SIST-TS CEN/TS 16920:2016

SLOVENSKI STANDARD
SIST-TS CEN/TS 16920:2016
01-julij-2016
Metodologija preskušanja vplivov na okolje med operativno uporabo evropskih
sistemov ABC
Environmental influence testing methodology for operational deployments of European
ABC systems
Testmethodik für Umwelteinflüsse beim operationellen Einsatz von europäischen ABC-
Systemen
Méthodologie de tests de l'influence environnementale pour les déploiements
opérationnels des systèmes européens de contrôle de passages aux frontières
automatisés
Ta slovenski standard je istoveten z: CEN/TS 16920:2016
ICS:
19.040 Preskušanje v zvezi z Environmental testing
okoljem
35.240.15 ,GHQWLILNDFLMVNHNDUWLFHýLSQH Identification cards. Chip
NDUWLFH%LRPHWULMD cards. Biometrics
SIST-TS CEN/TS 16920:2016 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST-TS CEN/TS 16920:2016

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SIST-TS CEN/TS 16920:2016


CEN/TS 16920
TECHNICAL SPECIFICATION

SPÉCIFICATION TECHNIQUE

March 2016
TECHNISCHE SPEZIFIKATION
ICS 35.240.15
English Version

Environmental influence testing methodology for
operational deployments of European ABC systems
Méthodologie de tests de l'influence environnementale Testmethodik für Umwelteinflüsse beim
pour les déploiements opérationnels des systèmes operationellen Einsatz von europäischen ABC-
européens de contrôle de passages aux frontières Systemen
automatisés
This Technical Specification (CEN/TS) was 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 European 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 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, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and
United Kingdom.





EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION

EUROPÄISCHES KOMITEE FÜR NORMUNG

CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels
© 2016 CEN All rights of exploitation in any form and by any means reserved Ref. No. CEN/TS 16920:2016 E
worldwide for CEN national Members.

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Contents Page
European foreword . 3
Introduction . 3
1 Scope . 5
2 Normative references . 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 General . 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 specification . 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 the 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
17
7.1 Test crew demographic characteristics .
7.2 Acclimatization . 18
Bibliography . 19

