Conformance Testing Methodology for 

ANSI/NIST-ITL 1-2011, Data Format 

for the Interchange of Fingerprint, 

Facial & Other Biometric Information 

Fernando L. Podio

Dylan Yaga

Christofer J. McGinnis

Special Publication 500-295

Revision 1

DRAFT
Conformance Testing Methodology for 

ANSI/NIST-ITL 1-2011, Data Format 

for the Interchange of Fingerprint, 

Facial & Other Biometric Information 

Fernando L. Podio

Dylan Yaga

Christofer J. McGinnis

Computer Security Division

Information Technology Laboratory

October 2013

Special Publication 500-295

Revision 1

DRAFT

U.S. Department of Commerce

Penny Pritzker, Secretary

National Institute of Standards and Technology

Patrick Gallagher, Under Secretary for Standards and Technology and Director
iii

Reports on Information Technology

The Information Technology Laboratory (ITL) at the National Institute of Standards and 

Technology (NIST) stimulates U.S. economic growth and industrial competitiveness through 

technical leadership and collaborative research in critical infrastructure technology, including 

tests, test methods, reference data, and forward-looking standards, to advance the development 

and productive use of information technology. To overcome barriers to usability, scalability, 

interoperability, and security in information systems and networks, ITL programs focus on a 

broad range of networking, security, and advanced information technologies, as well as the 

mathematical, statistical, and computational sciences. Special Publication 500-series reports on 

ITL's research in tests and test methods for information technology, and its collaborative 

activities with industry, government and academic organizations.

This draft publication is a contribution of the National Institute of Standards and Technology and is 

not subject to copyright. Any organization interested in reproducing “Conformance Testing 

Methodology for ANSI/NIST-ITL 1-2011 Data Format for the Interchange of Fingerprint, Facial & 

Other Biometric Information” is free to do so. However, there shall be no alteration to any of the 

material information contained in the publication. NIST retains the sole right to submit this 

publication to any other forum for any purpose.

Certain commercial entities, equipment, or materials may be identified in this document in order 

to describe an experimental procedure or concept adequately. Such identification is not intended 

to imply recommendation or endorsement by the National Institute of Standards and Technology, 

nor is it intended to imply that the entities, materials, or equipment are necessarily the best 

available for the purpose.

National Institute of Standards and Technology

Special Publication 500-295, Revision 1 - Draft

Natl. Inst. Stand. Technol.

327 pages 
iv

Foreword

The existence of biometric standards alone is not enough to demonstrate that products meet the 

technical requirements specified in the standards. Conformance testing captures the technical 

description of a specification and measures whether an implementation faithfully implements the 

specification. Conformance testing provides developers, users, and purchasers with increased 

levels of confidence in product quality and increases the probability of successful

interoperability.

Although no conformance test can be comprehensive enough to test all the different 

combinations of mandatory requirements of a standard and all possible combinations of 

conditional and optional characteristics that could be included in ANSI/NIST-ITL 2011 (AN2011) transactions, a well-designed conformance test tool that faithfully implements a standard 

conformance testing methodology could raise the level of confidence on the test results. 

Therefore, transactions tested with such a tool (and reported to be conformant to the standard), 

are more likely conform to the standard. 

Introduction

This draft revised version of the Conformance Testing Methodology (CTM) for AN-2011 adds 

to the initial version test assertions for Section 8.18 Record Type-18: DNA record, Annex C: 

NIEM Conformant encoding, and Annex G: Mapping to the NIEM IEPD. Modifications to 

existing assertions in NIST SP 295 were made to address errors and clarify the syntax. A 

comprehensive list of changes is documented in Annex B: Version History.

This document includes comprehensive tables of AN-2011 requirements and assertions for the 

selected Record Types supported by this publication. The tables of requirements and assertions 

indicate which assertions apply to the Traditional encoding format, which apply to the National 

Information Exchange Model (NIEM)-compliant encoding format, and which apply to both 

encoding formats. Test assertion syntax is specified to clearly define the assertions associated 

with each requirement. Some requirements are not supported by the testing methodology, and 

are identified as exceptions. When an exception is present, the requirement is listed in the tables, 

but no assertions are defined for that requirement. Justification is provided for each exception. 
v

Table of Contents

Foreword ............................................................................................................................ iv

Introduction........................................................................................................................ iv

1 Scope............................................................................................................................ 1

2 Conformance................................................................................................................ 2

3 Normative references .................................................................................................. 2

4 Terms and definitions.................................................................................................. 2

5 Conformance testing methodology............................................................................ 3

5.1 Functional documentation of requirements ............................................................. 3

5.2 Limitations and exceptions...................................................................................... 4

5.3 Hierarchy of conformance tests............................................................................... 4

5.4 Conformance statements ........................................................................................ 5

5.5 Test Assertion Syntax ............................................................................................. 6

5.6 Tables of requirements and assertions - Table headers ......................................... 9

6 Requirements and assertions for AN-2011.............................................................. 12

6.1 Scope of requirements and test assertions specified in the CTM.......................... 12

6.2 Field Definitions and Structures ............................................................................ 12

6.3 Section 5: Data Conventions................................................................................. 13

6.4 Section 6: Implementation Domain and Application Profiles ................................. 24

6.5 Section 7: Information Associated with Several Records ...................................... 25

6.6 Record Type-1: Transaction Information Record................................................... 76

6.7 Record Type-3: Deprecated.................................................................................. 92

6.8 Record Type-4: Grayscale Fingerprint Image ....................................................... 93

6.9 Record Type-5: Deprecated................................................................................ 101

6.10 Record Type-6: Deprecated............................................................................. 102

6.11 Record Type-10: Facial, Other Body Part and SMT Image Record ................. 103

6.12 Record Type-13: Friction-ridge Latent Image Record ...................................... 152

6.13 Record Type-14: Fingerprint Image Record..................................................... 173

6.14 Record Type-15: Palm Print Image Record ..................................................... 205

6.15 Record Type-17: Iris Image Record................................................................. 224

6.16 Record Type-18: DNA Record ......................................................................... 254
vi

6.17 Annex B: Traditional Encoding......................................................................... 280

6.18 Annex C: NIEM-conformant Encoding Rules ................................................... 288

6.19 Annex G: Mapping to the NIEM IEPD.............................................................. 294

6.20 Test notes........................................................................................................ 298

6.21 Test assertions exceptions table...................................................................... 304

Annex A: Support for AN-2011 Record Types and Interrelated Field......................... 308

A.1 Support for Record Types ....................................................................................... 308

A.2 Interrelated Field Support........................................................................................ 310

Annex B: Version History............................................................................................... 311

B.1 Release 1.0, August 2012....................................................................................... 311

B.2 Release 1.1, September 2013 ................................................................................ 311

Acknowledgements........................................................................................................ 318

List of Tables and Figures

Table 5.1 - Assertion Syntax: Operator Definitions ......................................................... 6

Table 5.2 - Assertion Syntax: Terms ................................................................................. 7

Table 5.3 - Assertion Syntax: Operand Definitions.......................................................... 8

Figure 6.1 - Generic AN-2011 Field Structure................................................................. 13

Table 6.1 - Assertions for Data Conventions.................................................................. 13

Table 6.2 - Assertions for Implementation Domain & Application Profiles.................. 24

Table 6.3 - Assertions for Information Associated with Several Records.................... 25

Table 6.4 - Assertions for Record Type 1- Transaction Information Record ............... 76

Table 6.5 - Assertions for Record Type 3 – Deprecated ................................................ 92

Table 6.6 - Assertions for Record Type 4 - Grayscale Fingerprint Image .................... 93

Table 6.7 - Assertions for Record Type 5 – Deprecated .............................................. 101

Table 6.8 - Assertions for Record Type 6 – Deprecated .............................................. 102

Table 6.9 - Assertions for Record Type 10 - Facial, Other Body Parts & SMT Image 

Record...................................................................................................................... 103

Table 6.10 - Assertions for Record Type 13 - Friction-Ridge Latent Image Record .. 152

Table 6.11 - Assertions for Record Type 14 - Fingreprint Image Record ................... 173

Table 6.12 - Assertions for Record Type 15 - Palm Print Image Record .................... 205

Table 6.13 - Assertions for Record Type 17 - Iris Image Record................................. 224
vii

Table 6.14 - Assertions for Record Type 18 - DNA Record ......................................... 254

Table 6.15 - Assertions for Annex B - Traditional Encoding ....................................... 280

Table 6.15 - Assertions for Annex C – NIEM-conformant Encoding........................... 288

Table 6.15 - Assertions for Annex G – Mapping to the NIEM IEPD............................. 294

Table 6-16 - IDC ID Location Comparison..................................................................... 298

Table 6-17 - IDC Comparison Results ........................................................................... 299

Table 6-18 - Image Metadata .......................................................................................... 302

Table 6.19 - Exceptions Table........................................................................................ 305

Table A.1 - AN-2011 Record Type Support................................................................... 308

Table A.2 - AN-2011 Interrelated Field Support............................................................ 310
1

1 Scope

This draft conformance testing methodology includes the concepts and test types necessary to 

test transactions for conformance to the AN-2011 standard. It defines three levels of 

conformance testing: Level 1, Level 2, and Level 3 conformance testing (see Sec. 5.3). This 

version of the conformance testing methodology specifies requirements and test assertions for 

the following sections and Record Types of the AN-2011 standard:

 Section 5: Data Conventions

 Section 7: Information Common to Several Record Types

 Section 8.1 Record Type-1: Transaction information record

 Section 8.4 Record Type-4: Grayscale fingerprint image

 Section 8.10 Record Type-10: Facial, other body part and SMT image record

 Section 8.13 Record Type-13: Friction-ridge latent image record

 Section 8.14 Record Type-14: Fingerprint image record

 Section 8.15 Record Type-15: Palm print image record

 Section 8.17 Record Type-17: Iris image record

 Section 8.18 Record Type-18: DNA record (new in this version)

 Annex B: Traditional Encoding

 Annex C: NIEM Conformant encoding (new in this version)

 Annex G: Mapping to the NIEM IEPD (new in this version)

Requirements and assertions for the deprecated Record Types 3, 5, and 6 are also included to 

ensure nonexistence of the deprecated records. Additionally, an assertion is specified that checks 

for the nonexistence of reserved Record Types 11, 12, and 22 through 97. 

A complete description of support for Record Types and interrelated fields is provided in Annex 

A. Tables of terms, operands, and operators that are used in specifying the test assertions are 

included. The assertion tables identify requirements for Level 1 and 2 conformance testing. In 

addition, the assertion tables identify requirements for Level 3 only when it is necessary to 

clarify that the requirement is categorized as Level 3. 

Only test assertions for Level 1 and Level 2 conformance testing are part of the scope of this 

conformance testing methodology. Implementation exceptions are identified in Sec. 6.21. TypeA and Type-B conformance testing are defined. Only Type-A testing is specified. Type-B 

conformance testing is outside of the scope of this edition of the CTM. 

This conformance testing methodology does not establish tests of characteristics (i.e., 

performance, acceptance, security, robustness) of products that generate the transactions.
2

2 Conformance

AN-2011 conformance test tools that claim conformance to this conformance testing 

methodology shall satisfy the requirements of the testing methodology specified in Sec. 5 and 

shall follow the procedures defined by Level 1 and Level 2 test assertions as specified in Sec. 6.

3 Normative references

NIST Special Publication 500-290, ANSI/NIST-ITL 1-2011, November 2011, Information 

Technology: American National Standard for Information Systems - Data Format for the 

Interchange of Fingerprint, Facial & Other Biometric Information

JPEG (Joint Photographic Experts Group), JPEG File Interchange Format, Version 1.02.

Available at http://www.jpeg.org/public/jfif.pdf

ISO/IEC 15444-1, JPEG 2000, Information Technology - Digital Compression and

Coding of Continuous-Tone Still Images Part 1: Requirements and Guidelines.

ISO/IEC 15444-2, Information technology — JPEG 2000 image coding system:

Extension, available at: http://www.jpeg.org/metadata/15444-2.PDF

ISO/IEC 15948:2004 Information Technology -- Computer graphics and image

processing -- Portable Network Graphics (PNG): Functional specification.

IAFIS-IC-0110 (V3.1) WSQ Gray-scale Fingerprint Image Compression Specification,

October 4, 2010.

4 Terms and definitions

assertion 

A test procedure that represents a specific aspect of a requirement found in the base standard. 

The assertion is expressed using the operator and operand syntax defined by the conformance 

testing methodology.

base standard

ANSI/NIST-ITL 1-2011, Data Format for the Interchange of Fingerprint, Facial & Other 

Biometric Information, NIST Special Publication 500-290. 

conformance

The adherence of an implementation to all specified requirements as defined in the base 

standard.

CTA
3

Conformance Testing Architecture.

CTM

Conformance Testing Methodology.

CTS

Conformance Testing Suite.

implementation

An ANSI-NIST-ITL 1-2011 transaction. 

IUT

Implementation under test. The implementation supplied by a vendor to a laboratory for 

conformance testing. 

test 

Also known as a conformance test or assertion test, it is the execution of the testing procedure 

defined by an assertion or set of assertions in order to obtain a statement of conformance. The 

result of the test is a Boolean value that determines the implementation’s conformity for the 

assertion. For a given requirement, if all tests pass for the associated assertions, then the 

implementation is considered to be conformant for that requirement.

Type-A testing 

Type-A conformance testing checks the conformance of AN-2011 transactions to the 

requirements in the base standard. 

Type-B testing 

Type-B testing checks the ability to use an AN-2011, for example in a software application.

5 Conformance testing methodology

The conformance testing methodology defined in this draft publication addresses only Level 1 

and 2 testing and Type-A testing. While some Level-3 requirements are identified in the tables 

of requirements and assertions, testing methodologies are provided for Level-1 and Level-2 

conformance testing only (see “Hierarchy of conformance tests” for information regarding the 

three levels of conformance testing). Type-B testing is not defined.

5.1 Functional documentation of requirements

The tables of requirements and assertions included in this publication identify requirements 

defined in the base standard and provide a succinct listing of the information necessary to
4

facilitate the development of conformance testing tools. Extracting the requirements from the 

base standard improves the efficiency of conformance test tool development by providing the

information required in a consolidated manner. 

Each requirement identified in this publication is associated with one or more assertions which 

collectively form the complete set of test procedures required to test an implementation for 

conformance to that requirement. 

5.2 Limitations and exceptions

While conformance of an implementation to relevant requirements can be determined (e.g., 

content and relationships between elements), no test tool is guaranteed to be comprehensive and 

prove that a given system generating or using AN‐2011 transactions is conformant under all 

possible circumstances. Well‐designed conformance tests can, however, test the most likely 

sources of problems and demonstrate non‐conformity (i.e., if errors are found, non‐conformance

of the transaction shall be proven), but the absence of detected errors does not necessarily imply 

full conformance to the standard. 

The tables of requirements and assertions define all normative requirements as well as optional 

and conditional (dependent) requirements for selected Record Types found in the base standard 

(AN-2011). Some of the AN-2011 requirements in the tables do not have an associated assertion

or set of related assertions due to the fact that some conformance tests require additional 

research, or that the test of that requirement is not feasible at the present time.

5.3 Hierarchy of conformance tests

Three levels of conformance testing are defined below. See also expanded discussions on these 

levels of conformance tests in Section 2 of NIST Special Publication 500-290. For each 

assertion included in the tables of requirements and assertions, a level of conformance testing is 

indicated. 

Level 1 conformance testing

Level 1 conformance testing deals with the form and structure of the internal content and verifies 

that data structures exist and have allowable values. Specifically, it checks for the presence, 

structure, and value of each field, subfield, and information item in a transaction for 

conformance with the specification of the standard, both in terms of ranges and cardinality. 

Since Level 1 testing can be performed by a simple field-by-field reading of the standard and 

comparison to known values and their encoding, only the AN-2011 transactions are required for 

conformance testing, and not any hardware or software components used to create those 

transactions.

Level 2 conformance testing 
5

Level 2 conformance testing deals with explicit requirements that check for internal consistency. 

Specifically, morphological conformance checks the relationships between fields, subfields, or

information items within a transaction, including comparisons of values, as specified in the AN2011 standard. Level 2 tests involve interactions between multiple values from different parts of 

the standard and sometimes from implicit observations that are not explicitly stated in the base 

standard. Thus, Level 2 tests require more complex validation than Level 1. Similar to Level 1 

testing, Level 2 conformance testing only requires an AN-2011 transaction(s). 

Level 3 conformance testing

Level 3 conformance testing checks if the biometric transaction is a faithful representation of the

parent biometric data and ensures requirements are satisfied that are not merely Level 1 and Level 2 

tests. Individual fields may have explicit semantic requirements for which conformance testing is 

significantly difficult or even impossible to test. Unlike Level 1 and Level 2 testing, Level 3 testing 

may require software and hardware components used to create the AN-2011 transactions, and may 

also require the subject and samples from which the biometric information stored in the transaction

was collected. The requirements and assertion tables indicate whether Level 1 or Level 2 

conformance testing is required to address the assertion identified in the test assertion. Required 

Level 3 conformance tests are not performed but they are identified in the tables to indicate that the 

requirement is not addressed or that it is not currently testable.

5.4 Conformance statements

In addition to providing a succinct list of the requirements in the AN-2011 standard, the tables of 

requirements and assertions provide the means for the developers of implementations under test 

(IUT) to claim in the tables the list of all the requirements supported including:

 Transaction information

 Encoding requirements

 Each Record Type included in the Transaction

o Fields

o Subfields

o Information Items

This information is useful to the IUT supplier as a checklist on the content of their 

implementations and also useful to testing laboratories that would evaluate conformance of these 

IUTs against the supplier’s claims. Two columns in the tables are included to provide this 

information: Implementation Support column (YES/NO/Partial) and Supported Range column (if 

Implementation Support is “Partial”, the supported range should be provided). 

If the IUTs are sent to a testing laboratory, the IUT provider shall also submit the information 

below to the laboratory:

 Provider name

 Provider address

 Transaction identifier

 Transaction version number

 Additional implementation information (optional)
6

 Submission date

 For each claimed Record Type, provide the Record Type number and whether or not 

(Yes or No) there are any known deviations from (or exceptions to) the requirements 

found in the base standard and identified in the Conformance Testing Methodology for 

the associated Record Types in the IUT. For specific exceptions, the Implementation 

Support column of the tables of requirements and assertions shall be used to indicate the 

difference on a per-assertion basis. In addition, if the deviation is general and applies to 

the entire Record Type, a description shall be provided. This option is useful for cases 

where there have been modifications to the base standard that are not reflected in the 

conformance testing methodology, where the IUT provider believes there is a defect in 

the base standard or conformance testing methodology, and other instances where the 

implementation does not fully conform to the AN-2011 standard requirements.

The testing laboratory may use testing tools that implement or conform to this conformance 

testing methodology to provide a determination of the level of conformance of the IUT to the 

AN-2011 standard. 

5.5 Test Assertion Syntax 

Test assertions are expressed according to the operators and operands found in the tables of 

Operator Definitions and Operand Definitions, except for those instances where the assertion 

cannot be clearly or easily represented in a mathematical format. In those cases, English is used 

to express the assertion, and the text is contained within the < > characters.

Operators

The table below includes a complete description of the operators used throughout the 

requirements and assertion tables.

Table 5.1 - Assertion Syntax: Operator Definitions

Operator Definitions

Operator Name Description

AND Logical And Tests if both values are true.

ELSE Else Combined with the IF operator to specify what expressions are evaluated 

when the IF expression is false.

EQ Equal To Tests for equality between two values.

