1、Information technology Biometric presentation attack detection Part 3: Testing and reporting BS ISO/IEC 301073:2017 BSI Standards Publication WB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06Information technology Biometric presentation attack detection Part 3: Testing and reporting Technolog
2、ies de linformation Dtection dattaque de prsentation en biomtrie Partie 3: Essais et rapports dessai INTERNATIONAL STANDARD ISO/IEC 30107-3 Reference number ISO/IEC 30107-3:2017(E) First edition 2017-09 ISO/IEC 2017 National foreword This British Standard is the UK implementation of ISO/IEC 301073:2
3、017. The UK participation in its preparation was entrusted to Technical Committee IST/44, Biometrics. A list of organizations represented on this committee can be obtained on request to its secretary. This publication does not purport to include all the necessary provisions of a contract. Users are
4、responsible for its correct application. The British Standards Institution 2017 Published by BSI Standards Limited 2017 ISBN 978 0 580 91522 2 ICS 35.240.15 Compliance with a British Standard cannot confer immunity from legal obligations. This British Standard was published under the authority of th
5、e Standards Policy and Strategy Committee on 30 September 2017. Amendments/corrigenda issued since publication Date Text affected BRITISH STANDARD BS ISO/IEC 301073:2017Information technology Biometric presentation attack detection Part 3: Testing and reporting Technologies de linformation Dtection
6、dattaque de prsentation en biomtrie Partie 3: Essais et rapports dessai INTERNATIONAL STANDARD ISO/IEC 30107-3 Reference number ISO/IEC 30107-3:2017(E) First edition 2017-09 ISO/IEC 2017 BS ISO/IEC 301073:2017 ii ISO/IEC 2017 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2017, Published i
7、n Switzerland All 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 written permission. Permission ca
8、n be requested from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Ch. de Blandonnet 8 CP 401 CH-1214 Vernier, Geneva, Switzerland Tel. +41 22 749 01 11 Fax +41 22 749 09 47 copyrightiso.org www.iso.org ISO/IEC 30107-3:2017(E) BS ISO/IEC 301
9、073:2017 ii ISO/IEC 2017 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2017, Published in Switzerland All 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 photo
10、copying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Ch. de Blandonnet 8 CP 401 CH-1214 Vernier, Geneva, Switzerland Tel. +41 22
11、 749 01 11 Fax +41 22 749 09 47 copyrightiso.org www.iso.org ISO/IEC 30107-3:2017(E)ISO/IEC 30107-3:2017(E)Foreword v Introduction vi 1 Scope . 1 2 Normative references 1 3 T erms and definitions . 1 3.1 Attack elements 2 3.2 Metrics 3 4 Abbreviated terms 4 5 Conformance . 5 6 Presentation attack de
12、tection overview 6 7 Levels of evaluation of PAD mechanisms 6 7.1 Overview 6 7.2 General principles of evaluation of PAD mechanisms . 7 7.3 PAD subsystem evaluation 7 7.4 Data capture subsystem evaluation 8 7.5 Full-system evaluation . 8 8 Artefact properties . 9 8.1 Properties of presentation attac
13、k instruments in biometric impostor attacks 9 8.2 Properties of presentation attack instruments in biometric concealer attacks 10 8.3 Properties of synthesized biometric samples with abnormal characteristics 10 9 Considerations in non-conformant capture attempts of biometric characteristics .11 9.1
14、Methods of presentation11 9.2 Methods of assessment .11 10 Artefact creation and usage in evaluations of PAD mechanisms .11 10.1 General 11 10.2 Artefact creation and preparation .12 10.3 Artefact usage .13 10.4 Iterative testing to identity effective artefacts 13 11 Process-dependent evaluation fac
15、tors .13 11.1 Overview .13 11.2 Evaluating the enrolment process .14 11.3 Evaluating the verification process 14 11.4 Evaluating the identification process .14 11.5 Evaluating offline PAD mechanisms 15 12 Evaluation using Common Criteria framework .15 12.1 General 15 12.2 Common Criteria and biometr
16、ics .17 12.2.1 Overview 17 12.2.2 General evaluation aspects 17 12.2.3 Error rates in testing .17 12.2.4 PAD evaluation 18 12.2.5 Vulnerability assessment .18 13 Metrics for the evaluation of biometric systems with PAD mechanisms 19 13.1 General 19 13.2 Metrics for PAD subsystem evaluation 20 13.2.1
