BioCTS 2012 for AN-2011 

User Guide

NIST/ITL CSD Biometric Conformance Test Software for 

ANSI/NIST-ITL 2011

August 2012

Fernando Podio

NIST/ITL CSD Project Manager

Dylan Yaga

NIST/ITL CSD Lead Software Designer

Christofer J. McGinnis

ID Technology Partners (NIST Contractor) Software Developer 

National Institute of Standards and Technology (NIST)

Information Technology Laboratory (ITL)

Computer Security Division (CSD)
1. Contents

1. Contents................................................................................................................................................2

2. Disclaimer..............................................................................................................................................3

3. Overview ...............................................................................................................................................4

3.1. Requirements................................................................................................................................4

4. Relevant Standards, Limitations and Additions from the Standard .....................................................5

4.1. Relevant standards and specifications..........................................................................................5

4.2. Test Limitations and/or Additions From the Standards................................................................5

5. Guide.....................................................................................................................................................8

5.1. Download and Installation............................................................................................................8

5.2. Running the Conformance Test Architecture ...............................................................................9

5.3. Conformance Test Architecture Features.....................................................................................9

5.3.1. Batch Testing.........................................................................................................................9

5.3.2. Editor...................................................................................................................................13

5.3.3. Options................................................................................................................................17

5.4. Anatomy of a Result....................................................................................................................18
2. Disclaimer

NIST/ITL BioCTS 2012

For AN-2011

October 2010

The software was developed by the National Institute of Standards and Technology (NIST), an agency of the Federal 

Government. Pursuant to Title 15 United States Code Section 105, works of NIST are not subject to copyright protection in the 

United States and are considered to be in the public domain. Thus, the software may be freely reproduced and used. Please 

explicitly acknowledge the National Institute of Standards and Technology as the source of the software.

This software is released by NIST as a service and is expressly provided "AS IS." NIST MAKES NO WARRANTY OF ANY KIND, 

EXPRESS, IMPLIED OR STATUTORY, INCLUDING, WITHOUT LIMITATION, THE IMPLIED WARRANTY OF MERCHANTABILITY, 

FITNESS FOR A PARTICULAR PURPOSE, NON-INFRINGEMENT AND DATA ACCURACY. NIST DOES NOT REPRESENT OR WARRANT 

THAT THE OPERATION OF THE SOFTWARE WILL BE UNINTERRUPTED OR ERROR-FREE, OR THAT ANY DEFECTS WILL BE 

CORRECTED.

NIST does not warrant or make any representations regarding the use of the software or the results thereof, including but not 

limited to the correctness, accuracy, reliability or usefulness of the software. By using this software or by incorporating this 

software into another product, you agree to hold harmless the United Sates Government for any and all damages or liabilities 

that arise out of such use.

Certain trade names and company products are mentioned in the text or identified. In no case does such identification imply 

recommendation or endorsement by the National Institute of Standards and Technology, nor does it imply that the products 

are necessarily the best available for the purpose. With the exception of material marked as copyrighted, information 

presented in this document is considered public information and may be distributed or copied. Use of appropriate 

byline/photo/image credits is requested.
3. Overview

This document describes the features of the Biometric Conformance Test Software 2012 (BioCTS 2012) 

for ANSI/NIST-ITL 1-2011 (AN-2011) developed by NIST/ITL Computer Security Division. BioCTS 2012 for 

AN-2011 implements all test assertions specified in NISTIR 7806, “ANSI/NIST-ITL 1-2011 Requirements 

and Conformance Test Assertions” with additional updated assertions developed after the NISTIR was 

published. 

3.1. Requirements

 Supported Microsoft® Operating Systems

o Windows® XP TM Service Pack 3

o Windows® Vista TM Service Pack 2

o Windows® 7

TM Service Pack 1

 Microsoft® .NET 4.0 Framework

o Microsoft® .NET 4.0 Web Installer (http://www.microsoft.com/enus/download/details.aspx?id=17851)

o Microsoft® .NET 4.0 Stand Alone Installer (http://www.microsoft.com/enus/download/details.aspx?id=17718)

o Links working as of 6/12/2012
4. Relevant Standards, Limitations and Additions from the Standard

4.1. Relevant standards and specifications

The relevant standard is ANSI/NIST-ITL 1-2011, NIST Special Publication 500-290 Data Format for the 

Interchange of Fingerprint, Facial & Other Biometric Information.