GT Greater Than Tests if the first value is greater than the second value

GTE Greater Than or Equal 

To

Tests if the first value is greater than or equal to the second value. 

IF Logical If Determines if the value or expression is true or false.

IFF IF and Only IF Tests the bi-conditional where each of the first and second expressions 

implies the other. 

in Container 

Specification

For X in Y, selects only those X found in Y. 

LT Less Than Tests if the first value is less than the second value.

LTE Less Than or Equal To Tests if the first value is less than or equal to the second value.
7

MO Member Of Tests if the value is a contained within the set.

MOD Modulo For X MOD Y, provides the remainder of X divided by Y. 

NEQ Not Equal To Tests for non-equality between two values.

NOT Negate Negates any operator or expression that follows.

OR Logical Or Tests if either value is true

P:N in Q Query Selects the Nth occurrence of P in Q. 

ST Such That Enforces a condition upon the specified value or expression. 

THEN Then Combined with the IF operator to specify what expressions are evaluated 

when the IF expression is true. 

XOR Exclusive Logical Or Tests if either value is exclusively true (both cannot be true)

to Range Selection For X to Y, selects a set of values Z ST Z GTE X AND LTE Y

# All Provides all valid values.

: Data Element 

Selection

For X:N, selects the Nth element in X. 

, Range Concatenation For X,Y, represents the set of values containing both X and Y. 

. Field Selection For X.Y, selects the field specified by Y in Record X. 

< > English Expression Contains English text that could not be reasonably expressed 

mathematically. 

{ } Value For {X}, provides the value of X. 

[ ] Set The set to be tested.

Terms

The table below provides a complete description of the terms used throughout the requirements 

and assertion tables.

Table 5.2 - Assertion Syntax: Terms 

Term Definitions

Term Name Description

Element XML Element An XML Element defined in Annex G of the An-2011 standard or the 

associated XML Schema file. 

Field(s) Field Field structure as defined by the AN 1-2011 standard.

InfoItem US Separated 

Information Item

Information Item separated by the ASCII US (0x1F) separator 

character

Integers Integer Set Set of all integers.

NA Not Applicable The test or condition is not applicable. 

Unsupported Unsupported The requirement is not supported in this version of the CTM. This 

may be the result of the related conformance test requiring 

additional research, or the result of the test being infeasible (level 3 

only). 

Record(s) Record Record structure as defined by the AN 1-2011 standard.

Subfield RS Separated Subfield Subfield separated by the ASCII RS (0x1E) separator character

Transaction Transaction Transaction structure as defined by the AN 1-2011 standard. 

TRUE True The test always evaluates to true because there is no defined value 

for testing, or there is no value for which the test will fail.

Operands
8

The table below includes a complete description of the operands used throughout the 

requirements and assertion tables. The parameter X may represent any combination of operands, 

terms, and operators.

Table 5.3 - Assertion Syntax: Operand Definitions

Operand Definitions

Operand Name Description

All(X) All Occurrences Returns all occurrences of X. 

ASCII(X) ASCII Values Specifies that all values represented by X are ASCII values. 

Ex. ASCII(a) is 0x61

Bytes(X) Byte Data Returns the set of bytes contained in X.

Cardinality(X) Cardinality For use with NIEM-XML encoding only. Returns the 

Cardinality of the XElm as specified in Annex G of the 

standard.

Count(X) Count Occurrences Returns the number of occurrences of X. 

DataLength(X) Length Of (without Special 

Characters)

Returns the length of X without counting the characters 

ASCII( US, RS, FS).

FieldNumber(X) Field Number Returns the field number of X.

First(X) First Occurrence Returns the first occurrence of X. 

For(X EQ A to B)

{Expression(s)}

For Loop Evaluates each Expression for the range specified by A to 

B. 

ForEach(X) 

{Expression(s)}

For Each Evaluates each Expression for every occurrence of X 

found.

Last(X) Last Occurrence Returns the last occurrence of X. 

Length(X) Length Of Returns the length of X.

Max(X) Maximum Value Returns the maximum value in the set X. 

Min(X) Minimum Value Returns the minimum value in the set X. 

Next(X) Next Occurrence Returns the next occurrence of X. Only for use within 

ForEach Operand’s Expression(s).

Pair(A,B) of X Pair Returns all pairs of X. Only for use as a parameter in a 

ForEach Operand. 

ParentField(X) Parent Field Returns the Field that contains X.

ParentRecord(X) Parent Record Returns the Record that contains X.

Present(X) Value Present Returns TRUE if X is present, FALSE otherwise. For 

subfields and information items in Traditional Encoding, 

the US and RS separators are always present. Therefore 

the Present(X) operand returns TRUE if the value between 

the separators is present.

Previous(X) Previous Occurrence Returns the previous occurrence of X. Only for use within 

ForEach Operand’s Expression(s).

Second(X) Second Occurrence Returns the second occurrence of X. 

Type(X) Record Type Returns the Record Type of X.

Var(X) {Selection 

Statement}

Variable Assigns the entity specified by the Selection Statement to 

the name X. The assignment is valid for the remainder of 

the assertion text. 

XElm(X) XML Element Returns the XML Element with name X.
9

5.6 Tables of requirements and assertions - Table headers

The following describe the headings of the tables of requirements and assertions found in Section 

6:

 Requirement # and ID: Defines a unique requirement number and a unique identifier 

for the requirement and associated assertion or set of assertions. For Record Type 

requirements, the Requirement # is in the form RTN.M, where N is the Record Type and 

M is the sequential number of the requirement (for requirements in the annexes the form 

is AN followed the Annex letter). For sections not associated with a record type and 

annexes, the prefix is SEC followed by the section number. If additional requirements 

must be entered in the future, the new requirement number will be specified using an 

additional number, as in RTN.M.A, where A is the additional number. The Requirement 

ID provides reference to the type of requirement (e.g., transaction, record, and field), and

is in the form of “Type: Description” where type may be “Transaction”, “Record”, or 

“Field”. For requirements found in Annex B of the AN-2011 standard, the Requirement 

ID is preceded by “Traditional-”. For requirements found in Annexes C and G of the 

AN-2011 standard, the Requirement ID is preceded by “NIEM-”.

 Ref. in Base Std. (Reference in Base Standard): Identifies the clause (or section) where

the requirement is included in the AN-2011 standard. In some cases the reference 

includes additional information such as a Table number. 

 Requirement Summary: Provides a summary of the requirement detailed as textual 

information or an interpretation of the requirement in the standard. It provides the 

essentials of the requirement but may not provide all the text necessary to understand it. 

The < > operator is used in the Requirement Summary column of the tables to represent 

text not found in the standard, but that may help indicate what requirement is being 

represented. 

 Level: Indicates whether Level 1 or Level 2 conformance testing is required to address 

the assertion identified in the Assertion ID column of the same row. Level 3 

conformance tests are indicated only when necessary to show that the requirement is not 

currently testable or addressed. 

 Status: Reflects the status specified in the AN-2011 standard:

o M: Mandatory 

o O: Optional 

o D: Dependent 

o M⇑: Mandatory within the optional field/subfield 

o O⇑: Optional within the optional field/subfield

o -: Varying statuses. The assertion addresses many fields or subfields of multiple 

statuses. 

 Assertion ID: Defines an identifier of a specific test assertion within the set of test 

assertions associated with a requirement. 
10

 Test Assertion: Provides, whenever possible, a mathematical equation or a procedure 

using the language specified by the operators, operands, and terms.

o The < > operator is used to contain plain text whenever a mathematical formula or 

simple procedure cannot be detailed.

 Test Note: Contains the ID of the test note. Test notes provide additional information 

related to the assertion and are included below the tables. 

 Imp. Support (Implementation Support): Denotes a supplier’s implementation support 

of a particular requirement (“Y”/”N”). A note can follow the table when providing more 

details of implementation support (or the lack of it) is required.

 Supported Range: Indicates a range of values supported, especially when it is different 

than the full range of values specified in the standard. When an information item is 

specified as a single value, or does not address a range of values, a N/A should be used. 

 Test Result: This column is used to denote the test results. For file and record-level 

results the results are either “Pass” or “Fail”. The field-level results should be indicated 

as “Ok”, “Error”, “Warning” and “Note”. Explanatory notes can be added below the 

table.

 Applicable to (T, X, B, B* or X*) – (Applicability): This table header indicates which 

assertions differ (in values required or conditions) between Traditional and NIEM 

encoding. This table header does not indicate which assertions are addressed by the 

XML Schema and which will need to be addressed in code. Valid values are:

o T: The assertion only applies to the Traditional encoding as described in Annex B

of AN-2011. 

o X: The assertion only applies to the NIEM-conformant (XML) encoding as 

described in Annex C of AN-2011. 

o B: The assertion is applicable to both Traditional and NIEM (XML) encoding.

 Following the conventions in the AN-2011 standard, test Assertions are 

expressed using constructs (fields, records, etc.) found in Traditional encoding 

(such as xx.002 for the second field of each record type). The same assertion 

applies for the XML elements that correspond to the Traditional constructs. 

For example, 10.006 in Traditional Encoding corresponds to XML Element 

<biom:ImageHorizontalLineLengthPixelQuantity>. 

o Some assertions reference subfields, however, NIEM encoding uses nested 

elements. Expression of Test Assertions that include subfields in the XML 

encoding requires further review. These assertions are listed with the following 

applicability values:

 X* indicates that the assertion applies only to NIEM-conformant (XML) 

encoding. 

 B* indicates that the assertion is applicable to both Traditional and NIEM 

(XML) encodings.
11

For the NIEM-conformant assertions, indicated by X or B, the following values indicate the 

coverage of those assertions by the Schema:

o C: Covered - the assertion is fully tested by the Schema.

o P: Partial – the assertion is partially tested by the Schema, but not fully covered. 

If part of assertion is correctly tested and another part is incorrectly tested, it shall 

be marked as “I” (Incorrect), not “P” (Partial). However, if part is correctly 

tested, and another part is omitted, then it is Partial.

o I: Incorrect – an attempt to test for the assertion is made by the Schema, but the 

test is incorrect.

o O: Omitted – the assertions is not tested or addressed by the Schema, nor is there 

any attempt by the Schema to test for the assertion.

Examples:

o X-C: the assertion is for XML encoding only, and it is fully tested by the Schema.

o B-O: the assertion is for both encodings, but it is omitted by the Schema.

o X*-P: the assertion is for XML encoding, includes nested XML elements, and is 

only partially tested by the Schema.

o T-C: invalid. This assertion is for traditional encoding and should not have 

information related to the Schema.
12

6 Requirements and assertions for AN-2011

6.1 Scope of requirements and test assertions specified in the CTM 

The CTM documents requirements and test assertions for the following Sections and selected Record Types of the ANSI/NIST-ITL 

2011 standard:

 Section 5: Data Conventions

 Section 7: Information Associated with Several Record Types

 Section 8.1 Record Type-1: Transaction information record

 Section 8.4 Record Type-4: Grayscale fingerprint image

 Section 8.10Record Type-10: Facial, other body part and SMT image record

 Section 8.13 Record Type-13: Friction-ridge latent image record

 Section 8.14 Record Type-14: Fingerprint image record

 Section 8.15 Record Type-15: Palm print image record

 Section 8.17 Record Type-17: Iris image record

 Section 8.18 Record Type-18: DNA record (new in this version)

 Annex B: Traditional Encoding

 Annex C: NIEM Conformant encoding (new in this version)

 Annex G: Mapping to the NIEM IEPD (new in this version)

Tables for the deprecated Record Types 3, 5, and 6 are also included to check for nonexistence of these Record Types. Additionally 

an assertion is specified that checks for the nonexistence of reserved Record Types 11, 12, and 22 through 97.

6.2 Field Definitions and Structures

ANSI/NIST-ITL 1-2011 contains several field types:

 Single Information Item (Field with data)

 Multiple Information Items (Field with multiple Information Items)

 Subfields Repeating Sets of Info Items
13

 Subfields Repeating Values

The tables of requirements and assertions represent all field types as a field that contains a list of one or more subfields, each of which 

contains a list of one or more information items. Fig. 6.1 is a representation of how each field type is represented in the tables.

 Single Information Item: Field with one subfield containing one information item.

 Multiple Information Items: Field with one subfield containing multiple information items.

 Subfields Repeating Sets of Information Items: Field with one or more subfields, each containing sets of one or more 

information items.

 Subfields Repeating Values: Field with one or more subfields, each containing one information item.

Figure 6.1 - Generic AN-2011 Field Structure

Unless otherwise stated, the tables of requirements and assertions express all field structures using the Traditional notation of record 

type and field number (e.g., 1.001) as well as subfield and information item indices when appropriate. However, the NIEM-XML 

encoding has no concept of subfields or information items. Instead, the XML encoding uses subelements. Annex G of the base 

standard can be used to translate the listed values for Traditional structures to the XML equivalent. In some cases the tables of 

requirements and assertions lists the XML element names when necessary for clarifying an assertion.

6.3 Section 5: Data Conventions

Table 6.1 - Assertions for Data Conventions

Field

Record 

Type

Field Subfield(s)

Number Information Item(s)

.

:

G

S
14

Req. # - ID Ref.in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

5: Data Conventions

SEC5.1 -

Transaction: 

Required 

Record 

Types

5.1,

Table 3 

There shall be at least one other record 

type from Table 3 accompanying a Record 

Type-1. 

1 M Transaction

-Required 

Records

Present(Record ST Type(Record) EQ 1)

AND

Present(Record ST Type(Record) MO [2 to 99]) 

AND NOT MO [3,5,6,11,12,22 to 97])

NA T

1 M NIEMTransaction

-Required 

Records

Count(XElm(itl:PackageInformationRecord) in 

Transaction) EQ 1

AND

Count(Records ST Record NEQ 

XElm(itl:PackageInformationRecord) in 

Transaction) GTE 1

Y X-P

<Does not 

test for 

additional 

record type 

other than 

Type-1>

SEC5.2 -

Transaction: 

Single 

Subject

5.1 All records in a transaction shall pertain to 

a single subject. Biometric data used to 

identify another individual requires a 

separate transaction.

3 M Transaction

-Single 

Subject

<Unsupported.> t-1 B

SEC5.3 -

Transaction: 

Records 

Transmitted 

Together

5.1 All of the records belonging to a single 

transaction shall be transmitted together.

3 M Transaction

-Records 

Together

<Unsupported.> t-1 B

SEC5.4 -

Transaction:

Record 

Occurrences

5.1 There may be multiple records in a 

transaction of each record type other than 

Type-1. 

1 M Transaction

-Record 

Occurrence

s

TRUE Y B-C

SEC5.5 -

Transaction: 

Size

5.2 Although the 2007 and 2008 versions of 

the standard stated “... there is no upper 

limit on the number of logical records that 

may be present in a file...” there was an 

effective upper limit due to the field size 

limits specified in the 2007 version (but 

not the 2008 version). This limit was 3 

ASCII 2 characters for the information item 

holding the total number of records of 

type 2 through 99; thus an upper limit of 

1 M Transaction

-Size

Count(Records in Transaction) LTE 1000 Y B-O
15

Req. # - ID Ref.in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

5: Data Conventions

999 such records. With the addition of a 

Type-1 record, the maximum number of 

records in a transaction was thus 

restricted to 1000. This upper limit of 1000 

records is maintained in this version of the 

standard to ensure backward compatibility 

with the 2007 version.

SEC5.6 -

Transaction: 

Reserved

Records

5.3

Table 3 

11 Voice Data (future)

12 Dental Record (future)

22-97 reserved for future use.

1 M Transaction

-Records

Reserved

NOT Present(Records ST Type(Records) MO 

[11,12,22 to 97])

NA T

1 M NIEMTransaction

-Records

Reserved

{All( XElm(<biom:RecordCategoryCode>))} NOT 

MO [11,12,22 to 97]

Y X-C

SEC5.7 -

Transaction: 

Type1-

Occurrences

5.3.1,

Annex G

Transmissions to be exchanged are 

required to contain one and only one 

Type-1 record per transaction.

Itl:PackageInformationRecord Cardinatlity 

1..1

1 M Transaction

-Type1-

OccursOnce

Count(Records in Transaction ST Type(Record) EQ 

1) EQ 1

NA T

1 M NIEMTransaction

-Type1-

OccursOnce

Count(XElm(itl:PackageInformationRecord)) EQ 1 Y X-C

SEC5.8 -

Transaction: 

Type1-

Record_First

5.3.1 The Type-1 record shall always be the first 

record within the transaction.

1 M Transaction

-Type1-First

Type(First(Record in Transaction)) EQ 1 NA T

1 M NIEMTransaction

-Type1-First

First(Record in Transaction) EQ 

XElm(itl:PackageInformationRecord) AND 

{XElm<RecordCategoryCode> in Record} EQ 1

Y X-C

SEC5.9 -

Transaction: 

Type1- One 

More Record

5.3.1 At least one more record shall be present 

in the file.

1 M Type1-One 

More 

Record

<See Requirement ID “Transaction: Required 

Record Types”>

t-2

SEC5.10 -

Record: 

Type1-

Contents

5.3.1 The Type-1 record shall provide 

information describing type and use or 

purpose for the transaction involved, a 

listing of each record included in the 

transaction, the originator or source of the 

physical record, and other useful and 

required information items.

M Type1-

Contents

<The test assertions are included under 

assertions for Record Type-1: Transaction 

Information Record.>

t-2
16

Req. # - ID Ref.in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

5: Data Conventions

SEC5.11 -

Record: 

Type2-

Contents

5.3.2 Type-2 records shall contain user-defined 

textual fields providing identification and 

descriptive information associated with 

the subject of the transaction.

M Type2-

Contents

<The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions for 

Record Type-2: User-defined descriptive text 

record >

t-2

SEC5.12 -

Record: 

Type2-

DOM/APS

5.3.2 Each entry in a Type-2 record shall have a 

definition and format that is listed with 

the Domain owner. 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.

3 M Type2-

DOM/APS

<Unsupported.> t-3 NA B-O

SEC5.13 -

Transaction: 

Type3-

Deprecated

5.3.3, 

Table 3 

Record Type-3 shall not be contained in 

transactions conforming to this version of 

the standard.

M Type3-

Unsupporte

d

<The test assertions are included under 

assertions for Record Type-3: DEPRECATED.>

t-2

SEC5.14 -

Record: 

Type4-

Contents

5.3.4 Type-4 records were designed to convey 

fingerprint images captured by an 

Automated

Fingerprint Identification System (AFIS) 

live-scan reader, or other image capture 

devices operating at a nominal scanning 

resolution of 500 pixels per inch (ppi). 

Many systems still use this record type 

and it will remain an integral part of the 

standard.

M Type4-

Contents

<The test assertions are included under 

assertions for Record Type-4: Grayscale 

fingerprint image.>

t-2

SEC5.15 -

Transaction: 

Type5-

5.3.5, 

Table 3 

Record Type-5 shall not be contained in 

transactions conforming to this version of 

the standard.

M Type5-

Unsupporte

d

<The test assertions are included under 

assertions for Record Type-5: DEPRECATED.>

t-2
17

Req. # - ID Ref.in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

5: Data Conventions

Deprecated

SEC5.16 -

Transaction: 

Type6-

Deprecated

5.3.6, 

Table 3 

Record Type-6 shall not be contained in 

transactions conforming to this version of 

the standard.

M Type6-

Unsupporte

d

<The test assertions are included under 

assertions for Record Type-6: DEPRECATED.>

t-2

SEC5.17 -

Transaction: 

Type7-

Contents

5.3.7 Type-7 is a legacy record type. It was 

intended as a temporary measure to 

enable the exchange of image data that 

would be defined by specific record types 

in later versions of the standard. Since 

some older systems still use this record 

type, it is included in the standard.

