1、BSI Standards Publication Environmental influence testing methodology for operational deployments of European ABC systems PD CEN/TS 16920:2016National foreword This Published Document is the UK implementation of CEN/TS 16920:2016. The UK participation in its preparation was entrusted to Technical Co
2、mmittee 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 responsible for its correct application. The British Standards Institution
3、 2016. Published by BSI Standards Limited 2016 ISBN 978 0 580 91180 4 ICS 35.240.15 Compliance with a British Standard cannot confer immunity from legal obligations. This Published Document was published under the authority of the Standards Policy and Strategy Committee on 30 April 2016. Amendments/
4、corrigenda issued since publication Date Text affected PUBLISHED DOCUMENT PD CEN/TS 16920:2016 TECHNICAL SPECIFICATION SPCIFICATION TECHNIQUE TECHNISCHE SPEZIFIKATION CEN/TS 16920 March 2016 ICS 35.240.15 English Version Environmental influence testing methodology for operational deployments of Euro
5、pean ABC systems Mthodologie de tests de linfluence environnementale pour les dploiements oprationnels des systmes europens de contrle de passages aux frontires automatiss Testmethodik fr Umwelteinflsse beim operationellen Einsatz von europischen ABC- Systemen This Technical Specification (CEN/TS) w
6、as approved by CEN on 25 January 2016 for provisional application. The period of validity of this CEN/TS is limited initially to three years. After two years the members of CEN will be requested to submit their comments, particularly on the question whether the CEN/TS can be converted into a Europea
7、n Standard. CEN members are required to announce the existence of this CEN/TS in the same way as for an EN and to make the CEN/TS available promptly at national level in an appropriate form. It is permissible to keep conflicting national standards in force (in parallel to the CEN/TS) until the final
8、 decision about the possible conversion of the CEN/TS into an EN is reached. CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Irel
9、and, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION COMIT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG CEN-CENELEC Management Cen
10、tre: Avenue Marnix 17, B-1000 Brussels 2016 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members. Ref. No. CEN/TS 16920:2016 E PD CEN/TS 16920:2016CEN/TS 16920:2016 (E) 2 Contents Page European foreword . 3 Introduction 3 1 Scope 5 2 Normative refer
11、ences 5 3 Terms and definitions . 6 4 Symbols and abbreviations . 7 5 Overview of evaluating the influence of ambient conditions in European ABC systems . 7 5.1 Introduction to ISO/IEC 29197 evaluations 7 5.2 Application of the ISO/IEC 29197 evaluation methodology to European ABC systems 8 5.2.1 Gen
12、eral 8 5.2.2 Environmental parameters influencing biometric performance of the European ABC systems . 8 5.2.3 Specific characteristics of biometric modules of the European ABC systems . 9 5.2.4 Privacy and data protection legislation of the European ABC systems 10 6 Evaluation conditions specificati
13、on 10 6.1 Introduction . 10 6.2 Tests for the environmental influence evaluation of European ABC systems . 10 6.2.1 General . 10 6.2.2 Tests for analysing the influence of one environmental parameter . 10 6.2.3 Tests for analysing the influence of a specific environment 14 6.3 Recommendations for th
14、e selections of the tests . 15 6.4 Recommendations for the selection of specific values . 15 7 Requirements for biometric performance testing of ABC system when conducting ISO/IEC 29197 evaluations . 17 7.1 Test crew demographic characteristics . 17 7.2 Acclimatization . 18 Bibliography . 19 PD CEN/
15、TS 16920:2016CEN/TS 16920:2016 (E) 3 European foreword This document (CEN/TS 16920:2016) has been prepared by Technical Committee CEN/TC 224 “Personal identification and related personal devices with secure element, systems, operations and privacy in a multi sectorial environment”, the secretariat o
16、f which is held by AFNOR. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CEN and/or CENELEC shall not be held responsible for identifying any or all such patent rights. According to the CEN-CENELEC Internal Regulations, the natio
17、nal standards organizations of the following countries are bound to announce this Technical Specification: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia,
18、 Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom. PD CEN/TS 16920:2016CEN/TS 16920:2016 (E) 4 Introduction This Technical Specification is focused on the application of the testing methodology
19、 defined in ISO/IEC 29197 for analysing the influence of environmental conditions on the biometric performance of European automatic border control (ABC) systems according to the features of these systems, the specificities of these systems for the European context and their intended operational env
20、ironment, i.e. airports and port halls. ABC systems are automated systems which can verify the identity of travellers crossing the borders at the border crossing points, without the need for human intervention. These systems are used by many European countries for supporting border control officer a
21、ctivities. Their objective is to improve border crossing processes and achieve consistent security levels throughout Europe. As a consequence, it is required that these systems conform to ISO/IEC standards for interoperability (see CEN/TS 16634:2014, Personal identification Recommendations for using
22、 biometrics in European Automated Border Control, Clause 1). Among these standards, the multipart standard ISO/IEC 19795 “Biometric Performance Testing and Reporting” establishes requirements for planning, executing and reporting biometric performance evaluations. However, due to the fact that this
23、set of standards does not cover the analysis of environmental conditions influence on biometric performance, ISO/IEC JTC1 SC37 WG5 began a new project for establishing a testing methodology to quantify those environmental effects. This project is ISO/IEC 29197 “Information technology Evaluation meth
24、odology for environmental influence in biometric system performance”. However, this methodology is generic and its requirements have been specified to cover the analysis of several environmental parameters (e.g. temperature, humidity, atmospheric pressure, illumination, noise, etc.) considering all
25、possible operational environments. Depending on the particular features of the biometric system under test and the expected operational environment, those requirements should be particularized. European ABC systems have biometric modules which have common and well-defined features. Firstly, European
26、 ABC systems may use one or a combination of three biometric modalities: facial, fingerprint and iris (as it is specified by CEN/TS 16634:2014, Personal identification Recommendations for using biometrics in European Automated Border Control, 4.1). Therefore, there are certain environmental conditio