The test tool implements all test assertions specified in NISTIR 7806, “ANSI/NIST-ITL 1-2011 

Requirements and Conformance Test Assertions” with additional updated assertions developed after 

the NISTIR was published.

4.2. Test Limitations and/or Additions From the Standards

The only known discrepancies between BioCTS 2012 for AN-2011 and the ANSI/NIST ITL-2011 standard 

are those outlined in the table below. The Table identifies and provides justification for all exceptions 

present in the tables. 

Exception Section Requirement Summary Justification

Domain 

Names / 

Application 

Profile 

Specificatio

ns

5.3.2 Data contained in this record shall conform in format and content 

to the specifications of the domain name(s) as listed in Field 1.013 

Domain name / DOM found in the Type-1 record, if that field is in 

the transaction. The default domain is NORAM. Field 1.016 

Application profile specifications / APS allows the user to indicate 

conformance to multiple specifications. If Field 1.016 is specified, 

the Type-2 record must conform to each of the application 

profiles. 

A DOM or APS reference uniquely identifies data contents and 

formats. Each domain and application profile shall have a point of 

contact responsible for maintaining this list. The contact shall 

serve as a registrar and maintain a repository including 

documentation for all of its common and user-specific Type-2 data 

fields. As additional fields are required by specific agencies for 

their own applications, new fields and definitions may be 

registered and reserved to have a specific meaning. When this 

occurs, the domain or application profile registrar is responsible 

for registering a single definition for each number used by 

different members of the domain or application profile .

The format and content of 

the record are defined by 

the DOM or APS. Each 

DOM and APS has related 

record-content definitions 

that may be updated. The 

evolving nature of the 

DOM and APS definitions 

and nature of using 

registrars makes testing for 

conformance via the CTS 

very difficult.

6 An implementation domain, coded in Field 1.013 Domain name / 

DOM of a Type-1 record as an optional field, is a group of 

agencies or organizations that have agreed to use preassigned data 

fields with specific meanings (typically in Record Type-2) for 

exchanging information unique to their installations. The 

implementation domain is usually understood to be the primary 

application profile of the standard.

New to this version of the standard, Field 1.016 Application 

profile specifications / APS allows multiple application profiles to 

be referenced. The organization responsible for the profile, the 

profile name and its version are all mandatory for each application 

Since the “transaction 

must conform to each 

profile” included in the 

field, and those profiles are 

defined by the listed 

agency, the CTS would 

have to retrieve the latest 

requirements from the 

agency. 

Also, testing that all 

specified DOM and APS 

have the same definitions 
profile specified. A transaction must conform to each profile that 

is included in this field. It is possible to use Field 1.016 and / or 

Field 1.013.

A specified implementation domain and specified application 

profiles must all have the same definition for fields, subfields and 

information items that are contained in the transaction.

for fields, subfields, and 

information items is not 

feasible.

Alternate

Character 

Sets

5.6,

Table 2

Field 1.015 Character encoding/DCS is an optional field that 

allows the user to specify an alternate character encoding... Field 

1.015 Character encoding/DCS contains three information items: 

the character encoding set index/ CSI, the character encoding sent 

name/CSN, and the character encoding set version/CSV. The first 

two items are selected from the appropriate columns of Table 2.

Table 2 lists ASCII, UTF16, UTF-8, and UTF-32 as 

possible encodings. 

However, the table also 

allows “User-defined” 

character encoding sets. 

Testing for conformance to 

user-defined character 

encoding sets is not 

feasible for the CTS. 

Further research is needed

to support Character sets 

other than 7-bit ASCII.

Alternate 

Coordinate 

System

7.7.3,

Table 4

The ninth information item is the geodetic datum code / GDC10. It 

is an alphanumeric value of 3 to 6 characters in length. This 

information item is used to indicate which coordinate system was 

used to represent the values in information items 2 through 7. If no 

entry is made in this information item, then the basis for the values 

entered in the first eight information items shall be WGS84, the 

code for the World Geodetic Survey 1984 version - WGS 84 

(G873). See Table 4 for values.