M Type7-

Contents

<The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions for

Record Type-7: User-defined image record .>

t-2

SEC5.18 -

Record: 

Type8-

Contents

5.3.8 Type-8 records shall be used for scanned 

binary or vectored signature image data. 

Each

Type-8 record shall contain data 

representing the signature of the subject 

from whom the biometric sample is being 

collected and/or the operator capturing 

biometric data.

M Type8-

Contents

<The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions for

Record Type-8: Signature image record.>

t-2

SEC5.19 -

Record: 

Type9-

Contents

5.3.9 Type-9 records shall contain and be used 

to exchange minutiae or other friction 

ridge feature data. Each record shall 

represent the processed (automated

and/or manual) image data from which 

the characteristics are stated. The primary 

use of this record type shall be for remote 

searching of latent prints. New to this 

version of the standard is the Extended 

Feature Set

(EFS) for latent print markups. There is 

also a capability to have additional 

vendor-specified feature sets. Workstation 

logs may also now be transmitted in this 

record type.

M Type9-

Contents

<The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions for

Record Type-9: Minutiae data record .>

t-2

SEC5.20 -

Record: 

5.3.10,

Table 58

Type-10 image records shall contain and 

be used to exchange textual and image 

M Type10-

Contents

<The test assertions are included under 

assertions for Record Type-10: Facial, other body 

t-2
18

Req. # - ID Ref.in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

5: Data Conventions

Type10-

Contents

data from the face, scars, (needle) marks, 

and tattoos (SMT). New to this version of 

the standard is the extension of the record 

type to handle images of other body parts. 

See Table 58 for a list of the images types

possible in a Type-10 record. Textual and 

analytic information pertinent to the 

digitized image is also contained in this 

record type.

part and SMT image record.>

SEC5.21 -

Transaction: 

Type11-

Reserved

5.3.11 Type-11 records are reserved for future 

use.

M NA <See Requirement ID “Transaction: Reserved 

Records”>

t-2

SEC5.22 -

Transaction: 

Type12-

Reserved

5.3.12 Type-12 records are reserved for future 

use.

M NA <See Requirement ID “Transaction: Reserved 

Records”>

t-2

SEC5.23 -

Record: 

Type13-

Contents

5.3.13 Type-13 image records shall contain and 

be used to exchange variable-resolution 

latent friction ridge image data 

(fingerprint, palmprint and/or plantar) 

together with fixed and user defined 

textual information fields pertinent to the 

digitized image. In all cases, the scanning 

resolution for latent images shall be at 

least 39.37 ppmm (1000 ppi). The variable

resolution latent image data contained in 

the Type-13 record shall be uncompressed 

or may be the output from a lossless 

compression algorithm.

M Type13-

Contents

<The test assertions are included under 

assertions for Record Type-13: Friction-ridge 

latent image record . >

t-2

SEC5.24 -

Record: 

Type14-

Contents

5.3.14 Type-14 image records shall contain 

fingerprint image data. It should be noted 

that as the class resolution is increased, 

more detailed ridge and structure 

information becomes available in the 

fingerprint image. However, in all cases 

the class resolution shall be at least 19.69 

M Type14-

Contents

<The test assertions are included under 

assertions for Record Type-14: Fingerprint image 

record.>

t-2
19

Req. # - ID Ref.in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

5: Data Conventions

ppmm (500 ppi).

SEC5.25 -

Record: 

Type15-

Contents

5.3.15 Type-15 image records shall contain and 

be used to exchange palm print image 

data together with fixed and user-defined 

textual information fields pertinent to the 

digitized image.

...in all cases the class resolution shall be 

at least 19.69 ppmm (500 ppi) The 

variable-resolution palm print image data 

contained in the Type-15 record may be in 

a compressed form. 

M Type15-

Contents

<The test assertions for this type are included 

under assertions for Record Type-15: Palm print 

image record.>

t-2

SEC5.26 -

Record: 

Type16-

Contents

5.3.16 The Type-16 image record is designed for 

developmental purposes and for the 

exchange of miscellaneous images. This 

record shall contain and be used to 

exchange image data together with 

textual information fields pertinent to the 

digitized image.

M Type16-

Contents

<The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions for 

Record Type-16: User-defined testing image 

record.>

t-2

SEC5.27 -

Record: 

Type17-

Contents

5.3.17 Type-17 image records shall contain iris 

image data. Field 17.018 (Global unique 

identifier) from the 2007 and 2008 version 

of the standard has been deprecated in 

this version.

M Type17-

Contents

<The test assertions are included under 

assertions for Record Type-17: Iris image record

.>

t-2

SEC5.28 -

Record: 

Type18-

Contents

5.3.18 The Type-18 record (new to this version of 

the standard) shall contain and be used to 

exchange DNA and related data. It was 

developed to provide a basic level of 

interoperability with the draft format of 

the ISO/IEC 19794-14 DNA data 

interchange format. With full 

consideration to privacy, this standard 

only uses the non-coding regions of DNA. 

The regions of the DNA that encode 

phenotypic information are deliberately 

avoided.

M Type18-

Contents

<The test assertions are included under 

assertions for Record Type-18: DNA record.>

t-2

SEC5.29 -

Record: 

5.3.19 Type-19 image records (new to this 

version of the standard) shall contain and 

M Type19-

Contents

<The test assertions for this type may not be 

supported in this version of the CTM. If they are 

t-2
20

Req. # - ID Ref.in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

5: Data Conventions

Type19-

Contents

be used to exchange variable-resolution 

plantar print image data together with 

fixed and user-defined textual information 

fields pertinent to the digitized image. ...in 

all cases the scanning resolution used to 

capture a plantar image shall be at least as 

great as the minimum scanning resolution 

of 19.69 ppmm (500 ppi). The variableresolution plantar image data contained in 

the Type-19 record may be in a 

compressed form.

supported, they are included under assertions for 

Record Type-19: Plantar record.>

SEC5.30 -

Record: 

Type20-

Contents

5.3.20 The Type-20 record (new to this version of 

the standard) shall contain the source 

representation(s) from which other 

Record Types were derived. Typically, one 

Type-20 source representation is used to 

generate one or more representations for 

use in other record types.

When a source representation (in a Type20 record) is processed and the derived 

representation is to be used as the source 

for further derivations, then the derived 

representation is contained in a Type-20 

record. 

M Type20-

Contents

<The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions for 

Record Type-20: Source representation record.>

t-2

SEC5.31 -

Record: 

Type21-

Contents

5.3.21 The Type-21 record shall contain an 

associated context image, audio / visual 

recording or other related data. This 

record type does NOT contain information 

used to derive biometric information 

contained in other records. Record Type20 serves that function. Record Type21 may be used to convey contextual 

information, such as an image of the area 

where latent fingerprints were captured.

M Type21-

Contents

<The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions for 

Record Type-21: Associated context record.>

t-2

SEC5.32 -

Record: 

Type98-

5.3.22 The Type-98 record shall contain security 

information that allows for the assurance 

of the authenticity and/or integrity of the 

M Type98-

Contents

<The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions for 

t-2
21

Req. # - ID Ref.in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

5: Data Conventions

Contents transaction, including such information as 

binary data hashes, attributes for audit or 

identification purposes, and digital 

signatures.

Record Type-98: Information assurance record.>

SEC5.33 -

Record: 

Type99-

Contents

5.3.23 Type-99 records shall contain and be used 

to exchange biometric data that is not 

supported by other ANSI/NIST-ITL record 

types. This provides a basic level of 

interoperability and harmonization with 

other biometric interchange formats. This 

is accomplished by using a basic record 

structure that is conformant with ANSI 

INCITS 398-2005, the Common Biometric 

Exchange Formats Framework (CBEFF) and 

a biometric data block specification 

registered with the International 

Biometrics Industry Association (IBIA).

M Type99-

Contents

<The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions for 

Record Type-99: CBEFF biometric data record.>

t-2

SEC5.34 -

Transaction: 

Deprecated 

Entities

5.4 Deprecated records for this version are 

Record Types 3, 5 and 6. Field 17.018 is

deprecated. There are two deprecated 

values in Field 17.016: Image property 

code / IPC (2: for interlace frame, and 3: 

for interlace field).

1 M Deprecated 

Entities

<See Requirement IDs: “Field: Type17-

CondCode” and “Field: 17.016-Image Property 

Code Value”.>

<See Sections “8.3: Record Type-3: 

DEPRECATED”, “8.5: Record Type-5: 

DEPRECATED”, and “8.6: Record Type-6: 

DEPRECATED”. >

t-2

SEC5.35 -

Transaction: 

Legacy 

Entities

5.4 There is a special category called 'legacy' 

for a record type, field, subfield, 

information item or value that was valid in 

previous versions of the standard, but 

shall not be used for new data. 'Legacy' 

indicates that if there is existing data

using this record type, field, information 

item or value it may still be transmitted in 

a transaction conformant to this version of 

the standard. In this version ‘legacy’ 

applies to Fields 9.005 through 9.012, 

Field 10.022 and to the value '1' in Table 4 

3 M Legacy 

Entities

<Warning provided only. It is not feasible to 

determine if the data is new or legacy. However, 

a warning will be displayed if legacy entities are 

present for the supported record types. > 

t-2 NA
22

Req. # - ID Ref.in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

5: Data Conventions

Character encoding.

SEC5.36 -

Transaction: 

Reserved 

Character 

Types

5.6, 

Table 93

<Table 93 specifies a set of reserved 

character types. The characters are 

reserved for all encodings as stated in 

5.6.>

1 M Transaction

-Reserved 

Character 

Types

ForEach(Record in Transaction ST Type(Record) 

NOT MO [4, 7, 8] )

{

ForEach(Field in Record ST FieldNumber(Field) 

NEQ 999)

{

ForEach(Subfield in Field)

{

Bytes(All(InfoItems in Subfield)) NOT MO [0x02, 

0x03, 0x1C, 0x1D, 0x1E, 0x1F]

}

}

}

NA T

1 M NIEMReserved 

Character 

Types

(All(Characters)) NOT MO [0x02, 0x03, 0x1C, 

0x1D, 0x1E, 0x1F]

Y X-O

SEC5.37 -

Record: 

Type1-ASCII

5.6,

Table 93

Record Type-1 shall always be recorded in 

all encodings using the

characters that can be represented 

by the 7-bit American National 

Standard Code for

Information Interchange (ASCII) found in 

table 93 with the exception of the 

reserved values.

1 M Type1-ASCII ForEach(Field in Record ST Type(Record) EQ 1)

{

ForEach(InfoItem in Field)

{

{Bytes(InfoItem)} MO [0x20 to 0x7E]

}

}

Y B*-O

C.4.1,

5.6

For compatibility with existing 

implementations of the standard, 

implementers may wish to limit content to 

the 128 characters that can be 

represented by 7-bit ASCII.

Nevertheless, senders and receivers of 

XML packages using this standard may 

agree on other character sets, including 

international character sets.

The default in XML is UTF-8

1 M NIEMType1-User 

Defined

TRUE t-4 Y X-C
23

Req. # - ID Ref.in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

5: Data Conventions

SEC5.38 -

Transaction: 

EncodingBase64

5.6 Base-64 shall be used for converting nonASCII text into ASCII form, where required 

and noted in the standard. 

1 M DataEncodingBase-64<These assertions are addressed in the record 

type tables where Base-64 encoding is required.>

SEC5.39 -

Field: 

SEC5.40 -

EncodingCharSets

5.6,

Table 4 

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 (CSI and CSN) are 

selected from the appropriate columns of 

Table 4 . 

3 O DataEncodingCharSets<Unsupported.> t-4 NA B
24

6.4 Section 6: Implementation Domain and Application Profiles

Table 6.2 - Assertions for Implementation Domain & Application Profiles

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supporte

d Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

6: Implementation Domain and Application Profiles

SEC6.1 -

Field: 

Domain

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.

3 O FieldsDomain<Unsupported.> t-3 NA B

SEC6.1 -

Field: APS

6 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 profile

specified. A transaction must conform to 

each profile that is included in this field.

3 O Fields-APS <Unsupported.> t-3 NA B
25

6.5 Section 7: Information Associated with Several Records

Table 6.3 - Assertions for Information Associated with Several Records

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

SEC7.1 -

Field: 

xx.001-

Record 

Header

7.1

C.4.7,

C.7

The record header appears as the first 

field (xx.001) in each Record Type. It 

contains information particular to the 

encoding format chosen, in order to 

enable proper reading of the record. In 

Traditional encoding, this field contains 

the record length in bytes (including all 

information separators).

Record Length. There is no corresponding 

XML element. See Section 7.1.

In NIEM-conformant XML encoding, this 

field contains the RecordCategoryCode, 

which is the numeric representation of 

the Record Type. 

The first element in all XML encoded 

records shall be labeled

<biom:RecordCategoryCode> and contain 

the type (category) number of the record.

1 M TypexxField001Fir

st

ForEach(Record in Transaction 

{

FieldNumber(First(Field in Record)) EQ 1

}

NA T

1 M NIEMTypexxField001Fir

st

ForEach(Record in Transaction)

{

First(Field in Record) EQ 

XElm(<biom:RecordCategoryCode>)

}

Y X-C

2 M TypexxField001Eq

ualsRecord

Length

ForEach(Record in Transaction)

{

{Record.001} EQ Length (Record)

}

NA T

1 M NIEMxx.001-

Value

< These assertions are included under assertions

for the associated record types.>

t-2

SEC7.2 -

Transaction: 

Record

Length

7.1 In the 2007 version of the standard, the 

record length was unrestricted for Record 

Type-1. It

was a maximum value having up to 4-

bytes in ASCII representation for Record 

Types 4 and

7 and 8. 

For Record Types 9 and above it was 

restricted to 8 characters (99,999,999).

These values are retained in this version 

for Traditional encoding.

1 M Record 

Lengths

< These assertions are included under assertions

for the associated record types.>

t-2
26

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

SEC7.3 -

Field: 

xx.999-

Reserved

7.2 Field xx.999 is reserved in Record Types 

10 and above for data associated with the 

record that is described in the other fields 

of the record. It is mandatory in most of 

these record types (It does not appear in 

Type-18 or Type-98). Only in Record 

Types 14, 15, 17 and 19 is it possible for 

Field xx.999 to be optional – when an 

amputated or missing body part is noted 

in the appropriate field in those record 

types. 

M xx.999-

Reserved

< These assertions are included under assertions

for the associated record types.>

t-2

2 M TypexxField999No

tPresent

ForEach(Record ST Type(Record) MO [1 to 9, 18, 

98])

{

Not Present(Field 999 in Record)

}

NA T

2 M NIEMTypexxField999No

tPresent

<Fields are not tagged in XML. This assertion is 

covered by NIEM_Undefined_Elements>

Y X-C

SEC7.4 -

Field: 

xx.002-IDC

7.3.1, 

Annex B,

C.7

The second field shall be labeled as field 

“2” and contain the information 

designation character. (Traditional 

Encoding)

The second element in every record other 

than the Type-1 record,

shall be labeled 

<biom:ImageReferenceIdentification> and 

contain the Information designation 

character / IDC (XML Encoding).

Each of the records present in a 

transaction, with the exception of the 

Type-1 record, shall include a field 

(xx.002) containing the information 

designation character / IDC6. The value of 

the IDC shall be a sequentially assigned 

positive integer starting from zero and 

incremented by one up to a maximum of 

99. IDC references are stated in Type-1 

Field 1.003 Transaction content / CNT and 

shall be used to relate information items 

in the CNT field of the Type-1 record to 

the other records in the transaction. Two 

or more records may share a single IDC 

solely to identify and link together 

records that pertain to different 

1 M TypexxField002Exi

sts

ForEach( Record ST Type(Record) NEQ 1)

{

Present(Record.002)

}

NA T

1 M NIEMTypexxField002Exi

sts

ForEach(Record ST Record NEQ 

XElm(itl:PackageInformationRecord))

{

Present(XElm(biom:ImageReferenceIdentificatio

n)

}

Y X-C

1 M TypexxField002Sec

ond

ForEach( Record ST Type(Record) NEQ 1)

{

FieldNumber(Second(Field in Record)) EQ 2

}

NA T

1 M NIEMTypexxField002Sec

ond

ForEach(Record ST Record NEQ 

XElm(itl:PackageInformationRecord))

{

Second(Field in Record) EQ 

XElm(biom:ImageReferenceIdentification)

}

Y X-C

2 M Transaction

-

Var(IDC_Fields)

{

t-20 NA T
27

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

representations of the same biometric 

trait.

IDCSequent

ialValues

All(Fields in 

Records ST Type(Records) NEQ 1 AND 

FieldNumber(Fields) EQ 2)

}

<IDC_Fields must be sorted numerically from 

least to greatest value before performing the 

following tests, although no order is required in 

the Transaction>

{First(Field in IDC_Fields)} EQ 0

AND

ForEach(Field in IDC_Fields)

{{Next(Field)} LTE <Current Maximum IDC Value> 

+1

AND {Field} MO [Integers]

}

1 M xx.002-

Value

ForEach(Record ST Type(Record) NEQ 1)

{

{Record.002} MO [0 to 99]

}

Y B-O

2 M NIEMTransaction

-IDCSequential

Values

Var(IDC_Fields)

{

All(XElm(biom:ImageReferenceIdentification))

}

<IDC_Fields must be sorted numerically from 

least to greatest value before performing the 

following tests, although no order is required in 

the Transaction>

{First(Field in IDC_Fields)} EQ 0

t-20 Y X-O
28

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

AND

ForEach(Field in IDC_Fields)

{

{Next(Field)} LTE <Current Maximum IDC Value> 

+1

}

2 M Transaction

-

MatchingID

CValuesComparabl

eBiometric

Types

<See tables in test note.> t-5 Y B-O

1 M 1.003-CNT <These assertions are included under assertions

for Record Type-1: Transaction Information 

Record.>

t-2

SEC7.5 -

Field: 

xx.002-

IDCImages

7.3.1 Two or more image records may share a 

single IDC only when they are 

enhancements of a single image; such 

transformations shall have identical 

dimensions. 

2 M Transaction

-

MatchingID

CSameImag

eDimension

ForEach(Pair(A,B) of Records <with matching IDC 

fields>)

{

{A.006} EQ {B.006}

AND

{A.007} EQ {B.007}

}

Y B-O

3 M Transaction

-

IDCsFromS

ameImage

<Unsupported:

Not feasible to test if the samples are from the 

same image, only that the samples come from 

the same type of biometric trait (see Field:

xx.002-IDC)>

t-1 NA B

SEC7.6 - 7.3, ...optional field xx.997 is allowed in 2 O Typexx- ForEach(Field ST Type(Field) EQ 997) NA T
29

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Field: 

xx.997-SOR

7.3.2 biometric data sample Record Types 10 

and above that could have the biometric 

sample derived from a source 

representation in Record Type-20. The 

biometric data is stored in Field xx.999.

Record Type-18 (DNA) does not contain a 

field xx.997, since it does not contain a 

field 18.999. Record Type-98 does not 

contain this field, since that is not a

biometric data record type. Record Type21 does not contain biometric data and 

thus does not include field xx.997. This 

field is comprised of one mandatory and 

one optional information item, as 

described below.

