INCITS TR-45-2009 INCITS Technical Report for Information Technology - Biometric Performance Testing and Reporting - Part 7 Framework for Testing Methodologies for Specific Modalit.pdf

1、American National StandardDeveloped byINCITS Technical Reportfor Information Technology Biometric Performance Testingand Reporting Part 7: Framework for TestingMethodologies for SpecificModalitiesINCITS TR-45-2009INCITSTR-45-2009Copyright InterNational Committee for Information Technology Standards

2、Provided by IHS under license with INCITSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Copyright InterNational Committee for Information Technology Standards Provided by IHS under license with INCITSNot for ResaleNo reproduction or networking permitted without li

3、cense from IHS-,-,-INCITS TR-45-2009INCITS Technical Reportfor Information Technology Biometric Performance Testingand Reporting Part 7: Framework for TestingMethodologies for Specific ModalitiesSecretariatInformation Technology Industry CouncilAbstractThis technical report documents modality-specif

4、ic influencing factors that may impact biometric sub-system performance. These influencing factors may be categorized as environmental, biological, behav-ioral, usability-oriented, societal, and design-oriented. This technical report is arranged to:- Introduce influencing factor categories- Discuss

5、factor categories that may influence performance for each modality- List testing protocols used in previous research.Copyright InterNational Committee for Information Technology Standards Provided by IHS under license with INCITSNot for ResaleNo reproduction or networking permitted without license f

6、rom IHS-,-,-Published byAmerican National Standards Institute25 West 43rd Street, New York, New York 10036Copyright 2009 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, witho

7、ut prior written permission of ITI.Printed in the United States of AmericaINCITS Technical Report SeriesThis Technical Report is one in a series produced by the International Committeefor Information Technology Standards (INCITS). The secretariat for INCITS is heldby the Information Technology Indus

8、try Council (ITI), 1101 K Street, NW, Suite 610, Washington, DC 20005.As a by-product of the standards development process and the resources ofknowledge devoted to it, INCITS from time to time produces Technical Reports.Such Technical Reports are not standards, nor are they intended to be used assuc

9、h.INCITS Technical Reports are produced in some cases to disseminate thetechnical and logical concepts reflected in standards already published or underdevelopment. In other cases, they derive from studies in areas where it is foundpremature to develop a standard due to a still changing technology,

10、orinappropriate to develop a rigorous standard due to the existence of a number ofviable options, the choice of which depends on the users particular requirements.These Technical Reports, thus, provide guidelines, the use of which can result ingreater consistency and coherence of information process

11、ing systems.When the draft Technical Report is completed, the Technical Committee approvalprocess is the same as for a draft standard. Processing by INCITS is also similarto that for a draft standard.PatentStatementCAUTION: The developers of this Technical Report have requested that holdersof patent

12、s that may be required for the implementation of the standard, disclosesuch patents to the publisher. However, neither the developers nor the publisherhave undertaken a patent search in order to identify which, if any, patents mayapply to this Technical Report. As of the date of publication of this

13、Technical Report and following calls for theidentification of patents that may be required for the implementation of theTechnical Report, no such claims have been made. No further patent search isconducted by the developer or the publisher in respect to any Technical Report itprocesses. No represent

14、ation is made or implied that licenses are not required toavoid infringement in the use of this Technical Report.Copyright InterNational Committee for Information Technology Standards Provided by IHS under license with INCITSNot for ResaleNo reproduction or networking permitted without license from

15、IHS-,-,-iContentsPageForeword iiIntroduction v1 Scope . 12 Normative References 13 Terms and definitions . 24 Symbols and abbreviated terms. 35 Establishing the Evaluation Type . 36 Influencing Factors . 36.1 Introduction. 36.2 Environmental Factors 46.3 Biological Factors . 56.4 Capabilities/Incent

16、ive Factors. 56.5 Sensor Factors . 56.6 Subject-System Interaction Factors 66.7 System Design . 66.8 Social Factors. 77 Modality Specific Factors Affecting Performance. 77.1 Introduction. 77.2 Fingerprint 87.3 Face 107.4 Iris. 127.5 Signature 147.6 Hand Geometry 157.7 Vascular/Vein . 177.8 Keystroke

