T-ZSA 177-2023 基于人脸与虹膜的面部多模态识别设备技术规范

学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载ICS

学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载CCS

团 体 标 准T/ZSA

177-2023基于人脸与虹膜的面部多模态识别设备技术规范Technical

facial

multi-modal

recognition

device

based

on

faceand

iris2023-11-24发布2023-11-25实施中关村标准化协会发布学兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准兔下载学兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准兔下载学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

II

...........................................16

.......................................................24

..................................................... 26

28学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA177—2023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载本文件按照GB/T

1.1—2020《标准化工作导则

第1部分：标准化文件的结构和起草规则》的规定本文件由中关村标准化协会人工智能分技术委员会提出并归口。文件草单：北眼神能科有限司、中国子技标准研究、蚂科技团股II学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

本文件确立了基于人脸与虹膜的面部多模态识别设备的产品构成，规定了基于人脸与虹膜的面部

列文中的容通文中规范引用构成本文必不少的款。中，日期引用，仅该日对应的版适用于本件；不注期的用文件，最新版本包括所有修改单）GB/T

GB/T

20145—2006

GB/T

33767.6

GB/T

36460—2018

GB/T

3.1

multi-modal

1：

2：

5271.3720213.2

facial

multi-modal

recognition3.3

facial

sample学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA177—2023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载3.4

facial

feature3.5

facial

3.6

对解剖学特征、无意识或有意识的反应的度量和分析，以确定面部样本是否来自于有生命体征的3.7

fusion

20183.3]3.8

module3.9

fusion

in

脸与虹膜的采集融合过程，通过人脸检测等算法为虹膜采集处理提供人眼位置，或者，据人脸姿3.10

identification

at

3.11

enroll

set学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载3.12

set3.13

sample

subject

FAR：错误接受率（False

Acceptance

FRR：错误拒绝率（False

Rejection

活体检测错误接受率（Liveness

Acceptance

活体检测错误拒绝率（Liveness

5.1

按照GB/T

36460—2018的规定，面部多模态识别设备包括采集融合、样本融合、特征融合、分数——样本融合即每个单一生物特征识别过程输出一组样本，将多组生物特征样本数据融合为一个——特征融合即每个单一生物特征识别过程输出一组特征，将多组生物特征融合为一个特征集或——分数融合即每个单一生物特征识别过程通常输出单一匹配分数，也可能是多个分数。将多个——决策融合即每个单一生物特征识别过程输出一个布尔值。利用“或规则”或“与规则”的逻5.2

品由脸与膜的像采、样处理特征比对决策输出功能块组，并过融块实现生特征融合外联系统与产品相的系或装置，用于面部物特征远识别、产学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA177—2023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载图1

和辨识(1:N比对)两种比对方式；验证/辨识决策：根据相似度得分和决策逻辑给出决策结果，包括验证决策和辨识决策两种，其中，验证决策结果将给出成功匹配者的用户标识，辨识决策结果将给出成功匹配候选者的处理结果/识别结果输出：输出所采集的面部样本或面部特征信息，或者，验证/辨识决策5.3

册和别为品的备功，其，注分为现场册和现场册两方式现场册的学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载a) b)

用户册和别过中，在图采集样本处理特征对和策等段进融合如：采集阶段用采集融方式、样处理阶段用特融合方式特征比对段采用分融合方式决策阶段采用决策融合方式。相关融合方式的实现参考GB/T

36460—2018的第5章。融合方式的选择取

6.1

品的部件紧固松动安装抽换件的接插应能靠连，键、开按钮其他6.2

学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA177—2023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

6.2.1.1

nm～900

宜采用采集融合方式，具体实现过程可参见附录A.2.1；

6.2.1.2

6.2.1.3

注：对于假体攻击的防范，除了活体检测功能外，有时也需要通过识别功能来做进一步的确认，如：攻击者佩戴

非现场注册：从外部批量输入/导入面部样本或面部特征模板，在产品内完成用户注册。

1:1

学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

识；识方下，对相度得合中大于定阈候选，则定最

采用分数融合方式时，分别进行人脸比对和虹膜比对，并将二者的相似度得分进行融合，然后将融合分数与阈值

采用决策融合方式时，分别进行人脸比对和虹膜比对，并将二者的比对结果进行决策融合，根据决策逻辑输出识

a) 产生日志记录的事件包括注册、识别、注销及参数设置等事件；b) 对于每一个事件，日志记录宜包括事件发生时间、事件类型、用户、事件内容、设备信息及操作人员等；c)d) e)

6.2.10

学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA177—2023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载6.3

a)

人脸样本满足GB/T

b)

虹膜样本满足GB/T

2s；

2s。

0.001%时，FRR应不大于1%。

在LDFAR不大于1%时，LDFRR应不大于1%。6.4

a)

1：

2：b)

c)

d)

e)

f)

g)

品应有不使用限管功能在注、注销、询、数设等操中具相关授权学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