Field997No

tPresent

{

Type(ParentRecord(Field)) GTE 10 AND NOT MO 

[18,20, 21,98]

}

2 O NIEMTypexxField997No

tPresent

ForEach(Field ST Field EQ 

XElm(biom:SourceRepresentation)) 

{

{XElm(biom:RecordCategoryCode) in 

ParentRecord(Field)} GTE 10 AND NOT MO [18, 

20, 21, 98]

}

See <NIEM_Undefined_Elements>

t-2 Y X-P 

<Allows 

SourceRepr

esentation 

in 9, 18, 20, 

21>

1 O xx.997 –

SubfieldCo

unt

ForEach(Field ST FieldNumber(Field) EQ 997) 

{

Count(Subfields in Field) MO [1 to 255]

}

NA T

SEC7.7 -

Field: 

xx.997-SORSRN

7.3,

7.3.2.1

The first information item contains the 

source representation number / SRN. This 

is mandatory for each Field xx.997. It 

contains an index to a particular instance 

of a Type-20 record in the transaction. 

This same index value appears in the 

appropriate instance of

Record Type-20 as Field 20.021: Source 

representation number / SRN. The value 

of the SRN shall be a sequentially 

assigned positive integer starting from 

one and incremented by one, not to 

exceed 255. 

2 M

⇑

Transaction

-SRNMatch

ForEach(Field ST FieldNumber(Field) EQ 997)

{

ForEach(Subfield in Field)

{

Present(Record in Transaction ST

Type(Record) EQ 20

AND

{Record.021} EQ { InfoItem:1 in Subfield}

)

}

}

Y B*-O

2 O Transaction

-SRNSequential

Values

Var(SOR_Fields)

{

All(Fields ST FieldNumber(Fields) EQ 997) 

}

Var(MaxSRN){2}

t-20 Y B*-O
30

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

<SOR_Fields must be sorted numerically from 

least to greatest value before performing the 

following tests, although no order is required in 

the Transaction>

{InfoItem:1 in Subfield:1 in First(Field in 

SOR_Fields)} EQ 1

AND

ForEach(Field in SOR_Fields)

{

ForEach(Subfield in Field)

{

{InfoItem:1 in Subfield} LTE {MaxSRN} 

AND IF {InfoItem:1 in Subfield} EQ {MaxSRN} 

THEN 

Var(MaxSRN) { MaxSRN + 1}

1 O xx.997-

SRN-Value

ForEach(Field ST FieldNumber(Field) EQ 997)

{

ForEach(Subfield in Field)

{

{InfoItem:1 in Subfield} MO [1 to 255]

}

}

Y B*-O

SEC7.8 -

Field: 

xx.997-SORRSP

7.3,

7.3.2.2

The second information item in Field 

xx.997 is optional. It is the reference 

segment position / RSP. It contains the 

index to a particular set of segmentation 

coordinates of the source representation 

(There may be more than one segment, 

such as from an audio / visual recording, 

2 O

⇑

Transaction

-RSP-Match

ForEach(Field ST FieldNumber(Field) EQ 997)

{

ForEach{Subfield in Field)

{

IF(Present(InfoItem:2 in Subfield)

{

Present(Record in Transaction ST

Y B*-O
31

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

with different frames yielding input for 

separate biometric data record instances 

in the same transaction). This same 

segmentation index value appears in 

Record Type-20 as the reference segment 

position / RSP in Field 20.016: Segments / 

SEG. There may be up to 99 segments 

listed in Field 20.016, but only the 

segment used to produce the biometric

data contained in Field xx.999 of the 

particular instance of Record Type-xx is 

identified in

Field xx.997.

Type(Record) EQ 20

AND

{Record.021} EQ { InfoItem:1 in Subfield}

AND

Present Subfield in {Record.016} ST InfoItem:1 in 

Subfield EQ

{InfoItem:2 in Field})

}

}}

3 O Transaction

-RSPCorrectSeg

ment

<Unsupported:

Not feasible to test if the RSP that matches was 

used to produce the biometric data. >

t-1 NA B*

1 O xx.997-RSPValueForEach(Field ST FieldNumber(Field) EQ 997)

{

ForEach(Subfield in Field)

{

{InfoItem:2 in Subfield} MO [1 to 99]

}

}

Y B*-O

1 O 20.016-

SubfieldCo

unt

Count(Subfields in 20.016) MO [1 to 99] AND MO 

[Integers]

NA T

SEC7.9 -

Field: 

xx.995-ASC

7.3,

7.3.3

New to this version of the standard, 

optional field xx.995 is contained in 

biometric data sample Record Types 10 

and above that may have instances of 

Record Type-21 linked to it...

This field consists of a maximum of 255 

repeating subfields, each of which 

contains two information items, as 

described below.

2 O TypexxField995No

tPresent

ForEach(Record ST Type(Record) MO [1 to 10, 

18, 98])

{

Not Present(Field 995 in Record)

}

NA T

2 O NIEMTypexxField995No

tPresent

<Fields are not tagged in XML. This assertion is 

covered by NIEM_Undefined_Elements>

t-2 Y X-P

<Allows 

types 9 and 

21>.

1 O xx.995-

SubfieldCo

unt

ForEach(Field ST FieldNumber(Field) EQ 995) 

{

Count(Subfields in Field) MO [1 to 255]

}

NA T
32

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

SEC7.10 -

Field: 

xx.995-ASCACN

7.3,

7.3.3.1

The first information item contains the 

associated context number / ACN for a 

particular Record Type-21. This is 

mandatory for each Field xx.995, when 

the field is used. It contains an index to a 

particular instance of a Type-21 record in 

the transaction. This same index value 

appears in the appropriate instance of 

Record Type-21 as Field 21.021:

Associated context number / ACN. The 

value of the ACN shall be a sequentially 

assigned a positive integer starting from 

one and incremented by one, not to 

exceed 255.

2 M

⇑

Transaction

-ACNMatch

ForEach(Field ST FieldNumber(Field) EQ 995)

{

ForEach(Subfield in Field)

{

Present(Record in Transaction ST

Type(Record) EQ 21

AND

{Record.021} EQ { InfoItem:1 in Subfield}

)

}

}

Y B*-O

2 O Transaction

-ACNSequential

Values

Var(ASC_Fields)

{

All(Fields in Transaction ST FieldNumber(Fields) 

EQ 995) 

}

Var(MaxACN){2}

<ASC_Fields must be sorted numerically from 

least to greatest value before performing the 

following tests, although no order is required in 

the Transaction>

{InfoItem:1 in Subfield:1 in First(Field in 

ASC_Fields)} EQ 1

AND

ForEach(Field in ASC_Fields)

{

ForEach(Subfield in Field)

{ IF{InfoItem:1 in Subfield} EQ {MaxACN} THEN 

Var(MaxACN) { MaxACN + 1}

t-20 Y B*-O
33

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

}

}

1 O xx.995-

ACN-Value

ForEach(Field ST FieldNumber(Field) EQ 995)

{

ForEach(Subfield in Field)

{

{InfoItem:1 in Subfield} MO [1 to 255]

}

}

Y B*-O

SEC7.11 -

Field: 

xx.995-ASCASP

7.3,

7.3.3.2

The second information item in Field 

xx.995 is optional. It is the associated 

segment position / ASP. It contains the 

index to a particular set of segmentation 

coordinates of the associated context 

data. This same segmentation index value 

appears in Record Type-21 as the 

associated segment position / ASP in Field 

21.016: Segments / SEG. There may be up 

to 99 segments listed in Field 21.016, but 

only the relevant segment is contained in 

Field xx.995.

2 O

⇑

Transaction

-ASP-Match

ForEach(Field ST FieldNumber(Field) EQ 995)

{

ForEach{Subfield in Field)

{

VAR(AspVal) EQ InfoItem:2 in Subfield

IF(Present(AspVal)

{

Present(Record in Transaction ST

Type(Record) EQ 21

AND

{Record.021} EQ { InfoItem:1 in Subfield}

AND

Present Subfield in {Record.016} ST InfoItem:1 in 

Subfield EQ { AspVal }

}

}

Y B*-O

1 O xx.995-ASPValueForEach(Field ST FieldNumber(Field) EQ 995)

{

ForEach(Subfield in Field)

{

{InfoItem:2 in Subfield} MO [1 to 99]

}

}

Y B*-O

3 O

⇑

xx.995-ASPCorrectSeg<Unsupported:

Not feasible to test if the ASP that matches is the 

t-1 NA B
34

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

ment one that is relevant. >

SEC7.12 -

Field: 

10.039-

RefNum

7.3,

7.3.4

There may be several Type-10 images of a 

particular part of the body. For instance, a

photograph of a tattoo may cover the 

entire tattoo. Another may be a zoom-in 

shot of a portion of the tattoo. In order to 

link these two images, the same index 

number is assigned to Field 10.039: Type10 reference number / T10, which is new 

to this version of the standard. Note that 

these images would have different IDC 

values.

2 D Transaction

-SameT10-

DiffIDC

IF Count(Records ST Type(Records) EQ 10) GT 1

THEN

ForEach(Pair (A,B) of Records ST Type(Records) 

EQ 10)

{

IF {A.039} EQ {B.039}

THEN

{A.002} NEQ {B.002}

}

NA T

2 D NIEMTransaction

-SameT10-

DiffIDC

IF 

Count(XElm(itl:PackageFacialAndSMTImageRecor

d)) GT 1

THEN

ForEach(Pair (A,B) of 

XElm(itl:PackageFacialAndSMTImageRecord)

{

IF { XElm(nc:IdentificationID) in 

XElm(biom:PhysicalFeatureReferenceIdentificati

on) in A} EQ { XElm(nc:IdentificationID) in 

XElm(biom:PhysicalFeatureReferenceIdentificati

on) in B} 

THEN

{ XElm(nc:IdentificationID) in 

XElm(biom:ImageReferenceIdentification) in A} 

NEQ { XElm(nc:IdentificationID) in 

XElm(biom:ImageReferenceIdentification) in B} 

}

Y X-O

3 D Transaction

-T10-

<Unsupported:

Not feasible to test if the images are related to 

t-1 NA B
35

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

SameBodyP

art

the same part of the body.>

SEC7.13 -

Field: 

14.026-

SimCap

7.3,

7.3.5

In order to accommodate the emergence 

of technology that can simultaneously 

capture fingerprint images on separate 

platens or other technology that does not 

preserve the full relative position of the 

fingers to each other, Field 14.026: 

Simultaneous capture / SCF allows the 

user to specify the same reference 

number for all images that were 

simultaneously captured.

3 O 14.026-SCF <Unsupported:

Not feasible to test if the images were captured 

simultaneously. >

t-1 NA B

SEC7.14 -

Field: 

xx.902-ANN

7.4.1 New for this version of the standard, 

optional field xx.902 is used to store 

annotation, logging, or processing 

information associated with one or more 

processing algorithms or workstations. If 

present, this text field shall consist of one 

or more subfields comprised of a set of 

information items.

Four mandatory information items 

comprise a subfield:

• The first information item is the GMT 

date and time / GMT when the processing

occurred. (See Section 7.7.2.2)

• The second information item 

(processing algorithm name/version / 

NAV) shall contain text of up to 64 

characters identifying the name and 

version of the processing 

algorithm/application or workstation.

• The third information item (algorithm 

owner / OWN) shall contain text of up to 

64 characters with the contact 

information for the organization that 

developed/maintains the processing 

algorithm/application or latent 

1 O xx.902-

SubfieldCo

unt

Count(Subfields in Record.902) GTE 1 NA T

1 O xx.902-

InfoItemCo

unt

ForEach(Subfield in Record.902)

{

Count(InfoItems in Subfield) EQ 4

}

NA T

1 M

⇑

xx.902-

GMT-Value

ForEach(Subfield in Record.902)

{

{InfoItem:1 in Subfield}

MO [ValidUTC/GMT] 

}

t-6 NA T

1 M

⇑

NIEMxx.902-

GMT-Value

ForEach(Field ST Field EQ 

XElm(biom:ProcessAnnotation))

{

{XElm(biom:ProcessUTCDate) in Field} MO 

[NIEM-ValidUTC/GMT] 

}

t-6 Y X*-I

<Allows 

timezones, 

but 

standard 

specifies Z 

only. Also 

allows 

optional 
36

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

workstation.

• The fourth and final information item 

(process description / PRO) shall contain 

text of up to 255 characters describing a 

process or procedure applied to the 

sample in this Type-XX record.

element 

(nillable) >

1 M

⇑

xx.902-

NAVCharCount

ForEach(Subfield in Record.902)

{

Length(InfoItem:2 in Subfield) MO [1 to 64]

}

Y B*-O

1 M

⇑

xx.902-

OWNCharCount

ForEach(Subfield in Record.902)

{

Length(InfoItem:3 in Subfield) MO [1 to 64]

}

Y B*-O

1 M

⇑

xx.902-

PROCharCount

ForEach(Subfield in Record.902)

{

Length(InfoItem:4 in Subfield) MO [1 to 255]

}

Y B*-O

SEC7.15 -

Field: 9.901-

ULA

7.4.2 This optional field, which is new to this 

version of the standard, exists only in 

Record Type- 9. The ULW has been 

extensively used and logs generated from 

it were routinely transmitted in userdefined Field 9.901 in previous versions of 

this standard. Thus, this version of the 

standard formally includes Field 9.901: 

Universal latent workstation annotation 

information / ULA to record latent 

processing logs formatted according to 

the ULW.

- O 9.901-ULW <The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions

for Record Type-9: Minutiae data record.>

t-2

SEC7.16 -

Field: 

98.900-ALF

7.4.3 If a user wishes to maintain a log of 

differences between transmissions,... may 

be used to indicate how and why a 

transaction was modified. Record Type-98 

is new to this version of the standard. 

- O 98.900-ALF <The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions

for Record Type-98: Information assurance 

record.>

t-2

SEC7.17 -

Field: 

Comment

7.4.4 The optional Comment field appears in 

many record types and may be used to 

insert free text information. It is not 

1 O 10.038-

CharCount 

Length(10.038) MO [1 to 126] Y B-O

1 O xx.020- Length([13,14, 15, 16, 19, 20, 21].020) MO [1 to Y B-O
37

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

reserved exclusively for log-related 

information but has historically often 

been used for this purpose. It is limited to 

a maximum of 126 characters. The 

comment fields are:

Field 10.038

Field 13.020

Field 14.020

Field 15.020

Field 16.020

Field 17.021

Field 18.022 

Field 19.020

Field 20.020 

Field 21.020

The EFS comment field in Record Type-9 

is limited to 200 characters. It is:

Field 9.351: EFS comments / COM

CharCount 126]

1 O 17.021-

CharCount 

Length(17.021) MO [1 to 126] Y B-O

1 O 18.022-

CharCount

Length(18.022) MO [1 to 126] Y B-O

SEC7.18 -

Field: 

98.003-

IA/DFO

7.5.1 The Record Type-98: Information 

assurance record, which is new to this 

version of the standard, allows special 

data protection procedures to ensure the 

integrity of the transmitted data. Field 

98.003: IA data format owner / DFO and 

Field 98.005: IA data format type / DFT 

define the information assurance regime 

that is employed to store data in Fields

98.200-899: User-defined fields / UDF.

M 98.003-DFO <The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions

for Record Type-98: Information assurance 

record.>

t-2
38

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

SEC7.19 -

Field: HAS

7.5.2 Optional field xx.996, which is new to this 

version of the standard, is designed for 

use in Record types 10 and above that 

have a Field xx.999 storing the biometric 

data. It is comprised of 64 characters 

representing hexadecimal values. Thus, 

each character may be a digit from “0” to 

“9” or a letter “A” through “F”.

2 O TypexxField996No

tPresent

ForEach(Record ST Type(Record) MO [1 to 10, 

18, 98])

{

Not Present(Field 996 in Record)

}

NA T

2 O NIEMTypexxField996No

tPresent

<Fields are not tagged in XML. This assertion is 

covered by NIEM_Undefined_Elements>

t-2 Y X-P

<Allows 

types 9 and 

18>.

1 O xx.996-

HASCharType

ForEach(Field ST FieldNumber(Field) EQ 996) 

{

Bytes(Field) MO[ASCII(0 to 9,A to F)]

}

Y B-P

<Allows 

lowercase 

with 

pattern ([0-

9a-fAF]){64}>

1 O xx.996-

HASCharCount

ForEach(Field ST FieldNumber(Field) EQ 996) 

{

Length(Field) EQ 64

}

Y B-C

SEC7.20 -

Field: 

Agency 

Codes

7.6 In the 2007 version of the standard, 

Record Type-1 fields for agency 

identification were

comprised of one information item 

{destination}{originating} agency 

identifier / DAI or

ORI. The 2008 version of the 

standard added a second optional 

information item

{destination}{originating} agency name / 

DAN or OAN, and is a text description of 

the organization name. 

In this version of the standard, the agency 

names (DAN and OAN) are contained in a 

new field (Field 1.017 Agency names / 

ANM) since information items cannot be 

1 M Fields: 

DAI/ORI

<See Record Type-1 assertions associated with 

Fields 1.007 and 1.008 in “8.1: Record Type-1: 

Transaction Information Record”.>

t-2 B

1 M Fields: 

DAN/OAN

<See Record Type-1 assertions associated with 

Field 1.017 in “8.1: Record Type-1: Transaction 

Information Record”.>

t-2 B
39

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

added to existing fields in Traditional 

encoding and still preserve backward 

compatibility. DAN and OAN have an 

unlimited maximum number of characters 

in this version. 

XML encoding is not dependent upon the 

field number, so there is no change 

required for compatibility with the 2008 

version. Both information items in ANM 

are optional and may be encoded using 

alphanumeric characters with any special 

characters allowed in ASCII.

The affected fields are: 

➔ Field 1.007 Destination agency 

identifier / DAI

➔ Field 1.008 Originating agency 

identifier / ORI

➔ Field 1.017 Agency names / ANM

SEC7.21 -

Field: Source 

Agency

7.6, 

Table 22,

Table 58,

Table 70,

Table 71,

Table 75

In many Record types, Field xx.004 

contains the SRC. This is the identifier of 

the agency that actually created the 

record and supplied the information 

contained in it... SRC is unlimited in size 

and is “U” character type.

1 M Fields-SRC 

Length

Length( [10,13 to 21, 98, 99].004) GTE 1 Y B-O

1 M [10,13 to 

21, 98, 

99].004-

CharType

TRUE Y B-C

1 M [10,13 to 

21, 98, 

99].004-

Value

TRUE Y B-C

SEC7.22 -

Field: Source 

Agency 

Name

7.6, 

Table 22,

Table 58,

Table 70,

Table 71,

Table 75

In order to maintain backward 

compatibility with the 2007 version 

while maintaining backward compatibility 

with the 2008 version, a new optional 

Field xx.993 has been added for the 

Source agency name / SAN. SAN is up to 

125 characters and in “U” character type.

1 M Fields-SAN 

Length

ForEach(Field ST FieldNumber(Field) EQ 993)

{

Length(Field) MO [1 to 125]

}

Y B-O

1 M xx.993-

CharType

TRUE Y B-C

1 M xx.993-

SAN-Value

TRUE Y B-C
40

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

SEC7.23 -

Field: Device 

ID

7.7.1.1 The DUI shall contain a string uniquely 

identifying the device or source of the 

data. This field shall be one of:

• Host MAC address, identified by the 

first character “M”, or

• Host processor ID, identified by the first 

character “P.

Fields containing the DUI are:

-Field 9.903: Device unique identifier / 

DUI

-Field 10.903: Device unique identifier / 

DUI

-Field 13.903: Device unique identifier / 

DUI

-Field 14.903: Device unique identifier / 

DUI

-Field 15.903: Device unique identifier / 

DUI

-Field 16.903: Device unique identifier / 

DUI

-Field 17.017: Device unique identifier / 

DUI

-Field 19.903: Device unique identifier / 

DUI

-Field 20.903: Device unique identifier / 

DUI

-Field 99.903: Device unique identifier / 

DUI

The MAC address takes the form of six 

pairs of hexadecimal values (0 through 9 

and A through F). They are represented 

without separators in this standard for a 

total of 13 characters. The processor ID 

may be up to 16 characters.

