ANSI INCITS ISO IEC 19794-14-2013 Information technology - Biometric data interchange formats - Part 14 DNA data.pdf

1、 INCITS/ISO/IEC 19794-14:2013 2013 ISO/IEC 19794-14:2013 Information technology Biometric data interchange formats Part 14: DNA data INCITS/ISO/IEC 19794-14:2013 2013 PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobes licensing policy, this file may be printed or

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4、le 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 Standard. Date of ANSI Approval: 8

5、/7/2013 Published by American National Standards Institute, 25 West 43rd Street, New York, New York 10036 Copyright 2013 by Information Technology Industry Council (ITI). All rights reserved. These materials are subject to copyright claims of International Standardization Organization (ISO), Interna

6、tional 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 the prior written permission of ITI.

7、 All requests pertaining to this standard should be submitted to ITI, 1250 Eye Street NW, Washington, DC 20005. Printed in the United States of America ii ITIC 2013 All rights reserved ISO/IEC 19794-14:2013(E) ISO/IEC 2013 All rights reserved iiiContents Page Foreword iv Introduction . v 1 Scope 1 2

8、 Conformance . 1 3 Normative references 1 4 Terms and definitions . 2 5 Abbreviated terms . 3 6 DNA format specification . 3 6.1 Overview . 3 6.2 Data Conventions 4 6.2.1 Unknown field value 4 6.3 The CBEFF Header 4 6.4 Content of a DNA schema 5 6.4.1 Structure of a DNA Record General Header . 5 6.4

9、.2 Representation Metadata 6 6.4.3 Representation Body 10 Annex A (normative) Conformance Testing Methodology . 20 Annex B (normative) DNA XML Schema 21 Annex C (normative) KIT ID . 30 Annex D (normative) DNA Loci . 33 ISO/IEC 19794-14:2013(E) iv ISO/IEC 2013 All rights reservedForeword ISO (the Int

10、ernational 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 establ

11、ished by 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

12、field of 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. Dr

13、aft International 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. Attention is drawn to the possibility that some of the elements of thi

14、s 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 19794-14 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information Technology, Subcommittee SC 37, Biometrics. ISO/IEC 19794 consists of the fol

15、lowing parts, under the general title Information technology Biometric data interchange formats: Part 1: Framework Part 2: Finger minutiae data Part 3: Finger pattern spectral data Part 4: Finger image data Part 5: Face image data Part 6: Iris image data Part 7: Signature/sign time series data Part

16、8: Finger pattern skeletal data Part 9: Vascular image data Part 10: Hand geometry silhouette data Part 11: Signature/Sign processed dynamic data Part 13: Voice data Part 14: DNA data ISO/IEC 19794-14:2013(E) ISO/IEC 2013 All rights reserved vIntroduction In the last 20 years, forensic molecular gen

17、etics has evolved from a rapidly developing field with changing technologies into a highly recognized and generally accepted forensic science. Forensic genetics using deoxyribonucleic acid (DNA) profiling comprises a number of important applications. Examples are the investigation of biological stai

18、ns to obtain evidence for the presence of an alleged perpetrator at a crime scene by comparing the genetic profiles from crime scene samples of human origin, to those available at DNA databases administrated by legal enforcement agencies. These also include the identification of unknown corpses in t

19、he context of both natural death and of crime, immigration, paternity testing, and disaster victim identification. The purpose of this document is to define a standard for the exchange of human DNA identification data. The standard defines DNA attributes and a data record format for the exchange of

20、DNA data. It includes a sample record and conformance criteria. This data interchange format standard is based on DNA data from forensic DNA typing techniques that are standardized and most commonly used, namely STR profiling and other DNA typing techniques that are standardized by scientific bodies

21、 for the purpose of discriminating between individuals. Note that the purpose of this data interchange format is to enable the exchange of DNA data from different systems, not to impose any constraints on the specific DNA typing system/technique to be used. Where existing DNA data exchange formats h

22、ave been referenced in the preparation of this document these formats are listed as references. Standard profiling systems exploit the non-coding regions of DNA that are referred to “junk DNA”. The coding regions are deliberately avoided in order to maintain the privacy and civil rights of the donor

23、. However, national data protection and privacy legislation may impose special security safeguards, such as but not limited to encryption of data transfers and/or storage. INTERNATIONAL STANDARD ISO/IEC 19794-14:2013(E) ISO/IEC 2013 All rights reserved 1Information technology Biometric data intercha

24、nge formats Part 14: DNA data 1 Scope This part of ISO/IEC 19794 specifies a data interchange format for the exchange of DNA data for person identification or verification technologies that utilize human DNA. It will provide the ability for DNA profile data to be exchanged and used for comparison (s

25、ubject to privacy regulations) with DNA profile data produced by any other system that is based on a compatible DNA profiling technique and where the data format conforms to this part of ISO/IEC 19794. This part of ISO/IEC 19794 is intended to cover current forensic DNA profiling or typing technique

26、s that are based on short tandem repeats (STRs), including STRs on the Y chromosome (Y-STRs), as well as mitochondrial DNA. A single DNA data record for a subject may require data resulting from more than one of these different DNA techniques. This part of ISO/IEC 19794 enables data for multiple DNA

27、 techniques to be presented in a single record for a given subject. This data format has been prepared in light of ongoing efforts to reduce human involvement in the processing (enrolment and comparison) of DNA. In anticipation of the data format requirements for automated DNA techniques this part o

28、f ISO/IEC 19794 will describe a format for both processed and raw (electrophoretic) DNA data. Extensible Mark-up Language (XML) encoding of the data is used to specify DNA data interchange. A normative XML Schema Definition (XSD) specification is provided in Annex B. This part of ISO/IEC 19794 is no

