Information technology — Biometric data interchange formats — Part 6: Iris image data

ISO/IEC 19794-6:2011 specifies iris image interchange formats for biometric enrolment, verification and identification systems. The image information might be stored as an array of intensity values optionally compressed with ISO/IEC 15948 or ISO/IEC 15444, or an array of intensity values optionally compressed with ISO/IEC 15948 or ISO/IEC 15444 that might be cropped around the iris, with the iris at the centre, and which might incorporate region-of-interest masking of non-iris regions. ISO/IEC 19794-6:2011 does not establish requirements on the optical specifications of cameras, requirements on photometric properties of iris images, or requirements on enrolment processes, workflow and use of iris equipment.

Technologies de l'information — Formats d'échange de données biométriques — Partie 6: Données d'image de l'iris

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INTERNATIONAL ISO/IEC
STANDARD 19794-6
Second edition
2011-10-01


Information technology — Biometric data
interchange formats —
Part 6:
Iris image data
Technologies de l'information — Formats d'échange de données
biométriques —
Partie 6: Données d'image de l'iris




Reference number
ISO/IEC 19794-6:2011(E)
©
ISO/IEC 2011

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ISO/IEC 19794-6:2011(E)

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©  ISO/IEC 2011
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,
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ii © ISO/IEC 2011 – All rights reserved

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ISO/IEC 19794-6:2011(E)
Contents Page
Foreword . iv
Introduction . v
1  Scope . 1
2  Conformance . 1
3  Normative references . 2
4  Terms and definitions . 2
5  Symbols and abbreviated terms . 3
6  Iris image content specification . 3
6.1  General . 3
6.2  Uncropped Iris Image . 4
6.3  VGA Iris Image . 4
6.4  Cropped Iris Image . 5
6.5  Cropped and Masked Iris Image . 6
7  Iris image format specification . 7
7.1  General . 7
7.2  Iris image biometric data record . 7
7.3  Iris general header structure . 8
7.4  Iris representation header structure . 8
7.5  Representation body . 12
8  Registered Format Type Identifier . 12
Annex A (normative) Conformance testing methodology . 14
Annex B (informative) Iris image capture . 15
Bibliography . 19

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ISO/IEC 19794-6:2011(E)
Foreword
ISO (the International Organization for Standardization) 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 to 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 and IEC have established a joint technical committee, ISO/IEC JTC 1.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of the joint technical committee is to prepare International Standards. Draft International
Standards adopted by the joint technical committee are circulated to national bodies for voting. Publication as
an International Standard requires approval by at least 75 % of the national bodies casting a vote.
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 responsible for identifying any or all such patent rights.
ISO/IEC 19794-6 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 37, Biometrics.
This second edition cancels and replaces the first edition (ISO/IEC 19794-6:2005), which has been technically
revised.
ISO/IEC 19794 consists of the following parts, under the general title Information technology — Biometric data
interchange formats:
 Part 1: Framework
 Part 2: Finger minutiae data
 Part 3: Finger pattern spectral data
 Part 4: Finger image data
 Part 5: Face image data
 Part 6: Iris image data
 Part 7: Signature/sign time series data
 Part 8: Finger pattern skeletal data
 Part 9: Vascular image data
 Part 10: Hand geometry silhouette data
 Part 11: Signature/sign processed dynamic data
 Part 13: Voice data
 Part 14: DNA data
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ISO/IEC 19794-6:2011(E)
Introduction
The purpose of this part of ISO/IEC 19794 is to define a standard for exchange of iris image information. This
part of ISO/IEC 19794 contains a specific definition of attributes, a data record format for storing and
transmitting the iris image and certain attributes, and conformance criteria.
Currently, exchange of iris information between equipment from different vendors can be done using images
of the eye. While some applications can successfully operate with full size uncompressed rectilinear images,
there are others for which this is expensive with respect to storage and bandwidth. To provide interoperability
among vendors, this part of ISO/IEC 19794 also defines compact representations of the human iris.
This part of ISO/IEC 19794 revises ISO/IEC 19794-6:2005 for interoperable iris data formats. The revision has
focused mainly on three sets of issues: (1) compact image data formats; (2) acceptable compression targets
and algorithms; and (3) specification of data to be included in records and record headers in coordination with
harmonization efforts across all the parts of ISO/IEC 19794, replacing the former header structures.
Before this revision, the standard iris image format was a 307 kB image array (640 x 480), with optional JPEG
compression (ISO/IEC 10918), but the recommended maximum compression factor was set arbitrarily at 6:1
(ISO/IEC 19794-6:2005, A.1.6). Meanwhile, academic papers appeared [5] showing that the 307 kB image
size could be reduced by about a factor of 150:1, to around 2 kB, with minimal impairment, provided that
JPEG2000 (ISO/IEC 15444) was the compression algorithm used, not JPEG (ISO/IEC 10918), and also that
cropping and region-of-interest masking was used. Small payload storage devices (e.g. ISO/IEC 7816
smartcard), and limited bandwidth transmission protocols, mandated that iris images be reduced to a few kB.
ISO/IEC 19794-6:2005 had attempted to provide for this by polar sampling of iris pixels, but vulnerabilities and
defects in polar methods were pointed out and so in January 2008, WG3 voted to remove the old polar
formats. NIST offered to undertake an extensive, independent, empirical investigation of various proposals
and compressibility claims, producing in late 2009 the Interoperable Iris Exchange (“IREX-1”) Report [8]. The
new image data formats in this part of ISO/IEC 19794 are based empirically on the IREX-1 conclusions. In
addition to the two new compact formats, iris images are also amenable to lossless compression. The lossless
PNG standard, ISO/IEC 15948, may be applied to preserve completely the iris texture while affording iris
image sizes in the range of 20 kB to 70 kB, well below those achievable for uncompressed images.
In addition, Annex A, when published as Amendment 1 of this part of ISO/IEC 19794, will include normative
assertions for testing conformance of iris image records. Annex B of this part of ISO/IEC 19794 gives
recommendations on iris image capture.
While the data structure advanced here is syntactically incompatible with the previous version, software
implementations can differentiate the records by inspecting the version number in the second four bytes of the
record.