GB/T

20145—2006

4.3

6.5

a) 在均匀光照环境下，产品的最高适应光照大于等于3000

b) 在均匀光照环境下，产品的最低适应光照小于等于100

lux。6.6

7.1

℃～35

——大气压：86

kPa～106

a)

2.0GHz

1GB；b) 软件平台：主流操作系统。

的规定。

a) b)识别性能测试软件。用于验证性能和辨识性能的测试，主要功能包括测试数据的导入、导出算法等。到产容量行效通信销等，识能测件可计为学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA177—2023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载别性试软通过与受样品通信过接调用实现法运

PC

端的算法动态库模拟受试样品，并由识别性能测试软件调用算法动态库，以实现算c)

别性标统件。于统析比果记表并识别指标般由测机7.2

用白色棉布蘸水或蘸酒精擦拭产品标识15s，判断是否符合6.1.1

7.3

7.3.1.1

试样加电动后按照品使明书规定步骤检查试样品是能进行样本采采集不少于10名测试人员的面部样本，采集过程中，检查产品以下功能是否符合要求：将受试样品移至暗处（低于100

lux）,检查样品是否自动补光且正常工作。采用分析光谱仪测试样品的光谱中心波长，重复测试三次，统计其平均值，是否符合6.2.1.1

检查受试样品是否自动感知、判断人体身高和位置，且适应身高范围符合6.2.1.1

检查受试样品是否能够通过调整补光灯角度、变换补光位置等方式处理光斑遮挡虹膜问题；7.3.1.2

行用注册识别能，试人通过出采集区、面遮挡增大态角佩戴镜等，检查受样品否能通过量判断或合格判定，并语音、图文字、灯等方提示失败7.3.1.3

执行用户识别功能，按照表1选择假体攻击类型进行测试，检查受试样品是否能进行活体检测，并注册测试员佩抠除部区的人面具，执用户别操，检是否配通，如

现场注册方式下，按照产品使用说明书中规定的步骤，10名测试人员依次注册，检查受试样品的10学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载失败、样本质量不合格、检测到假体攻击、面部特征提取失败、模板构建及存储失败等异常非现场注册方式下，将不少于100个测试样本及身份信息批量导入受试样品，检查受试样品的注册

成注册功能试验后对已册人进行别，查测人员是否正常别并出识结果验证方式：已注册或未注册的测试人员通过刷卡或输入编号等形式进行

1:1

比对，检查测试辨识方式：已注册人员进行

1:N

比对，检查受试样品是否能正确辨认该人员并输出对应的用

1:N

照产品使用说明书规定步骤对已册人的面特征模板行删操作检查试样

a）对已注册人员的数据进行查询操作，检查受试样品在查询操作完成时是否有查询结果的显示；b）检查是否能查看已注册的用户数量，以及最大容量。如果超过最大容量，则不能再次进行注册，

照产品使用说明书规定步骤检查试样是否查看和修网络日期时间比对

11学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA177—2023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载照产使用明书行操，检受试品在注册识别销及数设等过中，否能定产生日志记录，日志不能有生特征数据明文、密信息安全参数并检查是禁止

进行册、别、销等作过中，查受试样是否通过示屏音、光或其它

按产品使用说明书的设置，在开启节能功能后，检查受试样品是否可以进入节能状态。7.3.10

查受样品否支刷卡密码证等他非生物征识方式并按产品用说明书7.4

将符合6.3.1中面部样本质量要求的M（M≥3000）个样本批量导入受试样品，受试样品给出成功注册数量S，按照公式（1）计算FTER。

×100%

照产使用明书定进现场册，录开始注时间注册成时，将者的值作

照产使用明书定进面部别，录开始识时间识别成时，将者的值作a)

b)

c)

d)

a)

b)

c)

d)

12学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载按照附录B的要求构建用于测评FRR和FAR的测试数据集，测试数据集包括注册集和探针集，本文件的FRR和FAR测评采用同一对注册集和探针集。测试样本包含从测试数据库中抽取的面部样本，且应包当进行FRR测试时，将注册集和探针集中同一样本主体的面部特征进行比对，共计S（S≥3,000） FAR（W>3,000,000）次，记录提示错误识别的次数N（2（3计FRR

按照附录B的要求构建用于测评首选识别率的测试数据集，测试数据集包括注册集和探针集，注册集的样本主体数量不低于10,000人，探针集的样本主体数量不低于3,000人，且探针集的样本主体在注集中已存。测试样包含从测数据库中取的部样本，应包含使受试样品测试现场试数集构完成，提注册和探集中测试本的部特。使探针中的部特到注册集中进行特征比对搜索，共计搜索Q轮（Q≥3,000）次，记录TOP1的次数N，按照公式（4）计首选识别率=

7.4.6.1

采用表1中一类或多类假体，对受试样品进行不少于3000次的识别攻击试验，记录误判为活体的次13

A4、A3

人脸仿真面具、3D

1010准ｏｍ标学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃ下载T/ZSA177—2023准ｏｍ标学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃ下载