17、 Dynamics. 187.9 Speaker / Voice Recognition 197.10 Deoxyribonucleic Acid (DNA) . 218 Evaluation of modality-specific influential factors . 228.1 Robustness tests 22Annex A Bibliography 23Copyright InterNational Committee for Information Technology Standards Provided by IHS under license with INCITS

18、Not for ResaleNo reproduction or networking permitted without license from IHS-,-,-iiForeword (This foreword is not part of American National Standard INCITS TR-45-2009.)Publication of this Technical Report that has been registered with ANSI has been ap-proved by INCITS, The International Committee

19、for Information Technology Stan-dards, which is the ANSI recognized Standards Development Organization forinformation technology within the United States of America. Members of INCITS aredrawn from Government, Corporations, Academia and other organizations with a ma-terial interest in the work of IN

20、CITS and its Technical Committees. INCITS does notrestrict membership and attracts participants in its technical work from 13 differentcountries, and operates under the rules of the American National Standards Institute.This document is registered as a Technical Report according to the Procedures fo

21、rthe Registration of Technical Reports with ANSI. This document is not an AmericanNational Standard and the material contained herein is not normative in nature. Comments on the content of this document should be sent to Technical CommitteeINCITS/M1, Biometrics, Task Group 5, Performance Testing and

22、 Reporting.This technical report is part of Project 1602D and was prepared by Technical Com-mittee INCITS/M1, Biometrics, Task Group 5, Performance Testing and Reporting.Project 1602D consists of the following parts, under the general title Biometric Perfor-mance Testing and Reporting:- Part 1: Prin

23、ciples and Framework;- Part 2: Technology Testing Methodologies;- Part 3: Scenario Testing Methodologies;- Part 4: Operational Testing Methodologies;- Part 5: Biometrics Device Performance Evaluation for Access Control;- Part 6: Performance and Interoperability Testing of Biometric Data Interchange

24、Formats- Part 7: Framework for Testing Methodologies for Specific ModalitiesRequests for interpretation, suggestions for improvements or addenda, or defect re-ports are welcome. They should be sent to the INCITS Secretariat, Information Tech-nology Industry Council, 1101 K Street, NW, Suite 610, Was

25、hington, DC 20005.This technical report was processed and approved for submittal to ANSI by the Inter-National Committee for Information Technology Standards (INCITS). Committee ap-proval of the technical report does not necessarily imply that all committee membersvoted for its approval. At the time

26、 it approved this technical report, INCITS had thefollowing members:Don Wright, ChairJennifer Garner, SecretaryOrganization Represented Name of RepresentativeAdobe Systems, Inc. Scott FosheeSteve Zilles (Alt.)AIM Global, Inc. Dan MullenCharles Biss (Alt.)Apple Computer, Inc. Kwok LauHelene Workman (

27、Alt.)David Singer (Alt.)Distributed Managment Task Force . Tony DiCenzoJeff Hilland (Alt.)Winston Bumpus (Alt.)Copyright InterNational Committee for Information Technology Standards Provided by IHS under license with INCITSNot for ResaleNo reproduction or networking permitted without license from IH

28、S-,-,-iiiOrganization Represented Name of RepresentativeElectronic Industries Alliance Edward Mikoski, Jr.EMC Corporation Gary RobinsonFarance, Inc. .Frank FaranceTimothy Schoechle (Alt.)Google.Zaheda BhoratRobert Tai (Alt.)GS1 US .Ray DelnickiFrank Sharkey (Alt.)James Chronowski (Alt.)Mary Wilson (

29、Alt.)Hewlett-Packard Company .Paul JeranKaren Higginbottom (Alt.)Scott Jameson (Alt.)IBM Corporation Ronald F. SillettiRobert Weir (Alt.)IEEE Judith GormanTerry DeCourcelle (Alt.)Bill Ash (Alt.)Jodie Haasz (Alt.)Bob Labelle (Alt.)Susan Tatiner (Alt.)Intel .Philip WennblomDave Thewlis (Alt.)Grace Wei

30、 (Alt.)Lexmark InternationalDon WrightDwight Lewis (Alt.)Paul Menard (Alt.)Microsoft CorporationJim HughesDave Welsh (Alt.)Mark Ryland (Alt.)National Institute of Standards other influencing factors only impact select modalities. Test methodologies should take into consideration modality-specific in

31、fluencing factors known or suspected to impact performance. Controlling, recording, and reporting on the manner in which influencing factors are mitigated, measured, and managed is indispensable to performance testing and prediction of operational performance. Performance evaluations should follow e

32、stablished Design of Experiment (DOE) procedures. Particular attention should be paid to blocking of known and controllable variables. Use of randomizing techniques should be utilized to eliminate uncontrollable or unknown variables. Adjustable variables should be baselined or frozen during testing.