17、 General.20 13.2.2 Classification metrics 20 13.2.3 Non-response metrics 21 13.2.4 Efficiency metrics .22 ISO/IEC 2017 All rights reserved iii Contents Page BS ISO/IEC 301073:2017 ISO/IEC 30107-3:2017(E)13.2.5 Summary 22 13.3 Metrics for data capture subsystem evaluation.22 13.3.1 General.22 13.3.2
18、Classification metrics 22 13.3.3 Non-response and capture metrics 22 13.3.4 Efficiency metrics .23 13.3.5 Summary 23 13.4 Metrics for full-system evaluation.23 13.4.1 General.23 13.4.2 Accuracy metrics .23 13.4.3 Efficiency metrics .24 13.4.4 Summary 24 Annex A (informative) Classification of attack
19、 types 25 Annex B (informative) Examples of artefact species used in a PAD subsystem evaluation for fingerprint captur e de vic es 31 Bibliography .32 iv ISO/IEC 2017 All rights reserved BS ISO/IEC 301073:2017 ISO/IEC 30107-3:2017(E)13.2.5 Summary 22 13.3 Metrics for data capture subsystem evaluatio
20、n.22 13.3.1 General.22 13.3.2 Classification metrics 22 13.3.3 Non-response and capture metrics 22 13.3.4 Efficiency metrics .23 13.3.5 Summary 23 13.4 Metrics for full-system evaluation.23 13.4.1 General.23 13.4.2 Accuracy metrics .23 13.4.3 Efficiency metrics .24 13.4.4 Summary 24 Annex A (informa
21、tive) Classification of attack types 25 Annex B (informative) Examples of artefact species used in a PAD subsystem evaluation for fingerprint captur e de vic es 31 Bibliography .32 iv ISO/IEC 2017 All rights reserved ISO/IEC 30107-3:2017(E) Foreword ISO (the International Organization for Standardiz
22、ation) 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 established by the respective organization t
23、o 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 field of information technology, ISO a
24、nd IEC have established 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 sh
25、ould be noted. This 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 responsi
26、ble for identifying 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 fo
27、r the convenience of users and does not constitute an endorsement. For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the World Trade Organization (WTO) principles
28、 in the Technical Barriers to Trade (TBT) see the following URL: www.iso.org/iso/foreword.html. This document was prepared by Technical Committee ISO/IEC JTC 1, Information technology, SC 37, Biometrics. A list of all parts in the ISO 30107 series can be found on the ISO website. ISO/IEC 2017 All ri
29、ghts reserved v BS ISO/IEC 301073:2017 ISO/IEC 30107-3:2017(E) Introduction The presentation of an artefact or of human characteristics to a biometric capture subsystem in a fashion intended to interfere with system policy is referred to as a presentation attack. ISO/IEC 30107 (all parts) addresses
30、techniques for the automated detection of presentation attacks. These techniques are called presentation attack detection (PAD) mechanisms. As is the case for biometric recognition, PAD mechanisms are subject to false positive and false negative errors. False positive errors wrongly categorize bona
31、fide presentations as attack presentations, potentially flagging or inconveniencing legitimate users. False negative errors wrongly categorize presentation attacks (also known as attack presentations) as bona fide presentations, potentially resulting in a security breach. Therefore, the decision to
32、use a specific implementation of PAD will depend upon the requirements of the application and consideration of the trade-offs with respect to security, evidence strength, and efficiency. The purpose of this document is as follows: to define terms related to biometric presentation attack detection te
33、sting and reporting, and to specify principles and methods of performance assessment of biometric presentation attack detection, including metrics. This document is directed at vendors or test labs seeking to conduct evaluations of PAD mechanisms. Biometric performance testing terminology, practices
34、, and methodologies for statistical analysis have been standardized through ISO and Common Criteria. Metrics such as FAR, FRR, and FTE are widely used to characterize biometric system performance. Biometric performance testing terminology, practices, and methodologies for statistical analysis are on
35、ly partially applicable to the evaluation of PAD mechanisms due to significant, fundamental differences between biometric performance testing concepts and PAD mechanism testing concepts. These differences can be categorized as follows: a) S ta ti sti cal sig ni f i c a n ce Biometric performance tes
