differences .8 4 A general biometric system .9 4.1 Conceptual diagram of a general biometric system 9 4.2 Conceptual components of a general biometric system .10 4.2.1 Data capture subsystem.10 4.2.2 Transmission subsystem.10 4.2.3 Signal

10、 processing subsystem11 4.2.4 Data storage subsystem.11 4.2.5 Matching subsystem.12 4.2.6 Decision subsystem.13 4.2.7 Administration subsystem.14 4.2.8 Interfaces.14 4.3 Functions of a general biometric system14 4.3.1 Enrolment phase.14 4.3.2 Recognition phase15 5 Fundamental concepts.16 6 Internati

11、onal Standards for biometrics technical interfaces .18 6.1 BDBs and BIRs18 6.2 Common Biometric Exchange Formats Framework (CBEFF) .19 6.3 The BioAPI International Standard 19 6.4 The BIP International Standard20 ISO/IEC TR 24741:2007(E) iv ISO/IEC 2007 All rights reserved7 Performance testing.20 7.

12、1 General20 7.2 Types of technical tests .21 8 Biometrics and information security.22 9 Example applications.23 9.1 Law enforcement.23 9.2 Civilian applications.23 9.2.1 Banking applications24 9.2.2 Benefit systems24 9.2.3 Computer systems access.24 9.2.4 Immigration control24 9.2.5 National identit

13、y cards24 9.2.6 Physical access control .24 9.2.7 Prisons and police applications 25 9.2.8 Telephone systems.25 9.2.9 Time, attendance and monitoring applications 25 9.2.10 Civil background checks25 10 Biometrics and privacy.25 10.1 General25 10.2 Biometric technology acceptability.26 10.3 Protectio

14、n from identity theft .26 10.4 Privacy.26 11 Conclusions27 Annex A (informative) A brief summary of International Standards activity .28 A.1 Background on biometrics standardization28 A.2 Layers or areas of biometric standardization and Working Groups.28 A.3 Layer 1 Standards (approved or in prepara

15、tion for initial standards).30 A.4 Layer 2 Standards (approved or in preparation for initial standards).30 A.5 Layer 3 Standards (approved or in preparation for initial standards).30 A.6 Layer 4 Standards (approved or in preparation for initial standards).31 A.7 Layer 5 Standards (approved or in pre

16、paration for initial standards).31 A.8 Layer 6 Standards (approved or in preparation for initial standards).31 A.9 Layer 7 Standards (approved or in preparation for initial standards).31 A.10 Vocabulary work (approved or in preparation for initial standards).31 A.11 A brief summary of the above Stan

17、dards or Technical Reports .32 A.11.1 Layer 1 Standards.32 A.11.2 Layer 2 Standards.36 A.11.3 Layer 3 Standards.38 A.11.4 Layer 4 Standards.38 A.11.5 Layer 5 Standards.38 A.11.6 Layer 6 Standards.39 A.11.7 Layer 7 Standards.40 A.11.8 Vocabulary Standards40 Annex B (informative) Terms and definitions

18、 used in International Biometric Standards .41 B.1 General concepts41 B.2 Data-related terms.42 B.3 Capture-related terms.44 B.4 Enrolment-related terms.44 B.5 Process and system-related terms45 B.6 Person-related terms46 B.7 Comparison-related terms47 B.8 CBEFF-related terms51 B.9 BioAPI-related te

19、rms.52 B.10 Application-related terms.52 B.11 Performance-related terms.53 Bibliography.55 ISO/IEC TR 24741:2007(E) ISO/IEC 2007 All rights reserved v Foreword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system

20、 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 technical committees coll

21、aborate 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. International Standard

22、s 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 International Standards adopted by the joint technical committee are circulated to national bodies for voting. Publication a

23、s 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 publication of a Technical Report of one of the following types: type 1, when the required support cannot be obtained for

24、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 future but not immediate possibility of an agreement on an International Standard; type 3, when the joint technical committ

25、ee 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 are subject to review within three years of publication, to decide whether they can be transformed into International Sta

26、ndards. 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 possibility that some of the elements of this document may be the subject of patent rights. ISO and IEC shall not be held r

27、esponsible for identifying any or all such patent rights. ISO/IEC TR 24741, which is a Technical Report of type 3, was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology, Subcommittee SC 37, Biometrics. ISO/IEC TR 24741:2007(E) vi ISO/IEC 2007 All rights reservedIntroduction

28、 “Biometric authentication” is the automatic recognition of individual persons based on distinguishing biological and behavioural traits. The field is a subset of the broader field of human identification science. Example technologies include fingerprinting, face recognition, hand geometry, speaker

29、recognition and iris recognition. At the current level of technology, DNA analysis is a laboratory technique not fully automated and requiring human processing, so it is not considered “biometric authentication” under this definition (it is not currently automatic and fast, but may become so in the