Table 4 lists 22 coordinate 

systems and the option to 

include “Other” types as 

well. It is not feasible for 

the CTS to test 

conformance to all 

coordinate systems, 

specifically those that are 

listed by the user under 

“Other”. 

7.7.3 A fourteenth optional information item geographic coordinate 

other system identifier / OSI allows for other coordinate systems. 

This information items specifies the system identifier. It is up to 

10 characters in length. Examples are:

• MGRS (Military Grid Reference System)

• USNG (United States National Grid)

• GARS (Global Area Reference System)

• GEOREF (World Geographic Reference)

• LANDMARK (e.g. hydrant) and position relative to the 

landmark.

A fifteenth optional information item, is the geographic coordinate 

other system value / OCV. It shall only be present if OSI is present 

in the record. It can be up to 126 characters in length. If OSI is 

LANDMARK, OCV is free text and may be up to 126 characters. 

For details on the formatting of OCV for the other coordinate 

systems shown in OSI as examples, see http://earthinfo.nga.mil/GandG/coordsys/grids/referencesys.html 

While some examples are 

listed (MGRS, USNG, 

GARS, GEOREF, 

LANDMARK), there may 

be others that are not 

listed. It is not feasible for 

the CTS to test 

conformance to these 

coordinate systems, 

specifically those that may 

be included but are not 

listed as examples. 

Subject 

Acquisition 

Profiles

7.7.5,

Table 

8, 

A subject acquisition profile is used to describe a set of 

characteristics concerning the capture of the biometric sample. 

It is not feasible to test if 

the image was captured 

under the conditions 
SAP/FAP/I

AP

Table 

9,

Table 

10

These profiles have mnemonics SAP for face, FAP for fingerprints 

and IAP for iris records.

specified by the SAP, FAP 

or IAP level as defined in 

Tables 8, 9 and 10. 

However, the fields will be 

tested for valid level 

values. 

Open and 

Closed 

Paths

7.8 Several Record Types define open paths (also called contours or

polylines) and / or closed paths (polygons) on an image. They are 

comprised of a set of vertices. For each, the order of the vertices 

shall be in their consecutive order along the length of the path, 

either clockwise or counterclockwise. (A straight line of only two 

points may start at either end). A path may not have any sides 

crossing. No two vertices shall occupy the same position.

There may be up to 99 vertices.

An open path is a series of connected line segments that do not 

close or overlap. A closed path (polygon) completes a circuit. The 

closed path side defined by the last vertex and the first vertex shall 

complete the polygon. A polygon shall have at least 3 vertices. 

The contours in Record Type-17: Iris image record can be a circle 

or ellipse. A circle only requires 2 points to define it (See Table 

16).

There are two different approaches to the paths in this standard. 

The 2007 and 2008 version of the standard used paths for Field 

14.025: Alternate finger segment position(s) / ASEG.

That approach has been retained in this version for all paths except 

in the Extended Feature Set (EFS) of Record Type-9. The EFS 

adopted an approach expressing the path in a single information 

item, which is different than that used in other record types.

Further research is needed 

to determine the feasibility 

of testing for: 

-simple, plane figure

-no sides crossing

-no interior holes
5. Guide

5.1. Download and Installation

Download the installer from the website http://www.nist.gov/itl/csd/biometrics/biocta_download.cfm .

After the download completes, run the install program Programs and follow the on screen instructions 

presented in the dialog boxes.
5.2. Running the Conformance Test Architecture

To run the CTA software from the Start menu: 

Select All Programs then select NIST BioCTS, then select AN-2011 and click on BioCTS_AN2011

5.3. Conformance Test Architecture Features

5.3.1. Batch Testing

The “Batch Test” tab allows multiple transactions (files) to be tested in groups, and displays the 

overall results for each transaction in the “Files Under Test” pane. 

Figure 1 - Empty Batch Test Tab
Several files can be loaded at once.