1 O xx.903, 

17.017-

Value

IF(First(Byte in [9,10,13 to 16, 19, 20, 99].903, 

17.017) EQ ASCII(M) THEN

{

Bytes([9,10,13 to 16, 19, 20, 99].903) MO[ASCII(0 

to 9, A to F)]

AND 

Length([9,10,13 to 16, 19, 20, 99].903) EQ 13

}

IF(First(Byte in [9,10,13 to 16, 19, 20, 99].903) EQ 

ASCII(P) THEN

{

Length([10,13,14].903) EQ MO[13 to 16]

}

Y B-O
41

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

SEC7.24 -

Field: Make 

Model

7.7.1.2 The MMS contains the make, model and 

serial number for the capture device. It 

shall consist of three information items. 

Each information item shall be 1 to 50 

characters. Any or all information items 

may indicate that information is unknown 

with the value “0”.

Fields containing the MMS are:

-Field 9.904: Make/model/serial number 

-Field 10.904: Make/model/serial number 

-Field 13.904: Make/model/serial number 

-Field 14.904: Make/model/serial number

-Field 15.904: Make/model/serial number

-Field 16.904: Make/model/serial number 

-Field 17.019: Make/model/serial number

-Field 19.904: Make/model/serial number

-Field 20.904: Make/model/serial number 

-Field 99.904: Make/model/serial number 

1 O xx.904-

SubfieldCo

unt

Count(InfoItems in [9, 10,13 to 16, 19, 20, 

99].904) EQ 3

NA T

1 O xx.904-

[MAK, 

MOD, SER]-

CharCount

Length(InfoItems in [9, 10,13 to 16, 19, 20, 

99].904) LTE 50 AND GTE 1

Y B*-O

1 O 17.019-

SubfieldCo

unt

Count(InfoItems in 17.019) EQ 3 NA T

1 O 17.019-

[MAK, 

MOD, SER]-

CharCount

Length(InfoItems in 17.019) LTE 50 AND GTE 1 Y B*-O

SEC7.25 -

Field: Device 

Monitoring

7.7.1.3,

Table 5

This field describes the level of human 

monitoring that was associated with the 

biometric sample capture. Alphabetic 

values are selected from Table 5. These 

are corresponding fields in the standard:

-Field 10.030: Device monitoring mode / 

DMM

-Field 14.030: Device monitoring mode / 

DMM

-Field 15.030: Device monitoring mode / 

DMM

-Field 16.030: Device monitoring mode / 

DMM

-Field 17.030: Device monitoring mode / 

DMM

-Field 19.030: Device monitoring mode / 

DMM

1 O xx.030-

Value

{[10,14 to 17, 19].030} MO [ASCII(CONTROLLED, 

ASSISTED, OBSERVED, UNATTENDED, 

UNKNOWN)]

Y B-C
42

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

SEC7.26 -

Field: UTC

7.7.2.2 UTC has replaced GMT as the main 

reference time scale terminology, but the 

older terminology is retained in this 

standard for existing record types. In this 

standard, Field

1.014 Greenwich mean time / GMT shall 

be taken to mean the UTC value. Some 

newer record types using this format 

refer to the data as UTC (such as in Field 

18.013: Sample collection date / SCD). 

This time is independent of the actual 

time zone where the time and date is 

recorded. The data is 

YYYYMMDDhhmmssZ, where the Z is 

indicates the zone description of 0 hours.

- M Fields-UTC <This requirement applies to any field that 

contains a date or time value. The assertions will 

be applied individually for those fields. >

t-2, t6

SEC7.27 -

Field: TIX

7.7.2.5,

Table 86,

Table 89

For Type-20 or Type-21 records 

containing video or audio, this field shall 

contain two information items, time index 

start /TIS and time index end / TIE for the 

start and end times of segments within a 

video or audio file, measured in 

hh:mm:ss.sss where ss.sss refers to the 

seconds and milliseconds.Thus, the 

allowed special characters are the colon 

and the period. TIX is comprised of one or 

more subfields. Each subfield corresponds 

to a single segment, with a starting and 

end time as separate information items.

- D Fields-TIX <The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions

for Record Type-98: Information assurance 

record.>

t-2

SEC7.28 -

Field: 

Geographic

7.7.3,

Table 57,

Table 70,

Table 71, 

New to this version of the standard, this 

optional field (xx.998) is used in most 

Record Types 10 and above. It specifies 

the coordinated universal time (UTC) and 

2 O TypexxField998No

tPresent

ForEach(Record ST Type(Record) MO [1 to 10, 

18, 98])

{

Not Present(Field 998 in Record)

NA T
43

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Table 73, 

Table 74,

Table 75,

Table 79, 

Table 85,

Table 86,

Table 91

the location where the biometric sample 

was collected. All of this information is 

contained in up to fifteen information 

items.

}

2 O NIEMTypexxField998No

tPresent

<Fields are not tagged in XML. This assertion is 

covered by NIEM_Undefined_Elements>

t-2 Y X-C

1 O xx.998-

InfoItemCo

unt

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

Count(InfoItems in Field) LTE 15

}

NA T

1 0 xx.998-

SubfieldCo

unt

ForEach(Field ST FIeldNumber(Field) EQ 998)

{

Count(Subfields in Field) EQ 1

}

NA T

1 O xx.998-[ 

LTD, LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN]-

CharType 

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

Bytes(InfoItem:1 in Field}) MO [0x30 to 0x39, 

0x5A]

AND

Bytes(InfoItem:2,5,8 in Field) MO 

[0x2D,0x2E,0x30 to 0x39]

AND

Bytes(InfoItem:3,4,6,7 in Field) MO [0x2E, 0x30 

to 0x39]

AND

Bytes(InfoItem:11,12 Field) MO [0x30 to 0x39]

AND

Bytes(InfoItem:9,10 in Field) MO [0x30 to 0x39, 

0x20, 0x41 to 0x5A, 0x61 to 0x7A]} 

Y B

1 O xx.998-

[GRT, OSI, 

OCV]-

CharType

TRUE Y B

1 O xx.998-

UTECharType 

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

Bytes(InfoItem:1 in Field}) MO [0x30 to 0x39, 

0x5A]

NA T
44

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

}

1 O NIEMxx.998-

UTECharType 

Bytes(XElm(biom:CaptureUTCDateTime)) MO 

[0x30 to 0x39, 0x2D, 0x3A, 0x54, 0x5A]

Y X*-I <Allows 

whitespace

>

1 O xx.998-

[LTD, LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

CharCount

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

Length(InfoItem:2 in Field) MO [1 to 9]

AND

Length(InfoItem:3,4,6 to 8,12 in Field) MO [1 to 

8]

AND

Length(InfoItem:5,14 in Field) MO [1 to 10]

AND

Length(InfoItem:9 in Field) MO [3 to 6]

AND

Length(InfoItem:10 in Field) MO [2, 3]

AND

Length(InfoItem:11 in Field) MO [1 to 6]

AND

Length(InfoItem:13 in Field) MO [1 to 150]

AND

Length(InfoItem:15 in Field) MO [1 to 126]

}

Y B*-O

1 O xx.998-

UTECharCount

ForEach(SubField in xx.998)

{

Length(InfoItem:1 in SubField) EQ 15

}

NA T

1 O NIEMxx.998-UTE 

CharCount

Length(XElm(biom:CaptureUTCDateTime) in 

xx.998) EQ 20

Y X-O

SEC7.29 -

Field: 

GeographicSubfield 1

7.7.3 The first information item is optional. It is 

the coordinated universal time entry 

/UTE. See Section 7.7.2.2.

1 O

⇑

xx.998 -

UTE-Value

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

{InfoItem:1 in Field} MO [ValidUTC/GMT]

}

t-6 NA T

1 O NIEMxx.998-{XElm(biom:CaptureUTCDateTime) in xx.998} MO 

[NIEM-ValidUTC/GMT]

t-6 Y X-I

<Allows 
45

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

⇑ UTE-Value timezones, 

but 

standard 

specifies Z 

only. Also 

allows 

optional 

element 

(nillable) >

SEC7.30 -

Field: 

GeographicConditional

7.7.3 The next eight information items 

(information items 2 through 9) comprise 

the Geographic Coordinate 

Latitude/Longitude. As a group, they are 

optional. However, latitude degree value 

/ LTD and longitude degree value / LGD 

are co-conditional, so they shall both be 

present if either is present. Further, 

“minutes” values LTM and LGM can only 

be present if their corresponding 

“degrees” values are present. LTS and LGS 

can only be present if their corresponding 

“minutes” value is present. The other 

entries are optional.

If a decimal value is used in a particular 

information item, the more granular 

information item shall be empty

(e.g., if Longitude minutes equals 45.27, 

Longitude seconds shall be empty).

LTM and LGM are co-conditional, so they 

shall both be present if either is present.

LTS and LGS are co-conditional, so they 

shall both be present if either is present.

If LTM is present, then LGM shall be 

present. 

If LTS is present, then LGS shall be 

2 - xx.998-LTDLGDConditionalForEach(Field ST FieldNumber(Field) EQ 998) 

{

Present{InfoItem:2 in Field} IFF

Present {InfoItem:5 in Field} 

}

Y B*-O

2 - xx.998-

LTM-LGMConditional

ForEach(Field ST FieldNumber(Field) EQ 998) 

{ 

Present{InfoItem:3 in Field) IFF

Present (InfoItem:6 in Field) 

}

Y B*-O

2 - xx.998-LTSLGSConditionalForEach(Field ST FieldNumber(Field) EQ 998) 

{ 

Present{InfoItem:4 in Field) IFF

Present (InfoItem:7 in Field) 

}

Y B*-O

2 - xx.998-

GCM-GCEGCNConditional

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

IF Present(InfoItem:10 OR InfoItem:11 OR 

InfoItem:12 in Field)

THEN

Present(InfoItem:10 AND InfoItem:11 AND 

InfoItem:12 in Field)

}

Y B*-O

2 O xx.998-LTSLTMConditionalForEach(Field ST FieldNumber(Field) EQ 998) 

{

IF Present (InfoItem:4 in Field) THEN

Present(InfoItem:3 in Field) 

}

Y B*-O
46

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

present.

The tenth, eleventh and twelfth 

information items are treated as a group 

and are optional.

These three information items together 

are a coordinate which represents a 

location with a Universal Transverse 

Mercator (UTM) coordinate. If any of 

these three information items is present, 

all shall be present.

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.

2 O xx.998-

LTM-LTDConditional

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

IF Present(InfoItem:3 in Field) THEN

Present (InfoItem:2 in Field)

}

Y B*-O

2 O xx.998-LGSLGMConditionalForEach(Field ST FieldNumber(Field) EQ 998) 

{

IF Present(InfoItem:7 in Field) THEN

Present (InfoItem:6 in Field) 

}

Y B*-O

2 O xx.998-

LGM-LGDConditional

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

IF Present(InfoItem:6 in Field) THEN

Present (InfoItem:5 in Field)

}

Y B*-O

2 O xx.998-

LGD-LGMLGSConditional

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

IF Present(ASCII(0x2E) in InfoItem:2 in Field)

THEN

NOT Present(InfoItem:3 in Field) AND NOT 

Present(InfoItem:4)

AND

IF Present(ASCII(0x2E) in InfoItem:3 in Field) 

THEN

NOT Present(InfoItem:4 in Field)

}

NA T

2 O NIEMxx.998-

LGD-LGMLGSConditional

ForEach(XElm(biom:CaptureLocation)) 

{

IF Present(ASCII(0x2E) in 

XElm(LongitudeDegreeValue)) THEN

NOT Present XElm(LongitudeMinuteValue) AND 

NOT Present XElm(LongitudeSecondValue) 

AND

Y X-O
47

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

IF Present(ASCII(0x2E) in 

XElm(LongitudeMinuteValue) ) THEN

NOT Present XElm(LongitudeSecondValue }

2 O xx.998-LTDLTM-LTSConditionalForEach(Field ST FieldNumber(Field) EQ 998) 

{

IF Present(ASCII(0x2E) in InfoItem:5 in Field)

THEN

NOT Present(InfoItem:6 in Field) AND NOT 

Present(InfoItem:7 in Field) 

AND

IF Present(ASCII(0x2E) in InfoItem:6 in Field)

THEN

NOT PresentInfoItem:7 in Field)

}

NA T

2 O NIEMxx.998-LTDLTM-LTSConditionalForEach(XElm(biom:CaptureLocation))

{

IF Present(ASCII(0x2E) in 

XElm(LatitudeDegreeValue)) THEN

NOT Present XElm(LatitudeMinuteValue) AND 

NOT Present XElm(LatitudeSecondValue) 

AND

IF Present(ASCII(0x2E) in 

XElm(LatitudeMinuteValue) ) THEN

NOT Present XElm(LatitudeSecondValue}

Y X-O

2 O xx.998-

OCV-OSIConditional

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

IF Present(InfoItem:14 in Field) THEN

Present (InfoItem:13 in Field)

}

Y B*-O

SEC7.31 -

Field: 

GeographicValues7.7.3 The second information item is latitude 

degree value / LTD. This is a value that 

specifies the degree of latitude. The value 

shall be between -90 (inclusive) and +90 

1 - xx.998-

[LTD, LTM, 

LTS, LGD, 

LGM, LGS, 

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

{InfoItem:2 in Field} GTE -90 AND LTE 90

Y B*-O
48

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

SubfieldCou

nt 2 to 8

(inclusive).

The third information item is latitude 

minute value / LTM. This is a value that 

specifies a minute of a degree. The value 

shall be between 0 (inclusive) to 60 

(exclusive).

The fourth information item is the 

latitude second value / LTS. This is a value 

that specifies a second of a minute. The 

integer shall be 0 (inclusive) to 60 

(exclusive).

The fifth information item is the longitude 

degree value / LGD. It is a value that 

specifies the degree of a longitude. The 

value shall be between -180 (inclusive) 

and

+180 (inclusive). 

The sixth information item is the 

longitude minute value / LGM. It is a 

value that specifies a minute of a degree. 

The value shall be from 0 (inclusive) to 60 

(exclusive).

The seventh information item is the 

longitude second value / LGS. This is a 

value that specifies a second of a minute. 

The integer shall be 0 (inclusive) to 60

(exclusive). 

The eighth information item is elevation / 

ELE. It is expressed in meters. It is a 

numeric value. It is between -422 meters 

(Dead Sea) and 8848 meters (Mount

ELE]-Value

AND

{InfoItem:3 in Field} GTE 0 AND LT 60

AND

{InfoItem:4 in Field} GT 0 AND LT 60

AND

{InfoItem:5 in Field} GTE -180 AND LTE 180

AND

{InfoItem:6 in Field} GTE 0 AND LT 60

AND

{InfoItem:7 in Field} GT 0 AND LT 60

AND

{InfoItem:8 in Field} GT -422 AND LT 8848

}
49

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Everest).

SEC7.32 -

Field: 

GeographicValuesSubField 9

7.7.3,

Table 6

The ninth information item is the 

geodetic datum code / GDC. 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 

6 for values.

1 O xx.998-

GDC-Value

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

{InfoItem:9 in Field} MO [ASCII(AIRY, AUST, BES, 

BESN, CLK66, CLK80, EVER, FIS60, FIS68, GRS67, 

HELM, HOUG, INT, KRAS, AIRYM, EVERM, 

FIS60M, SA69, WGS60, WGS66, WGS72, WGS84)]

OR 

Length(InfoItem:9 in Field) MO [3 to 6] AND 

Bytes(InfoItem:9 in Field) MO [0x30 to 0x39, 

0x20, 0x41 to 0x5A, 0x61 to 0x7A]

}

t-7 NA T

1 O NIEMxx.998-

GDC-Value

ForEach(XElm(biom:CaptureLocation)) 

{

{XElm(biom:GeodeticDatumCoordinateSystemCo

de)} MO [ASCII(AIRY, AUST, BES, BESN, CLK66, 

CLK80, EVER, FIS60, FIS68, GRS67, HELM, HOUG, 

INT, KRAS, AIRYM, EVERM, FIS60M, SA69, 

WGS60, WGS66, WGS72, WGS84)]

OR 

Length(XElm(biom:GeodeticDatumCoordinateSys

temName) MO [3 to 6] AND Bytes(InfoItem:9 in 

Field) MO [0x30 to 0x39, 0x20, 0x41 to 0x5A, 

0x61 to 0x7A]

}

t-7 Y B*-P

<Tests for 

GeodeticDa

tumCoordin

ateSystemC

ode are 

valid, but 

tests for 

userdefined 

GeodeticDa

tumCoordin

ateSystemN

ame are 

missing>.

SEC7.33 -

Field: 

GeographicValuesSubField 10

7.7.3 The tenth information item is the 

geographic coordinate universal 

transverse Mercator zone / GCM. It is an 

alphanumeric value of 2 to 3 characters.

This is a one or two digit UTM zone 

number followed by the 8 degree 

latitudinal band designator (which is a 

single letter). Valid latitudinal band 

designators include C through X, omitting 

1 O xx.998-

GCM-Value

ForEach(Field ST FieldNumber(Field) EQ 998) 

{

Length(InfoItem:10 in Field) EQ 2 OR 3

AND 

IF Length(InfoItem:10 in Field) EQ 2

THEN

t-8 Y B*-O
50

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

I and O. {Bytes:1 in InfoItem:10 in Field} MO [1 to 9]

AND

{Bytes:2 in InfoItem:10 in Field} MO [ASCII(C to 

X)] AND NOT MO [ASCII(I,O)]

ELSE IF Present(InfoItem:10 in Field)

{Bytes:1,2 in InfoItem:10 in Field} MO [10 to 60]

AND

{Bytes:3 in InfoItem:10 in Field} MO [ASCII(C to 

X)] AND NOT MO [ASCII(I,O)]

}

SEC7.34 -

Field: 

GeographicValuesSubField 11 

to 15

7.7.3 The eleventh information item is the 

geographic coordinate universal 

transverse

Mercator easting / GCE. It is an integer of 

1 to 6 digits.

The twelfth information item is the 

geographic coordinate universal 

transverse

Mercator northing / GCN. It is an integer 

of 1 to 8 digits. The thirteenth 

information item is optional. It is the 

geographic reference text /

GRT. This information item is an 

alphanumeric entry of up to 150 

characters. It is a

free form text describing a street address 

or other physical location (such as aband 

of Washington and Madison, Geneva, 

1 D xx.998-

[GCE, GCN, 

GRT, OSI, 

OCV]-Value

TRUE Y B*-C
51

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

NYison, Geneva, NYNYdress or other 

physical lgeographic coordinate other 

system

identifier / OSI allows for other 

coordinate systems. This information item

specifies the system identifier. It is up to 

10 characters in length. 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.

SEC7.35 -

Field: 

ImpressionValues

7.7.4.1,

Table 7 

,

8.4.3,

8.9.3,

8.13.3,

8.14.3,

8.15.3,

8.19.3

This field contains a code from Table 7 for 

how the friction ridge sample was 

collected. It has been expanded in this 

version of the standard to include 

plantars and unknowns.

1 M [4,9,13,14,1

5,19].003-

IMP

<The test assertions for these types vary for this 

requirement, and therefore included under 

assertions for the specific Record Types.>

t-2

SEC7.36 -

Field: FGPValues

7.7.4.2,

Table 8,

8.4.4,

8.9.5.9,

8.13.13,

8.14.13,

8.15.13,

8.19.13

FGP is used in Record types dealing with 

friction ridges. It specifies which friction 

ridge biometric sample was collected. 