29、t intended for any other purposes than exchange of DNA for biometric verification and identification of individuals, in particular does not exchange medical and other health-related information. 2 Conformance Applications claiming conformance with this part of ISO/IEC 19794 shall be capable of prese

30、nting DNA biometric data as defined by this standard. Minimum conformance shall require the ability to transmit (exchange) and extract interoperable DNA biometric information. 3 Normative references The following referenced documents are indispensable for the application of this document. For dated

31、references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ISO/IEC 19794-1:2011, Information technology Biometric data interchange formats Part 1: Framework ISO/IEC 19794-1:2011/Amd.2, Framework for XML encodi

32、ng ISO/IEC 19794-14:2013(E) 2 ISO/IEC 2013 All rights reserved4 Terms and definitions 4.1 allele one member of a series of possible alternative forms of a DNA sequence found at a particular genetic location 4.2 chromosome structure within the cell that bears the genetic material as a linear strand o

33、f DNA NOTE Human cells consist of 23 pairs of chromosomes. 4.3 deoxyribo nucleic acid DNA complex molecule found in virtually every cell in the body that carries the genetic information from one generation to another 4.4 DNA profiling or typing technique used by scientists to discriminate between in

34、dividuals by examining variations in their DNA 4.5 locus unique physical location on the DNA molecule and the plural of locus is loci 4.6 mitochondrial DNA mtDNA small circular DNA molecules located in structures used to provide energy to the cell (mitochondria) NOTE Their small size and abundant na

35、ture make them particularly useful when examining small or much damaged biological material. It can be used to trace maternal lineages as it is only inherited from ones mother. 4.7 power of discrimination potential power of a genetic marker or set of markers to differentiate between any two people c

36、hosen at random 4.8 short tandem repeat STR short sequences of DNA that are repeated numerous times in direct succession NOTE The number of repeated units may vary widely between individuals and this high level of variation makes STRs particularly useful for discriminating between people. 4.9 Y chro

37、mosome organized structure of the DNA molecule containing male-specific DNA only 4.10 Y-STR STR regions found in male specific DNA on the Y chromosome only NOTE It can be used to trace paternal lineages as it is male specific and only inherited from ones father. ISO/IEC 19794-14:2013(E) ISO/IEC 2013

38、 All rights reserved 34.11 electrophoretic data raw profile data output from a profiling system that is used to measure the number of allele repeats at a specific loci 4.12 mobile processing unit fully functional DNA laboratory which is mobile 4.13 rapid DNA unit self-contained device which automate

39、s all DNA analysis processes and produces a DNA profile quickly (e.g. 1 hour) 5 Abbreviated terms DNA DeoxyriboNucleic Acid mtDNA Mitochondrial DNA STR Short Tandem Repeat Y-STR Y chromosome STR 6 DNA format specification 6.1 Overview The DNA record format specified in this document is a structural

40、definition used to exchange DNA data. This formatted data shall contain the DNA identification data. In conformance to the regulations described in the ISO/IEC 19794-1, a DNA record should be specified upon the definition of the BDIR or may be embedded in the biometric data block (BDB) of a CBEFF co

41、mpliant structure (BIR). When referring to the objects of a record, they are grouped into three data structures (field, block and record). A field denotes the elementary one to store data. There are two kinds of fields: simple and combined field. A simple field contains only one simple data object a

42、nd a combined field contains one or more fields which may be a simple or a combined one. One or more data fields can be grouped together into a data block. The part consisting of several uniquely named components (data fields and blocks) forms a data record. A whole DNA record according to the BDIR

43、structure is depicted in the Figure 1. ISO/IEC 19794-14:2013(E) 4 ISO/IEC 2013 All rights reservedFigure 1 The DNA Record Format 6.2 Data Conventions 6.2.1 Unknown field value A field value labeled by the identifier “Unknown” shall be used to denote the information encoded in this field is not yet d

44、etermined. 6.2.2 XML Encoding The framework for XML encoding is dealt with in the document ISO/IEC 19794-1:2011/Amd.2. The XML encoding schema for DNA data enclosed in the Annex B of this document is in compliance with the specification in the parts-overlapping XML framework (ISO/IEC 19794-1:2011/Am

45、d.2). 6.3 The CBEFF Header The structure of a BDIR consisting of one mandatory General Header and one or more representation parts should be used to describe a DNA record. The biometric data record represented using the DNA record format may be embedded in the biometric data block (BDB) of the CBEFF

46、 patron format in compliance with ISO/IEC 19785-1:2004. If a CBEFF header is used, the following specifications apply: The CBEFF patron format requests to specify both CBEFF_BDB_format_owner and CBEFF_BDB_format_type as mandatory items in the CBEFF Header. ISO/IEC 19794-14:2013(E) ISO/IEC 2013 All r

47、ights reserved 5The CBEFF_BDB_format_owner shall be specified by the CBEFF biometric organization identifier issued by the CBEFF registration authority to ISO/IEC JTC1/SC37. This value is the sixteen bit value 0x0101. The CBEFF_BDB_format_type shall be specified by the CBEFF BDB format type identifi

48、er assigned by ISO/IEC JTC1/SC37 to this DNA record format. This value is the sixteen bit value 0x0008. Complete CBEFF header information required for coding is given in ISO/IEC 19794-1. 6.4 Content of a DNA schema 6.4.1 Structure of a DNA Record General Header The DNA Record General Header block co

49、nsists of 7 fields as shown in Table 1. The data fields listed in the first column in Table 1 are described in more detail in sections 6.4.1.1 6.4.1.7. Table 1 The DNA Record General Header Field Item Type Valid values Mandatory / Optional Format Identifier string “DNA“ Mandatory Version VersionType Major = 3, Minor = 0 Mandatory Communication Direction string “Request“, “Answer“ Mandatory Sending Party