27、ns that affect such modalities to a greater extent according to ISO/IEC/TR 19795-3. On the other hand, European ABC systems are localized in specific environments such as airports, railway stations and sea ports (as it is mentioned in CEN/TS 16634:2014, Personal identification Recommendations for us
28、ing biometrics in European Automated Border Control, 5.1.1). As a result, it is possible to predict which are going to be the surrounding environmental conditions of the ABC systems and to analyse whether the systems work properly or not for the possible values of such conditions. If the biometric p
29、erformance of European ABC systems is affected by any environmental condition and this problem is not detected in early stages, it may cause negatively effects in future. In addition, European ABC systems are subjected to privacy and data protection legislation (e.g. Directive 95/46/EC). Therefore,
30、their analysis should comply with the limitations imposed by EU and data protection regulations (see CEN/TS 16634:2014, Personal identification Recommendations for using biometrics in European Automated Border Control, 5.1.3.6 and 5.1.4). Consequently and considering the importance to accurately che
31、ck the correct behaviour of the biometric recognition functionality of European ABC systems in their expected host environment, it is essential to specify the general testing methodology addressed by ISO/IEC 29197 for the characteristics and needs of European ABC systems. PD CEN/TS 16920:2016CEN/TS
32、16920:2016 (E) 5 1 Scope The purpose of this document is to specify the ISO/IEC 29197 testing methodology for European ABC systems. This specification will cover the following aspects: environmental conditions which influence biometric modalities used for European ABC systems, i.e. temperature, humi
33、dity, illumination and noise; different tests that can be defined regarding European ABC systems and the procedures for defining of the evaluation conditions to analyse per each test; particular characteristics of European ABC systems in accordance to best practice recommendations and privacy and da
34、ta protection regulations for this kind of systems in case of European deployments. As a consequence, the proposed document will include the following aspects: specific requirements for planning and executing environmental testing evaluations for European ABC systems based on ISO/IEC 29197 project a
35、nd the best practices recommendations provided by CEN/TS 16634 Personal identification Recommendations for using biometrics in European Automated Border Control document; recommendations for the selection of the possible tests according to the specific system that is going to be evaluated; specific
36、requirements to establish and measure such evaluation conditions as well as to establish the baseline performance; a specification of the biometric performance evaluation including requirements for test population, test protocols, data to record and test results consistent with operational deploymen
37、ts of European ABC systems. 2 Normative references The 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 latest edition of the referenced d
38、ocument (including any amendments) applies. CEN/TS 16634:2014, Personal identification - Recommendations for using biometrics in European Automated Border Control ISO/IEC 29197:2015, Information technology Evaluation methodology for environmental influence in biometric system performance PD CEN/TS 1
39、6920:2016CEN/TS 16920:2016 (E) 6 3 Terms and definitions For the purposes of this document, the following terms and definitions apply. 3.1 environmental conditions all atmospheric parameters and other physical and chemical phenomena that can surround the European ABC system and influence on its perf
40、ormance Note 1 to entry: The term “environmental conditions” entails more aspects than “ambient conditions”. However, the term “ambient conditions” can also refer to conditions that occur naturally in contrast to conditions that have been induced. Therefore, it has been preferred to use the term “en
41、vironmental conditions”. Note 2 to entry: It is important to distinguish two concepts related to this term: operational environment: the environmental conditions under which the European ABC system is expected to operate. This concept does not associate any predefined value; extreme conditions: envi
42、ronmental conditions that entail very high or very low values and may be hostile for systems operation or even human life. 3.2 environmental generator equipment used to establish and maintain the controlled conditions of the test (e.g. an air conditioning system) 3.3 evaluation conditions each of th
43、e evaluations carried out in a different evaluation environment to assess the performance of European ABC systems in one or more specific environmental conditions 3.4 evaluation configuration physical layout of the environment in which the European ABC is going to be tested including the necessary e
44、quipments for performing tests 3.5 evaluation environment environment in which the biometric system is evaluated considering the environmental conditions and the evaluation configuration 3.6 instrument calibrated equipment used to measure and/or record environmental parameters (e.g. a thermometer) 3
45、.7 parties involved in the evaluation entities or organizations which are interested in the evaluation and have responsibilities in the evaluation process Note 1 to entry: These entities are basically two: the test laboratory which is going to conduct the evaluation and the developer or customer who
46、 request to carry out the evaluation. In case the developer is different from the customer (e.g. an end-user requesting to know the performance of a commercial European ABC system), a third entity is added to the number of parties. Note 2 to entry: Test subjects are not considered a party of the eva
47、luation although they have to take part in it. PD CEN/TS 16920:2016CEN/TS 16920:2016 (E) 7 3.8 reference evaluation environment REE evaluation environment in which the European ABC system is analysed to obtain baseline performance metrics for making comparisons 3.9 target evaluation environment TEE
48、evaluation environment in which the European ABC system is analysed to obtain performance metrics for studying the influence of certain environmental conditions, by comparing with the results obtained at the REE 4 Symbols and abbreviations For the purposes of this document, the following symbols and
49、 abbreviations apply. ABC Automatic Border Control REE Reference Evaluation Environment TEE Target Evaluation Environment 5 Overview of evaluating the influence of ambient conditions in European ABC systems 5.1 Introduction to ISO/IEC 29197 evaluations ISO/IEC 29197 defines a general evaluation methodology for analysing the influence of environmental conditions on biometric systems performance. The model established for this evaluation methodology entails to conduct an “end-to-end” ISO/IEC 19795-1:2006 biometric performance evaluation,