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INTERNATIONAL STANDARD ISO/IEC 19794-6:2011(E)

Information technology — Biometric data interchange
formats —
Part 6:
Iris image data
1 Scope
This part of ISO/IEC 19794 specifies iris image interchange formats for biometric enrolment, verification and
identification systems. The image information might be stored as
 an array of intensity values optionally compressed with ISO/IEC 15948 or ISO/IEC 15444, or
 an array of intensity values optionally compressed with ISO/IEC 15948 or ISO/IEC 15444 that might
be cropped around the iris, with the iris at the centre, and which might incorporate region-of-interest
masking of non-iris regions.
This part of ISO/IEC 19794 does not establish
 requirements on the optical specifications of cameras, or
 requirements on photometric properties of iris images, or
 requirements on enrolment processes, workflow and use of iris equipment.
2 Conformance
A biometric data record conforms to this part of ISO/IEC 19794 if it satisfies all of the normative requirements
related to
 its data structure, data values and the relationships between its data elements, as specified
throughout Clause 7 of this part of ISO/IEC 19794, and
 the relationship between its data values and the input biometric data from which the biometric data
record was generated, as specified throughout Clause 6 of this part of ISO/IEC 19794.
A system that produces biometric data records is conformant to this part of ISO/IEC 19794 if all biometric data
records that it outputs conform to this part of ISO/IEC 19794 (as defined above) as claimed in the
Implementation Conformance Statement (ICS) associated with that system. A system does not need to be
capable of producing biometric data records that cover all possible aspects of this part of ISO/IEC 19794, but
only those that are claimed to be supported by the system in the ICS. The test for output record conformance
shall be conducted in accordance with the normative content of Annex A.
A system that uses biometric data records is conformant to this part of ISO/IEC 19794 if it can read, and use
for the purpose intended by that system, all biometric data records that conform to this part of ISO/IEC 19794
(as defined above) as claimed in the ICS associated with that system. A system does not need to be capable
of using biometric data records that cover all possible aspects of this part of ISO/IEC 19794, but only those
that are claimed to be supported by the system in an ICS.
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ISO/IEC 19794-6:2011(E)
3 Normative references
The following referenced documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
ISO/IEC 15444-1, Information technology — JPEG 2000 image coding system: Core coding system
ISO/IEC 15948:2004, Information technology — Computer graphics and image processing — Portable
Network Graphics (PNG): Functional specification
ISO/IEC 19794-1, Information technology — Biometric data interchange formats — Part 1: Framework
4 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 19794-1 and the following apply.
4.1
grey scale
continuous-tone image that has one component, which is luminance
4.2
iris
coloured annular structure in the front portion of the eye comprised of muscular and connective tissue and
pigmented layers, that defines the pupil and controls its size
4.3
iris centre
centre of a circle modelling the boundary between iris and sclera
4.4
iris radius
radius of a circle modelling the boundary between iris and sclera
4.5
limbus
outer boundary of the iris where it is joined to the sclera
4.6
margin
distance in an image from the iris-sclera border, when modelled as a circle, to the closest image border,
expressed in pixels