36、ting utilizes a statistically significant number of test subjects representative of the targeted user group. Error rates are not expected to vary significantly when adding more test subjects or using a completely different group. Generally, taking more measurements increases the accuracy of the erro
37、r rates. In PAD testing, many biometric modalities can be attacked by a large or indeterminate number of potential presentation attack instrument (PAI) species. In these cases, it is very difficult or even impossible to have a comprehensive model of all possible presentation attack instruments. Henc
38、e, it could be impossible to find a representative set of PAI species for the evaluation. Therefore, measured error rates of one set of presentation attack instruments cannot be assumed to be applicable to a different set. PAI species present a source of systematic variation in a test. Different PAI
39、 may have significantly different error rates. Additionally, within any given PAI species, there will be random variation across instances of the PAI series. The number of presentations required for a statistically significant test will scale linearly with the number of PAI species of interest. With
40、in each PAI species, the uncertainty associated with a PAD error rate estimate will depend on the number of artefacts tested and the number of individuals. EXAMPLE 1 In fingerprint biometrics, many potent artefact materials are known, but any material or material mixture that can present fingerprint
41、 features to a biometric sensor is a possible candidate. Since artefact properties such as age, thickness, moisture, temperature, mixture rates, and manufacturing practices can have a significant influence on the output of the PAD mechanism, it is easy to define tens of thousands of PAI species usin
42、g current materials. Hundreds of thousands of presentations would be needed for a proper statistical analysis even then, resulting error rates could not be transferred to the next set of new materials.vi ISO/IEC 2017 All rights reserved BS ISO/IEC 301073:2017 ISO/IEC 30107-3:2017(E) Introduction The
43、 presentation of an artefact or of human characteristics to a biometric capture subsystem in a fashion intended to interfere with system policy is referred to as a presentation attack. ISO/IEC 30107 (all parts) addresses techniques for the automated detection of presentation attacks. These technique
44、s are called presentation attack detection (PAD) mechanisms. As is the case for biometric recognition, PAD mechanisms are subject to false positive and false negative errors. False positive errors wrongly categorize bona fide presentations as attack presentations, potentially flagging or inconvenien
45、cing legitimate users. False negative errors wrongly categorize presentation attacks (also known as attack presentations) as bona fide presentations, potentially resulting in a security breach. Therefore, the decision to use a specific implementation of PAD will depend upon the requirements of the a
46、pplication and consideration of the trade-offs with respect to security, evidence strength, and efficiency. The purpose of this document is as follows: to define terms related to biometric presentation attack detection testing and reporting, and to specify principles and methods of performance asses
47、sment of biometric presentation attack detection, including metrics. This document is directed at vendors or test labs seeking to conduct evaluations of PAD mechanisms. Biometric performance testing terminology, practices, and methodologies for statistical analysis have been standardized through ISO
48、 and Common Criteria. Metrics such as FAR, FRR, and FTE are widely used to characterize biometric system performance. Biometric performance testing terminology, practices, and methodologies for statistical analysis are only partially applicable to the evaluation of PAD mechanisms due to significant,
49、 fundamental differences between biometric performance testing concepts and PAD mechanism testing concepts. These differences can be categorized as follows: a) S ta ti sti cal sig ni f i c a n ce Biometric performance testing utilizes a statistically significant number of test subjects representative of the targeted user group. Error rates are not expected to vary significantly when adding more test subjects or using a completely different group. Generally, taking more measurements increases the accu