33、 6.2. Environmental factors Environmental influencing factors include the following: Temperature Humidity Illumination o Type Standard incandescent, fluorescent, tungsten halogen, reflector lamps, light emitting diodes (LEDs), sunlight, etc. o Direction o Overhead o Side o Intensity o Stability Nois

34、e Vibration For each environmental factor known or thought to impact a modality under test, the experimenter should document how the factor was measured, whether the factor varied during data collection, and what steps were taken to mitigate variability that might have occurred. To the degree possib

35、le, the experimenter should control the influencing factor or the factors variability. 4 Copyright InterNational Committee for Information Technology Standards Provided by IHS under license with INCITSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-INCITS TR-45-200

36、9 6.3. Biological factors Biological influencing factors include the following: Biometric features (quality and characteristics) Temporal change of the biometric features Invariable personal characteristics: Gender Ethnic origin Handedness Variable personal characteristics: o Age o Applicable medica

37、l conditions Musculoskeletal disorders MSDs (finger, hand, vein) Blindness (all) Cataracts (iris, retina) o Body dimensions / anthropometric data (height, weight, etc) For each biological factor known or thought to impact a modality under test, the experimenter should document how the factor was mea

38、sured and what steps were taken to ensure representativeness among the test crew. To the degree possible, the experimenter should control the influencing factor or the factors variability. 6.4. Capabilities/incentive factors Capabilities and incentive influencing factors include the following: Skill

39、 set Psychological factors o Compensation for participation o Willingness to participate throughout the duration of testing o Willingness to accept technology o Anxiety / Perception / Stress For each capabilities/incentive factor known or thought to impact a modality under test, the experimenter sho

40、uld document how the factor was measured and what steps were taken to mitigate variability that might have occurred. To the degree possible, the experimenter should control the influencing factor or the factors variability. 6.5. Sensor Factors The experimenter should refer back to the data format st

41、andards for the modality under test for sensor-related factors. Sensor influencing factors include the following: Susceptibility of device to buildup, corrosion, residue Heat related degradation Battery charge degradation Susceptibility to decalibration 5 Copyright InterNational Committee for Inform

42、ation Technology Standards Provided by IHS under license with INCITSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-INCITS TR-45-2009 For each sensor factor known or thought to impact a modality under test, the experimenter should document how the factor was measur

43、ed and what steps were taken to mitigate variability that might have occurred. To the degree possible, the experimenter should control the influencing factor or the factors variability. 6.6. Subject-system interaction factors Human-biometric sensor or system interaction influencing factors include t

44、he following: Training o Relationship between amount/type of training and ability of test subjects to use device Feedback Habituation Level o Full o Partial o Unfamiliar/Beginner Enrollment Policy For modalities in which one image or sample constitutes enrollment, special care should be taken to ens

45、ure maximum usable quality as well as understand the enrollment quality distribution o Single-sample enrollment / multi-sample enrollments o Implementation of enrollment quality threshold Task Type o Active o Passive Positioning o Movement required by user o User required to remain still For each su

46、bject-system interaction factor known or thought to impact a modality under test, the experimenter should document how the factor was measured and what steps were taken to mitigate variability that might have occurred. To the degree possible, the experimenter should control the influencing factor or

47、 the factors variability. 6.7. System Design System design influencing factors include the following: Location o Indoor o Outdoor (exposure to elements) Covered Uncovered Accessibility o Time of Day o 24 hours a day o Defined usage pattern 6 Copyright InterNational Committee for Information Technolo

48、gy Standards Provided by IHS under license with INCITSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-INCITS TR-45-2009 7 System Exposure o Covert o Overt Workstation design (Standing, sitting, bending, etc) Time Interval between enrollment and subsequent identification/verification 6.8. Social Factors Social influencing factors include the following: Occupation/Hobbies Clothing Cultural Legal o Consensual agreement 7. Modality-specific factors affecting performance 7.1. Introduction Modality-spe