Note that for codes 1-40 and 60-84, the 

Table 8 specifies recommended 

MAXIMUM width and height. (Individual 

implementation domains and application 

profiles may use different values.)

In previous versions of this standard, FGP 

was used for finger position, and PLP for 

palmprint position. They are now in one 

table, along with the codes added in the

ANSI/NIST-ITL 1a-2009 amendment. New 

to this version, plantar codes are included 

in the table. In order to cover all of these 

1 M 4.004,

9.134,

[13,14,15,1

9].013-FGP

<The test assertions for these types vary for this 

requirement, and therefore included under 

assertions for the specific Record Types.>

t-2
52

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

cases, the name was changed to friction 

ridge generalized position / FGP.

SEC7.37 -

Field: PPD 

Conditional

7.7.4.3 For exemplar fingerprints contained in 

Type-14 records, if the impression is 

known to be an entire joint image (EJI), 

full finger view (FFV), or extreme tip (TIP), 

then Field 14.013: Friction ridge 

generalized position / FGP shall be set to 

19, and Field 14.014: Print position 

descriptors / PPD shall be specified; Field 

14.015: Print position coordinates /PPC 

may be (optionally) specified.

2 D Type14-

14.013-

14.014-

Conditional

Present(14.014) IFF Present(InfoItem in 14.013 

ST {InfoItem} EQ 19)

NA T

2 D NIEMType14-

14.013-

14.014-

Conditional

Present(XElm(biom:FingerPositionCode) in 

XElm(FingerprintImageMajorCasePrint) AND 

XElm(biom:MajorCasePrintCode) in 

XElm(FingerprintImageMajorCasePrint) )IFF 

{XElm(FingerPositionCode) in 

XElm(biom:FingerImpressionImage)} EQ 19)

Y X-O

2 D Type14-

14.013-

14.015-

Conditional

IF Present(14.015) THEN Present(InfoItem in 

14.013) ST {InfoItem} EQ 19

NA T

2 D Type14-

14.013-

14.015-

Conditional

Present(XElm(biom:MajorCasePrintSegmentOffs

et) in XElm(FingerprintImageMajorCasePrint))

IFF {XElm(FingerPositionCode) in 

XElm(biom:FingerImpressionImage)} EQ 19)

Y X-O

SEC7.38 -

Field: 

SPD,PPC 

Conditional

7.7.4.3 For latent prints contained in Type-13 

records, if all or part of the impression 

should be compared against the medial or 

proximal segments or the extreme tips, 

then Field 13.013: Friction ridge 

generalized position / FGP shall be set to 

19, and Field 13.014: Search position 

descriptors / SPD shall be specified; Field 

13.015: Print position coordinates / PPC 

may be (optionally) specified.

2 D Type13-

13.013-

13.014-

Conditional

Present(13.014) IFF Present(InfoItem in 13.013 

ST {InfoItem} EQ 19)

NA T

2 D NIEMType13-

13.013-

13.014-

Conditional

Present(XElm(biom:FingerPositionCode) in 

XElm(FingerprintImageMajorCasePrint) AND 

XElm(biom:MajorCasePrintCode) in 

XElm(FingerprintImageMajorCasePrint) ) IFF 

{XElm(FingerPositionCode)} OR 

{XElm(PalmPositionCode)} or 

{XElm(PlantarPositionCode)} OR 

{XElm(FrictionRidgePositionCode)} EQ 19)

Y X-O

2 D Type13-

13.013-

13.015-

Conditional

IF Present(13.015) THEN Present(InfoItem in 

13.013 ST {InfoItem} EQ 19)

NA T

2 D NIEM- Present(XElm(biom:MajorCasePrintSegmentOffs Y X-O
53

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Type13-

13.013-

13.015-

Conditional

et) in XElm(FingerprintImageMajorCasePrint)) 

IFF {XElm(FingerPositionCode)} OR 

{XElm(PalmPositionCode)} or 

{XElm(PlantarPositionCode)} OR 

{XElm(FrictionRidgePositionCode)} EQ 19)

SEC7.39 -

Field: 

SPD,PPD 

Values

7.7.4.3,

Table 8,

Table 9

The position descriptor, in Field 13.014: 

Search position descriptors / SPD or Field 

14.014: Print position descriptors / PPD 

contains two mandatory information 

items:

For a Type-13 record (latent prints), the 

first information item (probable decimal 

finger position code / PDF) (0-10, 16 or 

17) is taken from Table 8. A “0” indicates

that all the fingers of a possible candidate 

should be searched. For a Type-14 record

(known exemplars), the first information 

item is the decimal finger position code / 

DFP. It is also taken from Table 8 with a 

value of 1 to 10, inclusive or 16 or 17.

The second information item (finger 

image code / FIC) is the code taken from 

Table 9 to indicate the portion of the 

database to search. Full-length finger 

joint images use codes FV1 through FV4. 

Figure 4 is an illustration of the Entire 

Joint Image for a middle finger with each 

of the full finger views and constituent 

parts identified. Multiple portions of the 

EJI may be listed in a separate subfield.

1 D 13.014-

PDF-Value

ForEach(Subfield in 13.014)

{

{InfoItem:1 in Subfield} MO [0 to 10, 16,17] AND 

MO [Integers]

}

Y B*-P <Tests 

for a finger 

position 

code, but 

not specific 

range 

indicated>

1 D 14.014-

DFP-Value

ForEach(Subfield in 14.014)

{

{InfoItem:1 in Subfield} MO [1 to 10, 16,17]

}

Y B*-P <Tests 

for a finger 

position 

code, but 

not specific 

range 

indicated>

1 D [13,14].014

-FIC-Value

ForEach(Subfield in [13,14].014)

{

{InfoItem:2 in Subfield} MO [ASCII( 

EJI,TIP,FV1,FV2,FV3,FV4,PRX,DST,MED)]

}

Y B*-I

<Allows NA 

and UNK>

SEC7.40 -

Field: PPCSubfield 

Occurrences

7.7.4.4,

Table 9,

Table 70, 

Table 71

When used, Field 13.015: Print position 

coordinates / PPC or Field 14.015: Print 

position coordinates / PPC shall consist of 

six (6) mandatory information items 

1 O [13,14].015

-

SubfieldCo

unt

Count(Subfields in [13,14].015) MO [1 to 12] NA T
54

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

describing the type or portion of the 

image contained in this record and its

location within an EJI... Individual full 

finger or segment definitions may be 

repeated as repeating sets of information 

items.

1 O [13,14].015

-

InfoItemCo

unt

ForEach(Subfield in [13,14].015)

{

Count(InfoItems in Subfield) EQ 6

}

NA T

SEC7.41 -

Field: PPCSubfield 1

7.7.4.4,

Table 9,

Table 70, 

Table 71

The first information item is the full finger 

view / FVC with values of “FV1” through 

“FV4”. Values of “FV1” to “FV4” specify 

the perspective for each full finger view. 

For the case of a fingertip, the first 

information item shall be “TIP”. FVC will 

contain the code “NA” if only a proximal, 

distal or medial segment is available.

1 M

⇑

[13,14].015

- FVC-Value

ForEach(Subfield in [13,14].015)

{

{InfoItem:1 in Subfield} MO [ASCII(FV1, FV2, FV3, 

FV4, TIP, NA)]

}

Y B*-I <Allows 

EJI>

SEC7.42 -

Field: PPCSubfield 2

7.7.4.4,

Table 9,

Table 70, 

Table 71

The second information item is used to 

identify the location of a segment / LOS 

within a full finger view. LOS will contain 

the not applicable code “NA” if the image 

portion refers to a full finger view, tip or 

to the entire joint image locations.

Otherwise, it shall contain “PRX”, “DST”, 

“MED” for a proximal, distal, or medial 

segment, respectively.

1 M

⇑

[13,14].015

- LOS-Value

ForEach(Subfield in [13,14].015)

{

{InfoItem:2 in Subfield} MO [ASCII( PRX, DST, 

MED, NA)]

}

Y B*-I 

<Allows 

UNK>

SEC7.43 -

Field: PPCSubfieldCou

nt 3,4

7.7.4.4,

Table 9,

Table 70, 

Table 71

The third information item is the left 

horizontal coordinate / LHC. It is the 

horizontal offset in pixels to the left edge 

of the bounding box relative to the origin 

positioned in the upper left corner of the 

image.

The fourth information item is the right 

horizontal coordinate / RHC. It is the 

horizontal offset in pixels to the right 

edge of the bounding box relative to the 

origin positioned in the upper left corner 

1 M

⇑

[13, 

14].015-

LHC-Value

ForEach(Subfield in [13,14].015)

{

{InfoItem:3 in Subfield} GTE 0 AND LTE 99999

}

Y B*-O

2 M

⇑

Type[13,14]

-[13, 

14].015-

LHCValueDepe

ndent

ForEach(Subfield in [13,14].015)

{

{InfoItem:3 in Subfield} GTE 0 AND LTE 

{[13,14].006} AND MO [Integers]

}

Y B*-O

1 M [13, 

14].015-

ForEach(Subfield in [13,14].015)

{

Y B*-O
55

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

of the image. ⇑ RHC-Value {InfoItem:4 in Subfield} GTE 0 AND LTE 99999

}

2 M

⇑

Type[13,14]

-[13, 

14].015-

RHCValueDepe

ndent

ForEach(Subfield in [13,14].015)

{

{InfoItem:4 in Subfield} GTE {InfoItem:3 in 

Subfield} AND LTE {[13,14].006} AND MO 

[Integers]

}

Y B*-O

SEC7.44 -

Field: PPCSubfieldCou

nt 5,6

7.7.4.4,

Table 9,

Table 70, 

Table 71

The fifth information item is the top 

vertical coordinate / TVC is the vertical 

offset

(pixel counts down) to the top of the 

bounding box.

The sixth information item is the bottom 

vertical coordinate / BVC. It is the vertical 

offset from the upper left corner of the 

image down to the bottom of the

bounding box. It is counted in pixels.

1 M

⇑

[13, 

14].015-

TVC-Value

ForEach(Subfield in [13,14].015)

{

{InfoItem:5 in Subfield} GTE 0 AND LTE 99999

}

Y B*-O

2 M

⇑

Type[13,14]

-[13, 

14].015-

TVCValueDepe

ndent

ForEach(Subfield in [13,14].015)

{

{InfoItem:5 in Subfield} GTE 0 AND LTE 

{[13,14].007} AND MO [Integers]

}

Y B*-O

1 M

⇑

[13, 

14].015-

BVC-Value

ForEach(Subfield in [13,14].015)

{

{InfoItem:6 in Subfield} GTE 0 AND LTE 99999

}

Y B*-O

2 M

⇑

Type[13,14]

-[13, 

14].015-

BVCValueDepe

ndent

ForEach(Subfield in [13,14].015)

{

{InfoItem:6 in Subfield} GTE {InfoItem:5 in 

Subfield} AND LTE {[13,14].007} AND MO 

[Integers]

}

Y B*-O

SEC7.45 -

Field: SAP 

Conditional

7.7.5,

8.10.13

SAP codes are mandatory in Type-10 

records with a face image. FAP is optional 

in Type-14. IAP is optional in Type-17 

records.

The Subject Acquisition Profile (SAP) is a 

mandatory field when Field 10.003: Image 

type / IMT contains “FACE”. Otherwise, it 

shall not be entered.

2 D Type10-

10.013-

CondCode 

DependentIMT

Present(10.013) IFF

{10.003} EQ ASCII (FACE)

Y B-O

SEC7.46 - 7.7.5.1, Field 10.013: Subject acquisition profile / 1 D 10.013- {10.013} MO [0,1,10 to 15,20,30,32,40,42,50 to Y B-O
56

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Field: SAP 

Values

Table 10 SAP has the SAP level code for face in 

Table 10. The SAP codes 32, 42 and 52 are 

new to this version of the standard.

Values 52]

SEC7.47 -

Field: SAPLevel 

Requiremen

ts

7.7.5.1.1 

to 

7.7.5.1.1

0,

Table 11,

Annex E

<Sections 7.7.5.1.1 to 7.7.5.1.10 describe 

requirements for the image for various 

SAP Levels.>

3 D 10.013-

Levels

<Unsupported: Determining the condition under 

which the image was captured to verify the SAP 

Level is not feasible at this time.> 

t-9 NA

SEC7.48 -

Field: FAP 

Values

7.7.5.2,

Table 12

The profile levels for fingerprint 

acquisition are optional and are based 

upon those listed in the Mobile ID Best 

Practice Recommendation. They are 

entered in Field 14.031:

Subject acquisition profile – fingerprint / 

FAP, which is new to this version of the 

standard.

1 O 14.031-

FAP-Value

{14.031} MO [10,20,30,40,45,50,60] Y B-I

<Allows 

whitespace

>

SEC7.49 -

Field: FAPLevel 

Requiremen

ts

7.7.5.2,

Table 12

<Section 7.7.5.2 and Table 12 describe 

requirements for the image for various 

FAP Levels.>

3 O 14.031-

Levels

<Unsupported: Determining the condition under 

which the image was captured to verify the FAP 

Level is not feasible at this time.>

t-9 NA

SEC7.50 -

Field: IAP 

Values

7.7.5.3,

Table 75

The profile levels for iris acquisition, 

which are new to this version of the 

standard, are optional and are based 

upon those listed in the Mobile ID Best 

Practice Recommendation (BPR) (See 

Annex G: Bibliography) . They are entered 

in Field 17.031: Subject acquisition profile 

– iris / IAP.

1 O 17.031-IAPValue{17.031} MO [20,30,40] Y B-I <Allows 

whitespace

>

SEC7.51 -

Field: IAPLevel 

Requiremen

ts

7.7.5.3 <Section 7.7.5.3 describes requirements 

for the image for various IAP Levels.>

3 M 17.031-IAP 

Levels

<Unsupported: Determining the condition under 

which the image was captured to verify the IAP 

Level is not feasible.>

t-9 NA

SEC7.52 -

Field: Image7.7.6 Each image formatted in accordance with this standard shall appear to have been 

3 M ImagesCoordinate<Not directly tested, but this convention is used 

when testing for conformance in each of the 

t-2 NA
57

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Coordinates captured in an upright position and 

approximately centered horizontally in 

the field of view...The y-coordinate 

(vertical) position shall increase positively 

from the origin to the bottom of the 

image. 

s assertions related to images>

SEC7.53 -

Record: 

Type4-

Resolution 

500 Only

7.7.6 All record types containing images are 

variable resolution except for Type-4, 

which has a fixed resolution. Record Type4 shall not be used for anything but the 

500 ppi class. 

In this version, NSR and NTR only apply to 

Record Type-4: Grayscale fingerprint 

image...

2 M Transaction

-[1.011, 

1.012]-

Conditional

IF(Present(Record ST Type(Record) EQ 4)

THEN

{1.011, 1.012} GTE 19.30 AND LTE 20.08 

ELSE

{1.011, 1.012} EQ 00.00

Y T

2 M NIEMTransaction

-[1.011, 

1.012]-

Conditional

IF(Present(XElm(tl:PackageHighResolutionGraysc

aleImageRecord))

THEN

{1.011, 1.012} GTE 19.30 AND LTE 20.08 

ELSE

{1.011, 1.012} EQ 00.00 or 0.00

Y X

SEC7.54 -

Field: 

Resolution 

Tolerance

7.7.6.1,

7.7.6.3,

Table 14

For Appendix F certified devices, 

resolution accuracy shall not vary more 

than 1% from the class resolution. A class 

resolution of 19.69 ppmm (500 ppi) has a 

lower bound of 19.49

ppmm (495ppi) and an upper bound of 

19.89 ppmm (505ppi).

For Personal

Identity Verification (PIV) certified devices 

with fingerprint subject application profile 

(FAP) Levels 10 to 40 only resolution 

accuracy shall not vary more than 2% 

from the class Resolution. For example, a 

class resolution of 19.69 ppmm (500 ppi) 

has a

lower bound of 19.30 ppmm (490ppi) and 

an upper bound of 20.08 ppmm (510ppi).

1 M FieldResolution 

Tolerance

<This requirement specifies a tolerance for all 

resolution values expressed throughout the 

standard. If there is a resolution requirement for 

a type, the resolution must follow the 1% or 2% 

tolerance as described in the standard. This 

requirement will be applied to each applicable 

resolution requirement.>

t-2
58

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Tolerance requirements shall apply to the 

class and nominal resolution 

requirements throughout this standard.

This transmitting resolution does not 

have to be the same as the scanning 

resolution.

However, the transmitting resolution shall 

be within the range of permissible 

resolution values for that record type.

SEC7.55 -

Field: NSR 

Conditional

7.7.6.2.1,

Table 14

If Type-4 records are included in the 

transaction, Field 1.011 Native scanning 

resolution /

NSR contains five characters specifying 

the native scanning resolution in pixels 

per millimeter. It is expressed as two 

numeric characters followed by a decimal 

point and two more numeric characters 

(e.g. 19.69). This field is set to “00.00” if 

no Type-4 records are present in the 

transaction. With the deprecation of 

Record Types-3, 5 and 6, NSR only directly 

applies to Record Type-4 in this version of 

the standard. New to this version of the 

standard, NSR does not apply to Type-7 

records, unless specified as such by an 

implementation domain.

Record Type-14 shall be used if scanning a 

fingerprint image at the 1000 ppi class or 

above.

It can also be used for the 500 ppi 

class.Record

1 M 1.011-NSRLengthLength(1.011) EQ 5 NA T

1 M NIEM1.011-NSRLengthLength(1.011) EQ 4 OR 5 Y X-O

1 M 1.011-NSRValueBytes:1,2,4,5 in 1.011 MO [0 to 9] 

AND

Byte: 3 in 1.011 EQ “.”

NA T

1 M NIEM1.011-NSRValue<Value in the form x.xx or xx.xx, where x is a digit 

0 through 9>

Y X-O

SEC7.56 -

Field: 

Exemplar 

7.7.6.2.3 The migration path to higher scanning 

resolutions for image capturing devices 

with a native scanning resolution of the 

2 M FieldsExemplar 

Valid Scan 

<Scanning resolutions for Record Types 

14,15,16,17,19 and 20 must migrate at a rate of 

100% with a minimum of 500 ppi. These 

t-2
59

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Scan 

Resolution

500 ppi class shall be at a rate of 100% of 

the current native scanning resolution.

Capture devices with native scanning 

resolutions not in step with this migration 

path shall provide (through subsampling, 

scaling, or interpolating downward) a 

nominal resolution that matches the next 

lower interval in the migration path. For 

example,

a device with native scanning resolution 

of 47.24 ppmm (1200 ppi) shall provide a 

class

resolution of 39.37 ppmm (1000 ppi)..

Resolutions assertions are included under assertions for the 

specific Record Types.>

SEC7.57 -

Field: Latent 

Resolution

7.7.6.2.2, 

7.7.6.1

Latent images shall have a minimum class 

scanning resolution of 1000 ppi. 

... resolution accuracy shall not vary more 

than 1% from the class resolution.

2 M Type13-

13.008-

Conditional

-SHPS

IF {13.008} EQ 1 THEN

{

IF Present(13.016), THEN {13.016} GTE 990

}

ELSE

IF {13.008} EQ 2 THEN

{

IF Present(13.016) THEN {13.016} GTE 

390

}

Y B-O

2 M Type13-

13.008-

Conditional

-SVPS

IF {13.008} EQ 1 THEN

{

IF Present(13.017), THEN {13.017} GTE 990

}

ELSE

IF {13.008} EQ 2 THEN

{

IF Present(13.017) THEN {13.017} GTE 

390

}

Y B-O

SEC7.58 -

Field: 

Transmitting 

Resolution 

7.7.6.3 Each image to be exchanged shall have a 

specific resolution associated with the 

transmitted data. This transmitting 

resolution does not have to be the same 

- M Fields-Tx 

Resolution 

Required 

Type4 

<The test assertions are included under 

assertions for the respective record types.>

t-2
60

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Required as the scanning resolution.