Figure 2 - Files Loaded into the Batch Test Tab
The “Batch Test” tab will display the transaction’s overall result with either:

 - Overall Result of Fail

 - Overall Result of Pass

Figure 3 - Batch Test tab showing Overall Results
Textual output results for each transaction can be viewed by clicking on the desired filename in 

the “File Under Test” pane. The complete textual results are displayed in the pane to the right.

Figure 4 - Batch Test Tab with a Transaction Selected and Results Displayed in Right Pane
5.3.2. Editor

The editor is designed to display as much information as possible upon demand; the editor 

makes use of expander sections, which can be expanded to display more information by 

pressing the button within sections.

There are currently 2 limitations in the editor:

1. New Items (Records, Fields, Subfields, Information Items) cannot be added

2. Items (Records, Fields, Subfields, Information Items) cannot be removed 

The editor displays the data and associated results in an expandable, hierarchical format, and 

allows editing of existing data using text fields.

Figure 5 - The Editor with a Passing Transaction Loaded
The Editor displays results in expander sections where appropriate.

Figure 6 - The Editor Tab with a Passing Transaction Loaded - Displaying Transaction Level Results
When a record is expanded, the Editor displays a list of the fields contained in the record. Each 

field may also be expanded to reveal the data contained within and the associated results.

Figure 7 - Editor Tab with Record Type 1 Expanded; revealing collapsed Fields within the Record
When expanded, a field displays expanders for the field-evel results and the data that is held 

within the field.

The values in the data text fields can be edited. Two buttons are provided to assist when a large 

amount of data is being manipulated (such as in an image field):

 Loads data into the contents of a field/subfield/information item

 Saves the contents of a field/subfield/information item

Figure 8 - The Editor Tab with Record Type 1 expanded with Field 1.001 expanded
5.3.3. Options

The “Options” tab provides options for output file type and save location.

The time-stamped folder format:

 yyyy – 4 digit year (e.g. 2012)

 MM – 2 digit month (e.g. 10)

 dd – 2 digit day (e.g. 31)

 HH – 2 digit hour in 24-hour scale (e.g. 13)

 mm – 2 digit minutes (e.g. 59)

 ss – 2 digit seconds (e.g. 22)

In the example provided below:

 Text Output will be generated in the directory:

C:\Users\dyaga\Desktop\BioCTS 2012 for AN-2011 Output\2012.10.31.13.59.22\Text Output

 XML Output will be generated in the directory:

C:\Users\dyaga\Desktop\BioCTS 2012 for AN-2011 Output\2012.10.31.13.59.22\XML Output

Figure 9 - The Options Tab
5.4. Anatomy of a Result

The result of any test is comprised of 5 elements:

 Test Level – Testing can take place at multiple levels

o Parse – A parsing error occurred with this element

o L1 – A level 1 test

o L2 – A level 2 test

o L3 – A level 3 test

 Test Name – A string to define what test took place

 Result Symbol – Displayed in the text output to help distinguish from passing results

o Warning – “---“

o Error – “***”

o Critical Error – “*!*”

 Test Result

o Ok – The test passed

o Warning – The test passed, but warranted a warning statement (i.e. used a 

“Unspecified” value, etc.)

o Error – The test failed

o Critical Error – The test failed and is preventing other tests from being 

performed

 Test Message – A description of what went on during the test, and possible error 

message

Test Level Test Name Test Message Test Result Result Symbol

Some color-coded example results:

In the Text log, a result is a single string per result:

L1 1.001-CharCount: 3 Greater Than Equal To 1 test results = Ok

*** L1 17.011-CharCount: 5 Is In Inclusive Range 3 to 4 test results = Error ***

In the XML log, a result is broken up in a similar way, however the Result Symbol is omitted:

<Result>

 <Level>L1</Level>

 <Message>3 Greater Than Equal To 1</Message>

 <Results>Ok</Results>

 <Test>1.001-CharCount</Test>

</Result>

<Result>

 <Level>L1</Level>

 <Message>5 Is In Inclusive Range 3 to 4</Message>

 <Results>Error</Results>

 <Test>17.011-CharCount</Test>

</Result>