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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 of 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 national 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, Lithuania, Luxembourg, Malta,
Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland,
Turkey and the United Kingdom.
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Introduction
This Technical Specification is focused on the application of the testing methodology 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 environment, 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 activities. 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 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 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 methodology 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 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 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 conditions 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 using 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 performance 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, 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 check 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.
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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, humidity, 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 data 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 and 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 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 deployments 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 document (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
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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 performance
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 “environmental 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: environmental 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 the 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 equipments 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)
3.7
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 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 evaluation although they have to take part in it.
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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
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 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, i.e. a
scenario evaluation or an operational evaluation in one or more predefined environments.
During the biometric performance evaluation in each evaluation environment, test subjects interact
with the biometric system many times as it was required and both, the biometric system recognition
outcomes and environmental conditions are recorded at the same time. From such results, it is possible
to determine the biometric system performance (i.e. error rates and throughput rates) for the specific
evaluation conditions.
For scenario evaluations, ISO/IEC 29197 addresses to conduct two (or more) scenario test: one in a
Reference Evaluation Environment (REE) and another (or others) in the Target Evaluation
Environments (TEEs). The evaluation environments will be identical, including the same test subjects,
following the same procedures, except for the environmental conditions. The environmental conditions
are specific of each evaluation environment. As a consequence, the comparison between results of the
REE and the TEEs allows knowing whether the biometric system is influenced, or not, by any
environmental parameter, as well as quantifying this influence. A schema of the evaluation
methodology model is shown in Figure 1.
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Figure 1 — Evaluation model for scenario evaluations
In case of an operational test, ISO/IEC 29197 addresses to determine a specific environment and select
one or more environmental parameters to assess. Then an operational test is to be conducted in this
environment. This approach provides insights into the degree to which biometric systems are
influenced by the environmental conditions analysed for this particular environment.
5.2 Application of the ISO/IEC 29197 evaluation methodology to European ABC systems
5.2.1 General
The application of the ISO/IEC 29197 evaluation methodology to analyse the influence of the
environmental conditions on the biometric performance of European ABC systems shall consider the
special characteristics of this kind of systems and their intended operational environment. The
following clauses describe these characteristics and relate to the relevant section of ISO/IEC 29197.
5.2.2 Environmental parameters influencing biometric performance of the European ABC
systems
The most relevant parameters that influence the biometric performance of European ABC systems are
the following:
— temperature and humidity. These parameters can influence to European ABC systems which use
fingerprint biometrics;
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NOTE 1 CEN/TS 16634:2014, Personal identification — Recommendations for using biometrics in European
Automated Border Control addresses in 5.3 that the quality of an acquired image finger depends on the skin
condition and also offers recommendations in order to avoid the halo effects in the captured fingerprint images
when there is a difference between the finger and the sensor surface temperatures.
— illumination: illuminance and irradiance. This parameter could affect the three biometric
modalities that can be used for a European ABC system: face, fingerprint and iris (See
CEN/TS 16634 Personal identification- Recommendations for using biometrics in European
Automated Border Control addresses in 4.1).
NOTE 2 CEN/TS 16634:2014, Personal identification — Recommendations for using biometrics in European
Automated Border Control addresses in 5.2.4 the following: “Sunlight will vary both on a daily and on a seasonal
basis. It is recommended to test that the system will perform adequately under different sunlight conditions. It is
recommended that direct sunlight is avoided, and environmental illumination is controlled for best capture
results”.
As a consequence, the analysis of the influence of environmental conditions in case of European ABC
systems shall include a test (or tests) that covers one or more of these environmental parameters. For
each test, the evaluation conditions specification addressed by ISO/IEC 29197 evaluation methodology
shall be in accordance with the environmental parameter to study in such a test.
5.2.3 Specific characteristics of biometric modules of the European ABC systems
Firstly, regarding the biometric functions, European ABC systems are biometric systems where the
verification process is composed of two separate steps: capture and verification sub-processes (See
CEN/TS 16634:2014, Personal identification — Recommendations for using biometrics in European
Automated Border Control, 5.1.2). Enrolment is usually a process that is carried out in previous steps,
with a careful control of the overall process and usually at indoor conditions. Therefore, the application
of ISO/IEC 29197 evaluation methodology to this kind of systems should not cover the enrolment
process. If this process is necessary for the tests because it has not been done before, it should be
conducted considering the standard conditions and only at REE in case of biometric performance
scenario evaluations.
Also, there are two general types of European ABC systems in relation to their use of the biometric
references, token-based or tokenless. The verification sub-process of a token based ABC system entails
a verification (i.e. a 1:1 comparison) whereas the verification sub-process of a tokenless based ABC
systems entails an identification (i.e. a 1:N comparison). As a result, the specification of the
ISO/IEC 29197 methodology to these systems considers either verification or identification
mechanisms.
Secondly, regarding the physical and user interface features, European ABC systems are biometric
systems which may have different topologies and should follow certain recommendations for
improving the quality of the acquired biometric samples and its usability (See CEN/TS 16634:2014,
Personal identification — Recommendations for using biometrics in European Automated Border
Control, 5.1 to 5.4). The most relevant are related to the following aspects:
— localization of the capture unit;
— user guidance (i.e. visual and audible instructions and indications, etc); and
— feedback (i.e. displays, LEDs, etc).
Therefore, when applying the ISO/IEC 29197 evaluation methodology to European ABC systems,
requirements for the test environment and for the guidance and training of the test crew shall be
defined in accordance with these characteristics and recommendations.
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Finally, regarding the biometric performance rates, European ABC systems should meet specific FAR
and FRR error rates (See CEN/TS 16634:2014, Personal identification — Recommendations for using
biometrics in European Automated Border Control, 5.2.2, 5.3.2 and 5.4.2). Consequently, results
obtained when applying the ISO/IEC 29197 evaluation methodology shall be reported considering
these values.
5.2.4 Privacy and data protection legislation of the European ABC systems
European ABC systems are systems subjected to privacy and data protection legislation (e.g.
Directive 95/46/EC). Operational data stored in this kind of systems shall 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). As a
result, logging, data protection and privacy requirements shall be also applied to data collected and
stored when conducting an ISO/IEC 29197 evaluation in case of these systems.
6 Evaluation conditions specification
6.1 Introduction
The first step for performing an ISO/IEC 29197 evaluation is to define the evaluation conditions. This
process entails two tasks which depend on the type of biometric performance tests (i.e. scenario and
operational evaluations).
For scenario evaluations these tasks are the definition of the environmental parameters to be assessed
and controlled, and the specification of the measuring points and set points for such parameters
considering the different evaluation environments (i.e. REE and TEE) and the different biometric
functions (i.e. enrolment and verification/identification).
Regarding operational evaluations, these tasks are the definition of the environmental parameters to be
assessed and the specification of the expected operational range for such parameters.
Parties involved in the evaluation shall select which of these tests want to conduct and specify some
options that will depend on the particular ABC system to test and the objectives of the evaluation (e.g.
whether it is known the expected operational environment or not, the facilities for carrying out the
evaluation).
6.2 Tests for the environmental influence evaluation of European ABC systems
6.2.1 General
ISO/IEC 29197 establishes three different kinds of evaluations: one type for the analysis of the influence
of one, a second type for the analysis of the influence of a combination of environmental parameters,
and a third type for the analysis of the influence of a specific evaluation environment. This clause
defines tests regarding the first and the third types of evaluations including the second type a special
case of the third type of evaluation.
6.2.2 Tests for analysing the influence of one environmental parameter
6.2.2.1 Overview
These tests are used to analyse the influence of one environmental parameter on biometric system
performance separately. For conducting them, it is recommended to define a set of evaluation
conditions (i.e. REE and TEEs) and carry out a biometric performance scenario evaluation in each
condition. As a result, these tests have been defined considering the ISO/IEC 29197 model for scenario
evaluations.
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In general, the environmental parameters to assess have been selected according the parameter to be
studied (i.e. temperature, humidity or illumination) respectively. In addition, the value of this
parameter has been selected according to possible extreme conditions.
NOTE Extreme conditions entail extreme operational environments for which it is essential to study whether
European ABC systems are able to work properly or not.
Likewise, the environmental parameters to control have been selected considering the rest of
environmental parameters that may affect a European ABC system in a greater extent (See 5.2.1). The
values for these conditions have been set to the standard conditions values.
6.2.2.2 Evaluation conditions for each test
6.2.2.2.1 General requirements
All tests shall meet the following requirements:
— the values of the environmental parameters to assess and control for enrolment and
verification/identification processes at the REE shall be the standard conditions values addressed
in 6.2.2.2.2;
— the values of the environmental parameters to control for verification/identification processes at
the TEE shall be the standard conditions values addressed in 6.2.2.2.2;
— the values of the environmental parameters to assess for verification/identification processes at
the TEE shall be specified in accordance to the values for each type of test established in 6.2.2.2.3
for temperature tests, 6.2.2.2.4 for humidity tests and 6.2.2.2.5 for illumination tests.
NOTE Enrolment process at the TEE i
...