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ASTM E3115-17

(Guide)

Standard Guide for Capturing Facial Images for Use with Facial Recognition Systems

Standard Guide for Capturing Facial Images for Use with Facial Recognition Systems

SIGNIFICANCE AND USE
4.1 The key factors that determine image quality for highly controlled facial images (for example: passports, police mugshots, drive motor vehicle, etc.) are well understood with respect to their use in automated FR systems and are a critical factor which directly affects the searching accuracy of the FR system.  
4.2 Image quality also plays a major role in determining the extent to which a trained facial examiner is able to reach a conclusion as to whether two images containing faces are likely to be of the same person or not. This applies to either reviewing a FR system candidate result set or 1:1 image comparisons.  
4.3 This guide provides guidance for the capture of facial images under controlled, semi-controlled, and uncontrolled scenarios for constraints which can be categorized into the following types of requirements:  
4.3.1 Scene, refers to the content, subject and background in the image,  
4.3.2 Photographic, refers to lighting, focus and other constraints required for image capture, and  
4.3.3 Digital, refers to the conversion of the captured image into a digital record.
SCOPE
1.1 This guide is intended for use by practitioners who are choosing, setting up, and operating photographic equipment designed to capture facial images for use with an automated Facial Recognition System or used for manual comparisons by a trained facial examiner. This guide provides an overview of how to achieve the specifications defined in Annex E of ANSI/NIST-ITL-1-2011, Update 2015, for capturing facial images.  
1.2 Annex E of ANSI/NIST-ITL-1-2011 defines a well-controlled capture environment and subject whereas this document will give guidance where tight controls in the capture environment and subject control cannot be achieved.  
1.3 This guide addresses equipment considerations for two-dimensional (2D) conventional images. It does not address video, scanners, or three-dimensional (3D) capture.  
1.4 The values stated in SI units are to be regarded as standard. The values given in parentheses are mathematical conversions to non-SI units that are provided for information only and are not considered standard.  
1.5 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standard to establish appropriate safety, health, and environmental practices and determine the applicability of regulatory limitations prior to use.  
1.6 This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.

General Information

Status
Historical
Publication Date
30-Nov-2017
ICS
35.240.15 - Identification cards. Chip cards. Biometrics
Technical Committee
E30 - Forensic Sciences
Drafting Committee
E30.12 - Digital and Multimedia Evidence
Current Stage
Ref Project

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ASTM E3115-17 - Standard Guide for Capturing Facial Images for Use with Facial Recognition SystemsASTM E3115-17 - Standard Guide for Capturing Facial Images for Use with Facial Recognition Systems
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ASTM E3115-17 - Standard Guide for Capturing Facial Images for Use with Facial Recognition Systems
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NOTICE: This standard has either been superseded and replaced by a new version or withdrawn.
Contact ASTM International (www.astm.org) for the latest information
Designation: E3115 − 17 An American National Standard
Standard Guide for
Capturing Facial Images for Use with Facial Recognition
1
Systems
This standard is issued under the fixed designation E3115; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope 2. Referenced Documents
2
1.1 This guide is intended for use by practitioners who are 2.1 ASTM Standards:
choosing, setting up, and operating photographic equipment E2916 Terminology for Digital and Multimedia Evidence
designed to capture facial images for use with an automated Examination
Facial Recognition System or used for manual comparisons by 2.2 Other Biometric Standards:
a trained facial examiner. This guide provides an overview of ANSI/NIST-ITL-1-2011, Update 2015 Data Format for the
how to achieve the specifications defined in Annex E of Interchange of Fingerprint, Facial and Other Biometric
3
ANSI/NIST-ITL-1-2011, Update 2015, for capturing facial Information
images. NIST Special Publication 500-280v2 Mobile ID Device Best
3
Practice Recommendation, Version 2.0
1.2 Annex E of ANSI/NIST-ITL-1-2011 defines a well-
controlled capture environment and subject whereas this docu-
3. Terminology
ment will give guidance where tight controls in the capture
3.1 Definitions:
environment and subject control cannot be achieved.
3.1.1 For terms relating to digital and multimedia evidence,
1.3 This guide addresses equipment considerations for two-
refer to Terminology E2916.
dimensional (2D) conventional images. It does not address
3.2 Definitions of Terms Specific to This Standard:
video, scanners, or three-dimensional (3D) capture.
3.2.1 fish eye effect, n—a type of distortion, where central
1.4 The values stated in SI units are to be regarded as objects of the image erroneously appear closer than those at the
standard. The values given in parentheses are mathematical edge typically resulting in what appear to be unusually large
conversions to non-SI units that are provided for information noses in the image.
only and are not considered standard.
3.3 Acronyms:
1.5 This standard does not purport to address all of the
3.3.1 2D—two-dimensional
safety concerns, if any, associated with its use. It is the
3.3.2 FR—facial recognition
responsibility of the user of this standard to establish appro-
priate safety, health, and environmental practices and deter- 4. Significance and Use
mine the applicability of regulatory limitations prior to use.
4.1 The key factors that determine image quality for highly
1.6 This international standard was developed in accor-
controlled facial images (for example: passports, police
dance with internationally recognized principles on standard-
mugshots, drive motor vehicle, etc.) are well understood with
ization established in the Decision on Principles for the
respect to their use in automated FR systems and are a critical
Development of International Standards, Guides and Recom-
factor which directly affects the searching accuracy of the FR
mendations issued by the World Trade Organization Technical
system.
Barriers to Trade (TBT) Committee.
2
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
1
This guide is under the jurisdiction of ASTM Committee E30 on Forensic contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
Sciences and is the direct responsibility of Subcommittee E30.12 on Digital and Standards volume information, refer to the standard’s Document Summary page on
Multimedia Evidence. the ASTM website.
3
Current edition approved Dec. 1, 2017. Published January 2018. DOI: 10.1520/ Available from National Institute of Standards and Technology (NIST), 100
E3115-17. Bureau Dr., Stop 1070, Gaithersburg, MD 20899-1070, http://www.nist.gov.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
1

---------------------- Page: 1 ----------------------
E3115 − 17
4.2 Image quality also plays a major role in determining the 5.1.4.1 There is sufficient and uniform lighting to capture all
extent to which a trained facial examiner is able to reach a visible skin characteristics (that is, blemishes, moles, marks,
conclusion as to whether two images containing faces are etc.).
likely to be of the same person or not. This applies to either
5.1.4.2 To avoid hot spots and shadows on the subject’s
reviewing a FR system candidate result set or 1:1 image
face.
comparisons.
5.1.4.3 The 0.3 m to 0.6 m (1 ft to 2 ft) distance (with or
without a backlight) between the background and the subject is
4.3 This guide provides guidance for th
...

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Standard Guide for Capturing Facial Images for Use with Facial Recognition Systems

SIGNIFICANCE AND USE
4.1 The key factors that determine image quality for highly controlled facial images (for example: passports, police mugshots, drive motor vehicle, etc.) are well understood with respect to their use in automated FR systems and are a critical factor which directly affects the searching accuracy of the FR system.  
4.2 Image quality also plays a major role in determining the extent to which a trained facial examiner is able to reach a conclusion as to whether two images containing faces are likely to be of the same person or not. This applies to either reviewing a FR system candidate result set or 1:1 image comparisons.  
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