However, the transmitting resolution shall 

be within the range of permissible 

resolution values for that record type.

SEC7.59 -

Field: Type4 

NTR

7.7.6.3.1 Field 1.012 Nominal resolution / NTR shall 

specify the transmitting resolution in 

pixels per millimeter. It is expressed as 

two numeric characters followed by a 

decimal point and two more numeric 

characters (e.g. 19.69). The transmitting 

resolution shall be within the

range 19.30 ppmm (490 ppi) to 20.08 

ppmm (510 ppi) for a Type-4 record . This 

range

reflects the 2% tolerance from 500 ppi 

allowed for PIV certified devices. 

(SeeTable 14). For example, a sensor that 

scans natively at 508 ppi would list both 

NSR and NTR as 20 ppmm ( = 508 ppi). 

These images should not be sampled 

down to exactly 500 ppi. This field is set 

to “00.00” if no Type-4 records are 

present in the transaction. Given that the 

transmitting resolution shall not be 

greater than the scanning resolution, 

images meant for identification 

applications, such as those from Appendix 

F certified devices (See Table 14) are 

restricted to a 1% deviance from 500 ppi.

1 M 1.012-

CharCount

Length(1.012) EQ 5 NA T

1 M NIEM1.021-NTRLengthLength(1.011) EQ 4 OR 5 Y X-O

1 M 1.012-

Value

Bytes:1,2,4,5 in 1.012 MO [0 to 9] 

AND

Byte: 3 in 1.012 EQ “.”

NA T

1 M NIEM1.012-NTRValue<Value in the form x.xx or xx.xx, where x is a digit 

0 through 9>

Y X-O

2 M 1.012-NTR 

500 ppi

<See Requirement ID: “Record: Type4-Resolution 

500 Only”.>

t-2 B

2 M Type1-NTR 

LTE NSR

{1.012} LTE {1.011} Y B-O

SEC7.60 -

Field: 

Variable 

Resolution 

THPS,TVPS

7.7.6.3.2 For variable-resolution friction ridge 

images (those in Record Types 13, 14, 15, 

19 and possibly in Record Types 16 and 

20), the transmitting resolution shall be at 

least as great as the class resolution of 

500 ppi. There is no upper limit on the 

variable-resolution rate for transmission. 

However, the transmitting resolution shall 

- M FieldsVarResoluti

on

<The test assertions are included under 

assertions for the respective record types.>

t-2
61

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

not be greater than the scanning 

resolution. For variable resolution 

records, the Transmitted horizontal pixel 

scale / THPS and the Transmitted vertical 

pixel scale / TVPS shall be specified. (See 

Sections 7.7.8.4 and 7.7.8.5).

SEC7.61 -

Field: 

Sample 

Quality 

Occurrences

7.7.7 Many of the Record Types contain 

optional quality metric information. In 

addition to the three information items 

described here, a quality field may 

contain other information items. Each of 

the information items is contained in a 

subfield. Multiple subfields may be 

present, each indicating a different 

quality algorithm, up to a maximum of 9 

times. Fields using this structure are:

-Field 9.135: M1 friction ridge quality data 

/ FQD

-Field 9.316: EFS friction ridge quality 

metric / FQM

-Field 10.024: Subject quality score / SQS

-Field 13.024: Latent quality metric / LQM

-Field 14.023: Segmentation quality 

metric / SQM

-Field 14.024: Fingerprint quality metric / 

FQM

-Field 15.024: Friction ridge quality metric 

/ FQM

-Field 16.024: User-defined image quality 

metric / FQM

-Field 17.024: Image quality score / IQS

-Field 19.024: Friction ridge - plantar print 

quality metric / FQM

-Field 99.102: Biometric data quality / 

BDQ

1 - [10, 13, 14, 

15, 16, 17, 

19].024, 

9.135, 

9..316, 

14.023, 

99.102-

SubfieldCo

unt

ForEach( Field in 

[9.135, 9.316, 10.024,13.024,14.023,14.024, 

15.024, 16.024,17.024, 19.024, 99.102])

{

Count(Subfields) MO [1 to 9]

}

NA T

SEC7.62 -

Field: 

7.7.7 The first information item shall be a 

quantitative expression of the predicted 

1 - [10, 13, 14, 

15, 16, 17, 

ForEach( Field in 

[9.135, 9.316, 10.024, 16.024, 17.024, 99.102])

Y B*-O
62

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Sample 

Quality 

Subfield 1

matching performance of the biometric 

sample, which is a quality value / QVU. 

This information item shall contain the 

integer image quality score between 0 

and 100 (inclusive) assigned to the image 

data by a quality algorithm. Higher values 

indicate better quality. An entry of “255” 

shall indicate a failed attempt to calculate 

a quality score. An entry of

“254” shall indicate that no attempt to 

calculate a quality score was made.

19].024, 

9.135, 

9..316, 

14.023, 

99.102-

QVU-Value

{

ForEach(Subfield in Field)

{

{InfoItem:1 in Subfield} MO [0 to 100, 254,255] 

AND MO [Integers]

}

}

AND

ForEach( Field in 

[13.024, 14.023, 14.024, 15.024, 19.024])

{

ForEach(Subfield in Field)

{

{InfoItem:2 in Subfield} MO [0 to 100, 254,255] 

AND MO [Integers]

}

}

SEC7.63 -

Field: 

Sample 

Quality 

Subfield 2

7.7.7 A second information item shall specify 

the ID of the vendor of the quality 

algorithm used to calculate the quality 

score, which is an algorithm vendor 

identification / QAV. This 4-digit hex value 

(See Section 5.5 Character types) is 

assigned by IBIA and expressed as four 

characters. The IBIA maintains the Vendor 

Registry of CBEFF

Biometric Organizations that map the 

value in this field to a registered 

organization.

1 - [10, 13, 14, 

15, 16, 17, 

19].024, 

9.135, 

9..316, 

14.023, 

99.102-

QAV-Value

ForEach( Field in 

[9.135, 9.316, 10.024, 16.024, 17.024, 99.102])

{

ForEach(Subfield in Field)

{

{InfoItem:2 in Subfield} MO [0x0000 to 0xFFFF)]

}

}

AND

ForEach( Field in 

[13.024, 14.023, 14.024, 15.024, 19.024])

ForEach(Subfield in Field)

{

{InfoItem:3 in Subfield} MO [0x0000 to 0x FFFF]

t-10 Y B*-O
63

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

}

}

1 - [10, 13, 14, 

15, 16, 17, 

19].024, 

9.135, 

9..316, 

14.023, 

99.102-

QAVCharCount

ForEach( Field in 

[9.135, 9.316, 10.024, 16.024, 17.024, 99.102])

{

ForEach(Subfield in Field)

{

Length(InfoItem:2 in Subfield) EQ 4

}

}

AND

ForEach( Field in 

[13.024, 14.023, 14.024, 15.024, 19.024])

ForEach(Subfield in Field)

{

Length(InfoItem:3 in Subfield) EQ 4

}

}

Y B*-O

1 - [10, 13, 14, 

15, 16, 17, 

19].024, 

9.135, 

9..316, 

14.023, 

99.102-

QAVCharType

ForEach( Field in 

[9.135, 9.316, 10.024, 16.024, 17.024, 99.102])

{

ForEach(Subfield in Field)

{

Bytes(InfoItem:2 in Subfield) MO [ASCII(A to F, 0 

to 9)]

}

}

AND

ForEach( Field in 

t-10 Y B*-O
64

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

[13.024, 14.023, 14.024, 15.024, 19.024])

ForEach(Subfield in Field)

{

Bytes(InfoItem:3 in Subfield) MO [ASCII(A to F, 0 

to 9)]

}

}

SEC7.64 -

Field: 

Sample 

Quality 

Subfield 3

7.7.7 A third information item shall specify a 

numeric product code assigned by the 

vendor of the quality algorithm, which 

may be registered with the IBIA, but 

registration is not required. This is the 

algorithm product identification / QAP 

that indicates which of the vendor’s 

algorithms was used in the calculation of 

the quality score. This information item 

contains the integer product code and 

should be within the range 1 to 65,535.

1 - [10, 13, 14, 

15, 16, 17, 

19].024, 

9.135, 

9..316, 

14.023, 

99.102-

QAP-Value

ForEach( Field in 

[9.135, 9.316, 10.024, 16.024, 17.024, 99.102])

{

ForEach(Subfield in Field)

{

{InfoItem:3 in Subfield} MO [1 to 65,535] AND 

MO [Integers]

}

}

AND

ForEach( Field in 

[13.024, 14.023, 14.024, 15.024, 19.024])

{

ForEach(Subfield in Field)

{

{InfoItem:4 in Subfield} MO [1 to 65,535] AND 

MO [Integers]

}

}

Y B*-O

SEC7.65 -

Field: 

7.7.7,

8.13.19, 

In addition to the three information items 

described here, a quality field may 

1 O 13.024-

FRMPForEach(Subfield in 13.024){

Y B*-I <Allows 

whitespace
65

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Sample 

Quality 

Additional 

Subfield 

Table 70,

8.14.22, 

8.14.23,

Table 71,

8.15.17,

Table73,

8.19.18

Table 85

contain other information items. Value {InfoItem:1 in Subfield)} MO Table 8

}

>

1 O 14.023-

FRQP-Value

ForEach(Field in [14.023])

{

ForEach(Subfield in Field)

{

{InfoItem:1 in Subfield} MO [1 to 10, 16, 17]

}

}

Y B*-I

<Allows any 

finger 

position 

code>

1 O 14.024-

FRMPValue

ForEach(Field in [14.024])

{

ForEach(Subfield in Field)

{

{InfoItem:1 in Subfield} MO [1 to 10, 16, 17]

}

}

Y B*-I

<Allows any 

finger 

position 

code>

1 O 15.024-

FRMPValue

ForEach(Subfield in 15.024)

{

{InfoItem:1 in Subfield} MO [20 to 38, 81 to 84]

}

Y B*-I <Allows 

whitespace

>

1 O 19.024-

FRMPValue

ForEach(Subfield in 19.024)

{

{InfoItem:1 in Subfield} MO [60 to 79]

}

Y B*-I <Allows 

whitepace>

SEC7.66 -

Field: Image 

HLL Value

7.7.8.1 The maximum horizontal size is limited to 

65,535 pixels in Record Types-4 and 8, 

and to 99,999 for other record types. The 

minimum value is 10 pixels. 

1 M [4,8].006-

Value

{[4,8].006} MO [10 to 65535] AND MO [Integers] Y B-O

1 M 9.128-

Value

{9.128} MO [10 to 99,999] NO (Not yet 

supported)

B-O
66

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

1 M xx.006-

Value

{[10,13 to 17, 19, 20].006} MO [10 to 99,999] 

AND MO [Integers]

Y B-O

SEC7.67 -

Field: Image 

HLL 

Metadata

7.7.8.1 <HLL should be checked against the image 

metadata to test for conformance.>

- M Fields-HLL 

Metadata

<The test assertions are included under 

assertions for the respective record types.>

t-2

SEC7.68 -

Field: Image 

Size

7.7.8.1 The total image size (HLL times VLL) must

be able to be accommodated in Field 

xx.001 for Traditional encoding.

3 M xx.006,xx.0

07- Image 

Size

<Not tesable due to image compression. The 

calculation is not simply HLL * VLL * BPX / 8>.

t-1 NA B

SEC7.69 -

Field: Image 

VLL Value

7.7.8.2 The maximum vertical size is limited to 

65,535 pixels in Record Types-4 and 8, 

and to 99,999 for other record types.

The minimum value is 10 pixels.

1 M [4,8].007-

Value

{[4,8].007} MO [10 to 65535] AND MO [Integers] Y B-O

1 M 9.129-

Value

{9.129} MO [10 to 99,999] NO (Not yet 

supported)

B-O

1 M xx.007-

Value

{[10,13 to 17, 19, 20].007} MO [10 to 99,999] 

AND MO [Integers]

Y B-O

SEC7.70 -

Field: Image 

VLL 

Metadata

7.7.8.2 <VLL should be checked against the image 

metadata to test for conformance.>

- M Fields-VLL 

Metadata

<The test assertions are included under 

assertions for the respective record types.>

t-2

SEC7.71 -

Field: Image 

SLC Value

7.7.8.3,

Table 27, 

Table 57,

Table 70,

Table 75,

Table 85,

Table 86

The image sampling frequency (pixel 

density). 

<Tables related to each Record Type 

provide constraints on the value of SLC.>

1 M xx.008-

Value

{[10,13 to 17, 19, 20].008} MO [0,1,2] AND MO 

[Integers]

Y B-I <Allows 

whitespace

>

1 M 9.130-

Value

{9.130} MO [0,1,2] AND MO [Integers] NO (Not yet 

supported)

B-I <Allows 

whitespace

>

SEC7.72 - 7.7.8.3 A value of “1” shall indicate pixels per - M Fields-SLC <The test assertions are included under t-2
67

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Field: Image 

SLC 

Metadata

inch.

A value of “2” shall indicate pixels per 

centimeter. A value of “0” in this field 

indicates that no scale is provided, and 

the quotient of THPS/TVPS shall provide 

the pixel aspect ratio.

<SLC should be checked against the image 

metadata to test for conformance.>

Metadata assertions for the respective record types.>

SEC7.73 -

Field: Image 

SLC 

Contact/Con

tactless

7.7.8.3 For contact exemplar friction ridge 

images, a value of 1 or 2 shall be 

specified. ..For non-contact images of 

body parts, SLC shall be set to 0 unless 

the object being imaged is a fixed 

distance from the capture device...

- M Fields-SLCContact/Co

ntactless

<Unsupported: Not feasible to test if the 

exemplar is a contact or non-contact capture.>

t-1

SEC7.74 -

Field: Image 

THPS Value

7.7.8.4,

Table 27, 

Table 57,

Table 70,

Table 75,

Table 85,

Table 86

<Tables related to each Record Type 

provide constraints on the value of 

THPS.>

1 M xx.009-

Value

{[10,13 to 17, 19, 20].009} MO [1 to 99,999] AND 

MO [Integers]

t-19 Y B-O

1 M 9.131-

Value

{9.131} MO [1 to 99,999] AND MO [Integers] t-19 NO (Not yet 

supported)

B-O

SEC7.75 -

Field: Image 

THPS 

Metadata

7.7.8.4 This is the integer pixel density used in 

the horizontal direction of the image if 

SLC has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the horizontal component of the 

pixel aspect ratio, up to 5 digits.

<THPS should be checked against the 

image metadata to test for 

conformance.>

- M Fields-THPS 

Metadata

<The test assertions are included under 

assertions for the respective record types.>

t-2

SEC7.76 - 7.7.8.5, If SLC is 1 or 2, then TVPS shall equal 1 M xx.010- {[10,13 to 17, 19, 20].010} MO [1 to 99,999] AND t-19 Y B-O
68

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Field: Image 

TVPS Value

Table 27, 

Table 57,

Table 70,

Table 75,

Table 85,

 Table 

86

THPS.

<Record layout tables related to each 

Record Type provide constraints on the 

value of TVPS.>

Value MO [Integers]

1 M 9.132-

Value

{9.132} MO [1 to 99,999] AND MO [Integers] t-19 NO (Not yet 

supported)

B-O

2 M Typexx-SLCTHPS-TVPSConditionalIF {[10,13 to 17, 19, 20].008} EQ 1 OR 2

THEN

{[10,13 to 17, 19, 20].010} EQ

{[10,13 to 17, 19, 20].009}

Y B-O

SEC7.77 -

Field: Image 

TVPS 

Metadata

7.7.8.5 This is the integer pixel density used in 

the vertical direction of the image if SLC 

has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the vertical component of the 

pixel aspect ratio, up to 5 integer digits.

<TVPS should be checked against the 

image metadata to test for 

conformance.>

- M Fields-TVPS 

Metadata

<The test assertions are included under 

assertions for the respective record types.>

t-2

SEC7.78 -

Field: Image 

BPX Value

7.7.8.6,

7.7.9

Some record types have a mandatory 

field Bits per pixel / BPX. This contains the 

number of bits used to represent a pixel. 

This field shall contain an entry of “8” for 

normal grayscale values of “0” to “255”. 

Any entry in this field greater than “8”

shall be used to represent a grayscale 

pixel with increased proportion. A 

maximum of 2 digits is allowed for this 

field.

Regardless of the compression algorithm 

used, the image shall be represented as 

an array of n rows by m columns by at 

least 8-bit pixels. Each pixel in a gray-scale 

image shall be represented by eight or 

more bits.

1 M xx.012-

Value

{[13 to 17, 19, 20].012} MO [8 to 99] AND MO 

[Integers]

Y B-O

SEC7.79 -

Field: Image 

7.7.8.6 <BPX should be checked against the 

image metadata to test for 

- M Fields-BPX 

Metadata

<The test assertions are included under 

assertions for the respective record types.>

t-2
69

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

BPX 

Metadata

conformance.>

SEC7.80 -

Field: Image 

SHPS Value

7.7.8.7 The horizontal pixel density used for the 

scanning of the original image / 

impression providing that the SLC field 

contains a “1” or “2”. Otherwise, this shall 

indicate the horizontal component of the 

pixel aspect ratio, up to 5 integer digits. 

This field is used if the transmission pixel 

scale differs from the original image scale, 

as listed in Transmitted horizontal pixel 

scale / THPS . Note that density is directly 

related to resolution.

1 O xx.016-

Value

{[10,13 to 16, 19, 20].016} MO [1 to 99,999] AND 

MO [Integers]

t-19 Y B-O

1 O 20.017-

Value

{20.017} MO [1 to 99,999] AND MO [Integers] t-19 Y B-O

1 O 17.022-

Value

{17.022} MO [1 to 99,999] AND MO [Integers] t-19 Y B-O

SEC7.81 -

Field: Image 

SVPS Value

7.7.8.8 The vertical pixel density used for the 

scanning of the original image / 

impression providing that the SLC field 

contains a “1” or “2”. Otherwise, this shall 

indicate the vertical component of the 

pixel aspect ratio, up to 5 integer digits. 

This field is used if the transmission pixel 

scale differs from the original image scale, 

as listed in Transmitted vertical pixel scale 

/TVPS . Note that density is directly 

related to resolution.

If SLC is 1 or 2 and SHPS is entered, then 

SVPS shall equal SHPS. 

1 O xx.017-

Value

{[10,13 to 16, 19].017} MO [1 to 99,999] AND 

MO [Integers]

t-19 Y B-O

1 O 20.018-

Value

{20.018} MO [1 to 99,999] MO [Integers] t-19 Y B-O

1 O 17.023 {17.023 MO [1 to 99,999] AND MO [Integers] t-19 Y B-O

2 O [TypexxSLC-SHPSSVPSConditionalIF {[10,13 to 16, 19].008} EQ 1 OR 2

THEN

IF Present([10,13 to 15].017 AND ([10,13 to 

15].016)

THEN

{[10,13 to 15].017} 

EQ

{[10,13 to 15].016}

Y B-O

2 O [20.008, 

20.017, 

20.018]-

Conditional

IF {20.008} EQ 1 OR 2

THEN

IF Present(20.017, 20.018) THEN

{20.018} 

EQ

{20.017}

Y B-O

2 O [17.008, 

17.022,17.0

23]-

IF {17.008} EQ 1 OR 2

THEN

IF Present(17.022, 17.023) THEN

Y B-O
70

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Conditional {17.023} 

EQ

{17.022}

SEC7.82 -

Field: Image 

Bit Depth 

Value

7.7.9 Regardless of the compression algorithm 

used, the image shall be represented as 

an array of n rows by m columns by at 

least 8-bit pixels. Each pixel in a gray-scale 

image shall be represented by eight or 

more bits. 