30、near future). Some techniques (such as iris recognition) are more biologically based and some (such as signature recognition) are more behaviourally based, but all techniques are influenced by both behavioural and biological elements. There are no purely “behavioural” or “biological” biometric syste

31、ms. Biometric authentication is frequently referred to as simply “biometrics”, although this latter word has historically been associated with the statistical analysis of general biological data. The word “biometrics”, like “genetics”, is usually treated as singular. It first appeared in the vocabul

32、ary of physical and information security around 1980 as a substitute for the earlier descriptor “automatic personal identification”, in use in the 1970s. Biometric systems recognize “persons” by recognizing “bodies”. The distinction between person and body is subtle, but is of key importance in unde

33、rstanding the inherent capabilities and limitations of these technologies. In our context, biometrics deals with computer recognition of patterns created by human behaviours and biological structures, and is usually associated more with the field of computer engineering and statistical pattern analy

34、sis than with the behavioural or biological sciences. Today, biometrics is being used to recognize individuals in a wide variety of contexts, such as computer and physical access control, law enforcement, voting, border crossing, social benefit programs and driver licensing. TECHNICAL REPORT ISO/IEC

35、 TR 24741:2007(E) ISO/IEC 2007 All rights reserved 1Information technology Biometrics tutorial 1 Scope This Technical Report provides a tutorial on biometrics. It contains a description of the architecture of biometric processes and of the processes themselves. An annex provides further details of I

36、nternational Standards activity in the field of biometrics. A further annex provides terms and definitions that are in use in these International Standards. 2 Introduction and general history 2.1 What are biometric technologies? The all-encompassing term biometrics refers to the quantification or st

37、atistical analysis of biological characteristics. In this context, we are concerned with technologies that analyze human characteristics for recognition security purposes. The statistical science of biometrics, usually used in biomedical contexts, is a separate discipline. A broadly accepted definit

38、ion of biometrics for recognition states that: A biometric is a unique, measurable characteristic or trait for automatically recognizing or verifying the identity of a human being. The agreed SC37 definition comes in two parts, and broadly agrees with the above. It is recommended that the word biome

39、tric be normally used only as an adjective, and not where the fuller term biometric characteristic (as above) would be more appropriate. We have for adjectival use: biometric of or having to do with biometrics and for noun use: biometrics automated recognition of individuals based on their behaviour

40、al and biological characteristics So, biometric technologies are concerned with the physical parts of the human body or the personal traits of human beings, and the recognition of individuals based on either or both of those parts or traits. It is important to note the term automatic in the above de

41、finition. This essentially means that a biometric technology must recognize or verify a human characteristic quickly and automatically, in real time. (A fuller explanation of the various biometric technologies is given in clause 3.) In summary the most common physical biometric characteristics are t

42、he eye, face, fingerprints, hand and voice; while signature, typing rhythm and gait are the most common behavioural biometric characteristics. Use of DNA is excluded today, as it is not yet a fast automated process, although that is likely to change in the next few years. 2 ISO/IEC 2007 All rights r

43、eserved2.2 History In a non-sophisticated way, biometric characteristics have been used for centuries. Parts of our bodies and aspects of our behaviour have historically been used, and continue to be used, as a means of identification. The study of fingerprinting dates back to ancient China; we ofte

44、n remember and identify a person by their face or by the sound of their voice; and a signature is the established method of authentication in banking, for legal contracts and many other walks of life. The modern science of recognizing people based on physical measurements owes much to the French pol

45、ice clerk, Alphonse Bertillon, who began his work in the late 1870s (Beavan, 20013 ; Cole, 200111 ). The Bertillon system involved multiple measurements, including height, weight, the length and width of the head, width of the cheeks, and the lengths of the trunk, feet, ears, forearms, and middle an

46、d little fingers. Categorization of iris colour and pattern was also included in the system. By the 1880s, the Bertillon system was in use in France to identify repeat criminal offenders. Use of the system in the United States for the identification of prisoners began shortly thereafter and continue

47、d into the 1920s. Although research on fingerprinting by a British colonial magistrate in India, William Herschel, began in the late 1850s, knowledge of the technique did not become known in the western world until the 1880s (Faulds, 188013 ; Herschel, 188018 ) when it was popularized scientifically

48、 by Sir Francis Galton (1888)16and in literature by Mark Twain47(1893). Galtons work also included the identification of persons from profile facial measurements. By the mid-1920s, fingerprinting had completely replaced the Bertillon system within the U.S. Bureau of Investigation (later to become th

49、e Federal Bureau of Investigation). Research on new methods of human identification continued, however, in the scientific world. Handwriting analysis was recognized by 1929 (Osborne, 192936 ) and retinal identification was suggested in 1935 (Simon and Goldstein, 193544 ) None of these techniques was “automatic“, however, so none meets the definition of “biometric authentication” being used in this Technical Report. Automatic techniques require automatic computation (and are expected to be fast). Work in automatic speaker