NOTE Throughout this part of ISO/IEC 19794, margins are defined in terms of the iris radius R. When written as an
ordered pair, the order is (horizontal, vertical).
EXAMPLE (0,6R, 0,2R) indicates that for an iris radius of R, there shall be margins of image data 0,6·R to the right
and left of the iris and 0,2·R above and below the iris.
4.7
Modulation Transfer Function
ratio of the image modulation to the object modulation as a function of spatial frequency
4.8
pupil
optical opening in the centre of the eye that serves as a variable light aperture and defines the inner boundary
of the iris
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ISO/IEC 19794-6:2011(E)
4.9
pupil centre
average of coordinates of all the pixels lying on the boundary of the pupil and the iris
4.10
round
mathematical function applied to a number x such that round(x) is the integer that is closest in value to x
4.11
sclera
generally white wall of the eye peripheral to the iris
4.12
spatial frequency
measure of the repetition rate of a sinusoidal intensity pattern in space, in units of cycles/deg or of cycles/mm
at a given target range
5 Symbols and abbreviated terms
For the purposes of this document, the following abbreviated terms apply.
BDIR
Biometric Data Interchange Record
JPEG2000
Joint Photographic Experts Group enhanced compression standard for images as defined in ISO/IEC 15444
PNG
Portable Network Graphics lossless compression standard for images as defined in ISO/IEC 15948:2004
VGA
Video Graphics Array image format having width 640 pixels and height 480 pixels
6 Iris image content specification
6.1 General
This clause establishes requirements on the semantic content of the images that are allowed by this part of
ISO/IEC 19794. These requirements relate to the geometric structure, pre-processing, compression protocol,
format, and dimensions of the image data. (Guidance on iris image capture is given in Annex B.) Image data
may be uncompressed or compressed. If uncompressed then it shall be represented as a two-dimensional
array of monochrome pixels, organised in row-major order, with the lowest address corresponding to the
upper left corner of the image. All uncompressed raw images shall have an 8 bit pixel depth. Images having a
pixel depth other than 8 bits shall be encoded using PNG or JPEG2000.
The remaining subclauses of clause 6 group these requirements according to the type of image. As shown
in Table 1, four image types are defined according to a hierarchy inherited from an unconstrained abstract
basic iris image. The associated type values are provided in clause 7.4.1. The requirements of clause 7
establish the encoding specifications for the image and its associated metadata.
NOTE The specifications of image types, compression protocols, formats and cropping dimensions in this edition of
this part of ISO/IEC 19794 have been determined by the NIST Interoperable Iris Exchange (IREX-1) study [8] (2009),
which was commissioned for this purpose.
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ISO/IEC 19794-6:2011(E)
Table 1 — Hierarchy of iris image types
 Margins Width and Data Size Compression
Height
FORMAT NAME Iris
Hori- Vertical Mode Method
Cen-
zontal
tring
IMAGE_TYPE_UNCROPPED no ≥0,6R ≥0,2R unspecified variable none n/a
variable lossless PNG or JPEG2000
variable lossy JPEG2000
IMAGE_TYPE_VGA no ≥0,6R ≥0,2R W = 640, 307,2 kB none n/a
H = 480
typically 70-140 kB lossless PNG or JPEG2000
variable lossy JPEG2000
IMAGE_TYPE_CROPPED yes =0,6R =0,2R unspecified variable none n/a
typically 40-70 kB lossless PNG or JPEG2000
typically 8-24 kB lossy JPEG2000
(see
(compact)

NOTE 4)
IMAGE_TYPE_CROPPED_AND yes =0,6R =0,2R unspecified variable none n/a
_MASKED
typically 20-50 kB lossless PNG or JPEG2000
typically 2-6 kB lossy JPEG2000
(compact)