LDFAR=A/B×100%

表1

7.4.6.2

测试人员不少于10人，站在受试样品前，总共进行不少于3000次的测试，记录受试样品给出无法LDFRR=C/D×100%7.5

a)

b)

c)

采集理、册、及传过程处理敏感据（户名生物、密d)

e)

别时非注用户查受样品具有时间时或识别次等措施f)

g)

试样加电动后按照品说书的关规定进各项能测，检正常，切电源

14学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

GB/T

20145-2006

7.6

照产品使说明中规的光适应改变试样所处光照境，最高应光照或7.7

15ｏｍ标准ｚｆｘｗ．ｃ学兔兔ｗｗｗ．ｂ下载T/ZSA177—2023ｏｍ标准ｚｆｘｗ．ｃ学兔兔ｗｗｗ．ｂ下载

A.1

部生特征合涉传感、模、算、实例或现等素，照生特征别的集、

表A.1的五种融合方式中，分数融合和决策融合属于通用融合方式，而采集融合和特征融合更适用如人脸与膜这种存依赖关系生物特征态，际中，面多模态识设备的融方式主要表A.1的五种融合方式中，分数融合和决策融合属于通用融合方式，而采集融合和特征融合更适用A.2

人脸虹膜像采过程，人采集自由度较，而膜采则需用户多的合，，产品可用人脸与膜的物理关性，通人脸虹膜的采融合来提虹膜采集客户体验

16学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

17学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA177—2023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

在虹膜采集之前，通过人脸大小判断人脸与采集装置的距离，进而调节摄像焦距或提示用户，目的是在合适的采

人脸在采集区域的上下位置可反应一个人的身高，产品可通过调节虹膜采集装置的拍摄角度以适应身高。同时，：虹膜采集中通常采用近红外补光技术，对于戴眼镜的用户，可能会在虹膜图像上产生“光斑”问题，因此，脸与膜的集融方式，主是通人脸检测采集置调等手自动应用身高

A.2

18学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

数融方式多个物特识别对分以既定策融合一个数或策，提高统的

A.3。

A.3

19学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA177—2023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

Z-分数的归一化方式；

�

��

����

(a

(b

―比对子系统A输出的比对得分的估计平均值；

―比对子系统A输出的比对得分的估计标准差；

―比对子系统B输出的比对得分的估计平均值；

―比对子系统B输出的比对得分的估计标准差。数融适用各种物特模态融合的结果一都会于单态。关阈的训和确

A.2.3.1

策融分为单和级两形式简单策融合是人脸对结和虹比对果进“或”或“与规则逻辑运算并输出融后的逻辑，用以判生物征识别是通过。高融合分为种，即：层系统和联系统，层系是通过前个生物特比对结果调节后续特征的匹阈值并完全部模态物特征比的决融合系统而级联系是串联的规则”决A.2.3.2

20学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

A.4

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联系决策合中至少输入种样，若第一样本对不足要，则要输其他

A.5

22学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA

1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载述示是按先人、后膜的对顺，也可以照先膜、人脸比对序。际中23学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA177—2023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

B.1

试数库由试数集组，测数据分为注册和探集两。测数据的大和比数对测量误率等性指标有一影响，测数据越大，测结果的可性越高。试样本数和比对次数可参

GB/T

29268.1—2012

附录

中的规则

30，根据该规则可以估算测试指标项所对应B.2

50%±5%；

样本年龄分布：11～15

10%±5%，16～59

70%±5%、60

建测试数集时，每至少采集

面部样本其中

用于注册，另

或多份可于探B.3

基于规则

30，根

指标准确度要求，

可推测出测试数据集中样本数的最小示例：

3000

B.4

识别性能包括验证性能和辨识性能，验证性能指标为

FRR

FAR，辨识性能指标为首选识别率

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1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载

B.1

30

注1：基于规则30，当测试中出现30次错误次数时，对应的比对次数不低于表B.1给出的最少数量时，即可以认为注1：基于规则30，当测试中出现30次错误次数时，对应的比对次数不低于表B.1给出的最少数量时，即可以认为注3：FRR测试时，探针集样本主体在注册集中存在，FAR测试时，探针集样本主体在注册集中可存在。首选识别率表B.1按照不同指标项给出了测试数据集样本数及比对/搜索次数的最少数量，可以根据需要加大25a1a2a3anb1b2b30,12.651,100.00bn

xx

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C.1

试数集分注册和探集两，用

示注集，

示探集。部样由三图片

bm

CSV

C.2

C.1

C.1

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xx

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27学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载T/ZSA177—2023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载[1]

GB/T

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[2]

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[3]

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[4]

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40660—2021

[5]

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40784.1-2021

信息技术

用于互操作和数据交换的生物特征识别轮廓

[6]

GB/T

41815.1—2022

[7]

GB/T

41819—2022

[8]

GB/T

41987—2022

28学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载ICS

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1772023学兔兔ｗｗｗ．ｂｚｆｘｗ．ｃｏｍ标准下载6.2.1.2

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