NOTE 1 The application of lossy compression to IMAGE_TYPE_UNCROPPED images is not recommended for
images with spatial sampling rate below10 pixels/mm.
NOTE 2 Typical data sizes for IMAGE_TYPE_CROPPED and IMAGE_TYPE_CROPPED_AND_MASKED assume an
iris of about 120 pixels radius. Other sizes are listed as variable to reflect variations in spatial sampling rate and in iris size.
NOTE 3 The use of cropping, masking, or lossy compression may degrade iris recognition accuracy.
NOTE 4 For applications of 1:1 comparison, the compressed IMAGE_TYPE_CROPPED data size may be as low as 3 kB.
6.2 Uncropped Iris Image
An Uncropped iris image shall contain a raster scan image of a single eye. An example is shown in Figure 1.
For an iris radius of R, there shall be margins of image data at least 0,2R above and below the iris, and at
least 0,6R to the right and left of the iris. These margins of image data shall be acquired from the actual object
being imaged, not synthesised values. It is not assumed that the iris is centred within the image.
If Uncropped image data is compressed then ideally it should be compressed losslessly. PNG shall not be
used in its interlaced mode. If JPEG2000 is used, image data shall be stored in JPEG2000 format.
The Uncropped iris image type shall be identified in the record structure of clause 7 by assigning a value of 1
to the image type field on line 9 of Table 4.
6.3 VGA Iris Image
A VGA Iris Image is a special case of the Uncropped Iris Image; the image width shall be 640 pixels and the
image height shall be 480 pixels. Additional constraints of margins and container are inherited from the
Uncropped Image type in clause 6.2.
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ISO/IEC 19794-6:2011(E)
If images are compressed, then images shall be compressed in accordance with either PNG or JPEG2000 for
lossless compression, or JPEG2000 for lossy compression.
The VGA Iris Image type shall be identified in the record structure of clause 7 by assigning a value of 2 to the
type field on line 9 of Table 4.

Figure 1 — Example of Uncropped Iris Image or VGA Iris Image
6.4 Cropped Iris Image
A cropped version of a rectilinear iris image may be instantiated. This supports moderately compact storage. It
requires a coarse localization of the iris.
The cropped rectilinear image shall contain an iris centred relative to the geometric centre of the raster
representation. An example is shown in Figure 2.
The crop region shall be sized such that a margin 0,6R pixels wide is included on both the right and left sides
of the iris, where R is an estimate of the iris radius. Margins above and below the iris shall include 0,2R pixels.
Margin pixels shall represent actual sensor readings, not substitute values.
Parts of the iris estimated to have been cropped during capture (i.e. absent in the input image) shall be
replaced with pixels of value 0. Note that records with partially or fully missing iris data should not ordinarily be
generated; instead, the defect should be detected and another capture attempted.
The Cropped Iris Image type inherits all of the normative requirements of the Uncropped Iris Image type in
clause 6.2 with respect to compression.
The Cropped Iris Image type shall be identified in the record structure of clause 7 by assigning a value of 3 to
the type field on line 9 of Table 4.
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ISO/IEC 19794-6:2011(E)
Figure 2 — Example of Cropped Iris Image
6.5 Cropped and Masked Iris Image
6.5.1 General
A cropped rectilinear image may be masked to produce a highly compressible image. This masking operation
involves pixels in three regions: the upper and lower eyelids, and the sclera. At least one region shall be
masked. A mask shall consist of a single grey value assigned to a four-connected region of pixels. Examples
are shown in Figure 3. The utility of this approach has been documented in the academic literature [5].
The Cropped and Masked Iris Image type inherits all of the normative requirements of the Cropped Iris Image
type in clause 6.4 with respect to compression.
The Cropped and Masked Iris Image type shall be identified in the record structure of clause 7 by assigning a
value of 7 to the type field on line 9 of Table 4.
NOTE Masking serves compressibility only; the presence of a mask grey value cannot be used as a reliable
segmentation indicator. When an image is compressed the mask value might be altered by the compression algorithm.
6.5.2 Masking of the sclera
The pixels in the sclera region shall be substituted with a fixed mask value of 200. The sclera mask shall
extend to the first and last columns unless the upper and lower eyelids touch there.
6.5.3 Masking of the eyelids
The pixels in the upper and lower eyelid regions shall be substituted with a fixed mask value of 128.
The upper eyelid mask shall extend to the first (top) row of the image. The upper eyelid mask shall extend to
the leftmost and rightmost columns of the image. The lower eyelid mask shall extend to the last (bottom) row
of the image. The lower eyelid mask shall extend to the leftmost and rightmost columns of the image.

Figure 3 — Examples of Cropped and Masked Iris Images
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ISO/IEC 19794-6:2011(E)
6.5.4 Mask transition blurring
The transitions from iris and sclera regions to the eyelid mask regions, and from the iris to the sclera mask
regions, shall be locally smoothed to minimise the boundary’s impact on the compression coding budget.
The method shall be as follows: After the eyelid mask and the sclera mask values have replaced the original
image pixel values, the borders of these mask regions shall be smoothed by low-pass filtering. Each image
pixel, whose centred 7 x 7 neighbourhood contains at least one mask pixel, shall be replaced by a weighted
sum of a 7 x 7 binomial kernel. The coefficients of this kernel are defined by the outer product,
T  T
  K = 1/(64×64) UU where:  U = [ 1 6 15 20 15 6 1 ]
The border-smoothing pixel values shall be computed after the masking operation but before further pixel
replacement begins; and in the case of pixels that belong to both the iris-sclera mask transition and the iris or
sclera to eyelid transition neighbourhoods, the replacement values used shall be those of the eyelid border-

smoothing operation.
7 Iris image format specification
7.1 General
This clause specifies header and data structures that support storage of iris images in a compound biometric
data record.
Unless otherwise specified, all numeric values shall be encoded as fixed-length, unsigned integer quantities.
All header data shall be stored in network byte (big-endian) order. Where bit-level data definitions are
specified, bit 1 shall be interpreted as the least significant bit (LSB). Signed fields shall use 2’s complement
encoding.
7.2 Iris image biometric data record
Table 2 illustrates the structure of the iris image biometric data record. The record shall contain images from a
single individual. It shall have an iris general header that contains information about the number of images that
follow, the number of eyes represented and the total length. The record shall contain images from one or two
eyes. If the capture device is unable to determine which eye was presented, then the eye label shall be
entered as unknown, i.e., SUBJECT_EYE_LABEL_UNDEF = 0 = 00 .
Hex
Each iris image is preceded by an iris representation header as specified in clause 7.4, Table 4. Each image
shall be padded with extra bits, if necessary, to end on an integral byte boundary.
Table 2 — Iris image biometric data record
# Content Data Type
1 Iris general header Compound,
see Table 3
2 First Iris Compound, see
image representation Table 4
header
3 Image unsigned char
4 Second Iris see Table 4
image representation
header
5 Image unsigned char
6. Further . .
captures

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ISO/IEC 19794-6:2011(E)
7.3 Iris general header structure
The iris general header shall contain data values in the format shown in Table 3.
Table 3 — Iris general header
# Name Length Value Description
1 Format identifier 4 bytes
49495200 (‘I’ ‘I’ ‘R’ 00 ) The format identifier shall be recorded in four bytes. The
Hex Hex
format identifier shall consist of three characters “IIR”,
standing for iris image record, followed by a zero byte as a
NULL string terminator.
2 Version number 4 bytes
30323000 (‘0’ ‘2’ ‘0’ This number indicates the second version of this part of
Hex
00 ) ISO/IEC 19794 used for constructing the iris image data
Hex
record and shall be placed in four bytes. This version
number shall consist of three ASCII numerals followed by
a zero byte as a NULL string terminator.
32
3 Length of record 4 bytes 69 to 2 -1
The length (in bytes) of the entire iris image data record
shall be recorded in four bytes. This count shall be the

total length of the data block including the iris general
header and one or more representation records.
4 Number of iris 2 bytes 1 . 65 535
The total number of iris representations in this record. This
representations
shall be recorded in two bytes. A minimum of one
representation is required.
5 1 byte
Certification flag 00 No certification schemes are available for this part of
Hex
ISO/IEC 19794.
6 Number of eyes 1 byte 0, 1, 2
Assign 1 if left or right eye is known to be present.
represented
Assign 2 if left and right eyes are known to be present.
Assign 0 if the laterality of the eye image(s) is unknown.
The first representation follows this field.

7.4 Iris representation header structure
The iris representation header shall contain data values in the format shown in Table 4.
Table 4 — Iris representation header
# Name Length Valid values Description
32
1 Representation 4 bytes 53 to (( 2 −1) – 16) The representation-length field denotes the
Length length in bytes of the representation

including the representation header field.
2 Capture date 9 bytes See ISO/IEC 19794-1, clause 12.3.2 The capture date and time field shall indicate
and time
when the capture of this representation

started in Coordinated Universal Time
EXAMPLE:   Thursday 17:35:20 December 15, 2005
(UTC). The capture date and time field shall
is encoded as
consist of 9 bytes. Its value shall be encoded
in the form given in ISO/IEC 19794-1.
07 D50C 0F11 2314 FFFF
Hex
3 Capture device 1 byte
0 (00 ): Unknown or Unspecified The capture device technology ID shall be
Hex
technology
encoded in one byte. This field shall indicate
1 (01 ): CMOS/CCD
Hex
identifier
the class of capture device technology used
to acquire the captured biometric sample. A
value of 00 indicates unknown or
Hex
unspecified technology.
4 Capture device 2 bytes The capture device vendor identifier shall
0000 (Unspecified) or
Hex
vendor ID identify the biometric organisation that owns
Registered Value (IBIA or otherwise) the product that created the BDIR. The
capture device vendor identifier shall be
encoded in two bytes carrying a CBEFF
biometric organization identifier (registered
by IBIA or other approved registration
authority). A value of all zeros shall indicate
that the capture device vendor is unreported.
8 © ISO/IEC
...

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