- M FieldsImage 

Compressio

n

<See Requirement ID “Field: Image BPX Value”> t-2

SEC7.83 -

Field: Image 

Format

7.7.9 Color images shall be represented as a 

series of sequential samples of a red, 

green, and blue intensity for each pixel. 

(Other color spaces are also possible. See 

Section 7.7.10.3). The image shall be 

organized in row-major order, with the 

lowest address corresponding to the 

upper left corner of the image. If the 

image is captured in grayscale, then only 

the luminance component shall be 

compressed and transmitted. 

3 M FieldsImage 

Format

<Unsupported: The actual image data is not 

tested; only metadata.>

t-1

SEC7.84 -

Field: Image 

JFIF

7.7.9 For JPEG, the data shall be formatted in 

accordance with the JPEG File Interchange 

Format, Version 1.02 (JFIF).

- M FieldsImage JFIF<This requirement applies to all instances where 

a JPEG image format is used. The test assertions 

are included under assertions for the respective 

record types.>

t-2

SEC7.85 -

Field: Image

Compressio

n Algorithm 

Value

7.7.9.1,

Table 15

For each of these fields, the entry 

corresponds to the appropriate Label 

entry in Table 15:

-Field 13.011: Compression algorithm / 

CGA

-Field 14.011: Compression algorithm / 

CGA

-Field 15.011: Compression algorithm / 

CGA

-Field 16.011: Compression algorithm / 

CGA (when containing a friction ridge 

image)

-Field 19.011: Compression algorithm / 

1 M [13 to 

16,19,20].0

11-

Value

{[13 to 16, 19, 20].011} MO [ASCII(NONE, 

WSQ20, JPEGB,JPEGL, JP2,JP2L,PNG)]

Y B-O
71

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

CGA

-Field 20.011: Compression algorithm 

/CGA (when containing a friction ridge 

image)

SEC7.86 -

Field: Image 

Compressio

n Algorithm 

Metadata

7.7.9.1 <CGA should be checked against the 

image metadata to test for 

conformance.>

- M Fields-CGA 

Metadata

<The test assertions are included under 

assertions for the respective record types.>

t-2

SEC7.87 -

Field: Latent 

Lossless 

Compressio

n

7.7.9.1 Latent images shall not be compressed 

with any lossy compression algorithm. It 

is required that images be stored 

uncompressed, or that PNG or other 

totally lossless compression algorithm be 

used for latent images. 

- M FieldsLatent 

Lossless 

Compressio

n

<See Requirement ID’s: “Field: 13.011-

Compression Algorithm Value”.>

t-2

SEC7.88 -

Field: Image 

WSQ 500ppi 

Exemplar

7.7.9.1 The following paragraphs apply to the 

exemplar images. 

Wavelet Scalar Quantization (WSQ) shall 

be used for compressing grayscale friction 

ridge data at 500 ppi class for new 

systems. In order to maintain backwards 

compatibility, legacy systems may use 

JPEGB or JPEGL for compressing 500 ppi 

class images. 

WSQ shall not be used for other than the 

500 ppi class.

- M FieldsImage WSQ 

500ppi 

Exemplar

<See Requirement ID’s: “Field: 4.008-

Compression Algorithm Value” and “Field: 

14.011-Compression Algorithm Value”.>

t-2

SEC7.89 -

Field: Image 

WSQ 2.0

7.7.9.1 WSQ version 3.1 or higher shall be used 

for WSQ compression of grayscale 

fingerprint data at the 500 ppi class with a 

platen of 2 inches or greater in height. 

WSQ 2.0 or higher may be used for 500 

ppi class data taken from a platen of less 

than 2 inches in height. WSQ shall not be 

used for other than the 500 ppi class.

- M FieldsImage WSQ 

2.0 or 

Higher

<See Requirement ID’s: “Field: 4.009-Image WSQ 

Version 2.0” and “Field: 14.999-Image WSQ 

Version 2.0”.>

t-2, t16

SEC7.90 -

Field: Image 

7.7.9.1 For friction ridge images at the 1000 ppi 

class, JPEG 2000 shall be used according 

- M Fields: 

Image JPEG 

<See Requirement ID: “Field: 14.011-

Compression Algorithm Value”.>

t-2
72

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

JPEG 2000 

1000ppi 

Exemplar

to the specifications and options 

contained in “Profile for 1000 ppi 

Fingerprint Compression”.

2000 

1000ppi 

Exmplar

SEC7.91 -

Field: 

Type17 

Compressio

n

7.7.9.2 For iris images, images may be 

uncompressed or compressed. The 

compression code shall

be one of the following, entered in Field 

17.011: Compression algorithm / CGA:

- NONE – An entry of “NONE” indicates 

that the data contained in this record is 

uncompressed. 

- PNG – This supports lossless 

compression. PNG is formally 

standardized (ISO/IEC

15948) and implementations are freely 

available25 (libpng).

-JP2 and JP2L - As with other biometrics, 

while lossless compression is preferred,

iris images can be lossy-compressed. The 

image type (Field 17.032: Iris storage

format / ISF) should be selected 

appropriately, and the compression ratio 

should be set to satisfy some known 

quantified storage or transmission 

bandwidth limitation.

The baseline JPEG algorithm (ISO/IEC 

10918) is not acceptable for iris images 

and shall not be used. It has been shown 

that false match rates increase due to the 

presence of tiling artifacts. While JPEG 

was allowed in prior versions of this 

standard for iris compression, it is not 

allowed for this version. Implementers 

may want to support JPEG decoding for

handling legacy images.

1 M 17.011-

Value

{17.011} MO [ASCII(NONE, JP2,JP2L,PNG)] Y B-O

SEC7.92 - 7.7.9.3, When Record Type-10 contains facial 3 M Fields: Type <Unsupported: Not feasible to determine if the t-9
73

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Field: 

Type10 

Facial 

Compressio

n

E.6.1 image, the conditions described in Annex 

E: E.6.1 Compression algorithm apply. 

10 Facial 

Compressio

n

images are non-frontal or conform to the SAP 

level.>

SEC7.93 -

Field: 

Type10 

Compressio

n

7.7.9.4 For non-facial images contained in Record 

Type-10, Field 10.011: Compression 

algorithm/ CGA may be set to any value in 

Table 15, except WSQ20. 

1 M 10.011-

CGA-Value

{10.011} MO ASCII(NONE, WSQ20, JPEGB, JPEGL, 

JP2, JP2L, PNG)

Y

2 M 10.011-

CGAValueDepe

ndent

IF {10.003} NEQ ASCII(FACE)

THEN

{10.011} MO [ASCII(NONE, JPEGB, ,JPEGL, 

JP2,JP2L,PNG)]

AND

IF {10.003} EQ ASCII(FACE)

THEN

<Depends on SAP Level, Currently Not 

Supported-Provide Warning>

Y B-O

SEC7.94 -

Field: 

Type16 

Compressio

n

7.7.9.4 Non-friction ridge images contained in 

Record Type-16 shall specify the file 

extension (suffix) corresponding to the

compression used, such as OOG, JPG, 

WAV, and PNG in Field 16.011: 

Compression algorithm / CGA. A value of 

“NONE” indicates that the data is 

uncompressed.

M 16.011-

Value

<The test assertions for this type may not be 

supported in this version of the CTM. If they are 

supported, they are included under assertions 

for Record Type-16: User-defined testing image 

record. >

t-2

SEC7.95 -

Field: Image 

CSP Value

7.7.10.3,

Table 16

Several image record types have a field 

Color space / CSP. It shall contain an entry 

from the CODE column of Table 16. If the 

color image type cannot be determined, 

an entry of

“RGB” shall be entered in this field.

1 M 10.012-

Value

{10.012} MO [ASCII(UNK, GRAY, RGB, SRGB, YCC, 

SYCC)]

Y B-I <Allows 

whitespace

>

1 M xx.013-

Value

{[16,17,20].013} MO [ASCII(UNK, GRAY, RGB, 

SRGB, YCC, SYCC)]

Y B-I <Allows 

whitespace

>

SEC7.96 -

Field: Image 

ECL Value

7.7.11,

Table 17

This information appears in Field 10.027: 

Subject eye color / SEC and in Field 

17.020:

Eye color / ECL. The eye color describes 

the eye color of the subject as seen in the 

1 - 10.027,17.0

20-Value

{10.027} AND {17.020} MO [ASCII(BLK, BLU, BRO, 

GRY,GRN,HAZ,MAR,MUL, PNK, XXX)]

Y B-O
74

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

image.

If unusual or unnatural, such as is the case 

when colored contact lenses are present 

and the ‘real’ eye color cannot be 

ascertained, then the color shall be 

labeled as “XXX”. For near infra-red (NIR) 

images, if this field is entered, it shall be 

'XXX'. Values for these fields shall be the 

alphabetic entries in the “Attribute code” 

column of Table 17.

SEC7.97 -

Field: ImagePaths

7.7.12

A path may not have any sides crossing. 

No two vertices may 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 Type17: Iris image record can be a circle or 

ellipse. A circle only requires 2 points to 

define it (See Table 19).

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.

- - FieldsImagePaths<The test assertions are included under 

assertions for the respective record types.>

t-2

SEC7.98 -

Field: ImageEFS Paths

7.7.12.1

Table 30

The vertices for paths in the EFS Type-9 

records are defined in a single 

information item27 for each of the 

following fields (See Table 30 Type-9 

- - FieldsImage-EFS 

Paths

<The test assertions are included under 

assertions for the respective record types.>

t-2
75

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

7: Information Associated with Several Records

Fields for EFS). If multiple paths are 

present, they are stored within separate 

subfields. Each vertex is expressed as an 

(X,Y) pair of positive integers in units of 

10 micrometers (0.01mm).

The Extended Feature Set used in the 

Record Type-9: Minutiae data record was 

developed as a separate encoding 

structure that has been incorporated into 

this standard. In order to avoid conflicts 

with systems that had already 

programmed using the EFS method of 

specifying paths, that structure is retained 

in this standard. EFS fields using closed 

paths, and requiring at least 3 vertices, 

are:

• Field 9.300: EFS region of interest / ROI

• Field 9.302: EFS finger – palm – plantar 

position / FPP

• Field 9.360: EFS area of 

correspondence / AOC

An open path is a series of

• Field 9.324: EFS distinctive features / 

DIS

• Field 9.357: EFS local quality issues / LQI

An open path is a series of connected 

points in which there is not an implicit 

connection between the last and first 

vertices. Within EFS, open paths are used 

in Field 9.373: EFS ridge path segments / 

RPS.

SEC7.99 -

Field: ImageOther Paths

7.7.12.2,

Tables 18 

to 21

The first information item is dependent 

upon the Record Type and field. The 

common format is prefixed by no, one or 

two information items, depending upon 

the field.

- - FieldsImageOther Paths<The test assertions are included under 

assertions for the respective record types.>

t-2
76

6.6 Record Type-1: Transaction Information Record

Table 6.4 - Assertions for Record Type 1- Transaction Information Record

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

RT1.1 -

Transaction: 

Type1 

Mandatory

8.1 Record Type-1 is mandatory. Only one 

Type-1 record is present per transaction.

M Type1-

Mandatory

<See Requirement ID “Transaction: Type1-

Occurrences”>

t-2

RT1.2 -

Record: 

Type1 7-bit 

ASCII

8.1 Note that since the alternate character 

encoding is specified in this record, there 

must be specified characters agreed upon 

in order to read this Record Type, 

particularly with Traditional encoding, 

and the characters that can be 

represented by the 7-bit ASCII code are 

those characters (see Table 93 for these 

characters). 

M Type1-ASCII <The assertions check for the more specific 

character types allowed by Table 22. See 

Requirement IDs: “Field: Type1-Char Type” and

“Field: Type1-Subfield Char Type”.>

t-2

RT1.3 - Field: 

Type1-

Subfield 

Occurrence

Table 22,

Annex G

<Table 22 specifies which fields contain 

subfields as well as the number of 

occurrences permitted.>

<The tables in Annex G specify the 

cardinality for the XML elements and 

their mapping to the Traditional fields>.

1 M 1.[001, 002, 

004 to 015, 

017]-

SubfieldCo

unt

Count(Subfields in 1.[001, 002, 004 to 015, 017]) 

EQ 1

NA T

1 M 1.[001, 002, 

004 to 

012]-

InfoItemCo

unt

Count(InfoItems in Subfield:1 in 1.[001, 002, 004 

to 012, 014]) EQ 1

NA T

1 M 1.003-

InfoItemCo

unt

ForEach(Subfield in 1.003)

{

Count(InfoItems in Subfield) EQ 2

}

NA T

1 M 1.003-

SubfieldCo

unt

Count(Subfields in 1.003 ) GTE 2 NA T

1 O 1.013- Count(InfoItems in 1.013 ) EQ 1 OR 2 NA T
77

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

InfoItemCo

unt

1 O 1.015-

InfoItemCo

unt

Count(InfoItems in 1.015 ) MO [2, 3] NA T

1 O 1.015-

SubfieldCo

unt

Count(Subfields in 1.015 ) EQ 1 NA T

1 O 1.016-

InfoItemCo

unt

Count(InfoItems in 1.016 ) EQ 3 * 

Count(Subfields in 1.016)

NA T

1 O 1.016-

Subfield 

Count

Count(Subfields in 1.016) MO [1 to 99] NA T

1 O 1.017-

InfoItemCo

unt

Count(InfoItems in 1.017) LTE 2 NA T

RT1.4 - Field: 

Type1-

CondCode

Table 22 <Table 22 specifies the Condition Code for 

each field.>

1 M Type1-

Mandatory

CondCode

Present(1.001 to 1.005, 1.007 to 1.009, 1.011, 

1.012)

NA T

1 M NIEMType1-

Mandatory

CondCode

Foreach(XElm in <AnnexG: Type-1 Table> ST 

{Min(Cardinality(XElm))} GTE 1)

{

Present(XElm)

}

Y X-C

1 M Type1-

Reserved

NOT Present(1.018 to 1.999) NA T

RT1.5 - Field: 

Type1-

CharType

8.1,

Table 22

<Table 22 specifies the Character Type for 

each field that contains no subfields.>

1 - 1.[001, 002, 

006]-

CharType 

Bytes(1.[001, 002, 006]) MO [0x30 to 0x39] Y B-I

<Allows ‘+’ 

in 1.001>

1 - 1.004-

CharType 

Bytes(1.004) [0x20, 0x41 to 0x5A, 0x61 to 0x7A] Y B-I <Allows 

whitepace>

1 M 1.005-

CharType 

Bytes(1.005) MO [0x30 to 0x39] NA T
78

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

1 M NIEM1.005-

CharType 

Characters(1.005) MO [0x30 to 0x39, 0x2D]

Characters (XElm(nc:Date) in 

XElm(biom:TransactionDate)) MO [0x30 to 0x39, 

0x2D]

Characters(XElm(nc:YearMonth) in 

XElm(biom:TransactionDate)) MO [0x30 to 0x39, 

0x2D]

Characters({XElm(nc:Year) in 

XElm(biom:TransactionDate)) Mo MO [0x30 to 

0x39]

Y X- I <Allows 

whitepace>

1 M 1.007, 

1.008-

CharType 

Bytes(1.007, 1.008) MO [0x20 to 7E] Y B-O

1 - 1.009, 

1.010-

CharType 

Bytes(1.[009,010]) MO [0x30 to 0x39, 0x20, 0x41 

to 0x5A, 0x61 to 0x7A]

Y B-O

1 - 1.011, 

1.012-

CharType 

Bytes(1.[011,012]) MO [0x30 to 0x39, 0x2E] Y B-I

<Allows ‘-‘ 

negative 

sign>

1 O NIEM1.014-

CharType 

Bytes(1.014) MO [0x30 to 0x39,0x2D, 0x3A, 

0x54, 0x5A]

Y X- I <Allows 

whitepace>

1 O 1.014-

CharType 

Bytes(1.014) MO [0x30 to 0x39,0x5A] NA T

RT1.6 - Field: 

Type1-

Subfield

CharType

8.1,

Table 73

<Table 22 specifies the Character Type for 

each subfield.>

1 O 1.003-

[FRC, CRC, 

REC, IDC]-

CharType 

Bytes(All(Subfields in 1.003)) MO [0x30 to 0x39] Y B*-I 

<Allows ‘+’ 

for FRC and 

REC, string 

for IDC>

1 O 1.013-

[DNM, 

DVM]-

CharType

ForEach(InfoItem in 1.013)

{

Bytes(InfoItem) MO [0x20 to 0x7E]

}

NA T
79

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

1 O NIEM1.013-

[DNM, 

DVM]-

CharType

Bytes(XElm(biom:DomainVersionNumberIdentifi

cation) AND 

(XElm(biom:TransactionDomainName)) MO 

[0x20 to 0x7E]

Y X-O

1 - 1.015-CSICharTypeBytes(InfoItem:1 in 1.015) MO [0x30 to 0x39] Y B*-I

<Allows 

only 0 to 4>

1 - 1.015-[CSN, 

CSV]-

CharType

Bytes(InfoItem:2,3 in 1.015) MO [0x20 to 0x7E] NA T

1 - NIEM1.015-[CSN, 

CSV]-

CharType

Bytes(XElm(biom:CharacterSetCommonNameCo

de) AND XElm(nc:IdentificationID in 

biom:CharacterSetVersionIdentification)) MO 

[0x20 to 0x7E]

Y X-O

1 - 1.016-

[APO, APN, 

APV]-

CharType

Bytes(All(Subfields in 1.016)) MO [0x20 to 0x7E] NA T

1 - NIEM1.016-

[APO, APN, 

APV]-

CharType

Bytes(<subelements> in 

XElm(biom:TransactionApplicationProfile) MO 

[0x20 to 0x7E]

Y X-O

1 - 1.017-

[DAN, 

OAN]-

CharType

Bytes(All(Subfields in 1.017)) MO [0x20 to 0x7E] NA T

1 - NIEM1.017-

[DAN, 

OAN]-

CharType

Bytes( XElm(nc:OrganizationName) in 

XElm(biom:TransactionDestinationOrganization) 

AND 

XElm(biom:TransactionOriginatingOrganization) 

MO [0x20 to 0x7E]

Y X-O

RT1.7 - Field: 

Type1-

Table 22 <Table 22 specifies the Character Count 

for each field that contains no subfields.>

1 M 1.001-

CharCount

DataLength(1.001) GTE 2 NA T
80

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

CharCount 1 M NIEM1.001-

CharCount

Length(1.001) EQ 1 Y X-O

1 M 1.002-

CharCount

DataLength(1.002) EQ 4 NA T

1 M NIEM1.002-

CharCount

Length(XElm(biom:TransactionMajorVersionValu

e)) EQ 1 OR 2

AND

Length(XElm(biom:TransactionMinorrVersionVal

ue)) EQ 2

Y X-O

1 M 1.004-

CharCount

DataLength(1.004) GTE 1 AND LTE 16 Y B-I

<Defines a 

set of 

values no 

longer than 

4 

characters>

1 M 1.005-

CharCount

DataLength(1.005) EQ 8 NA T

1 M NIEM1.005-

CharCount

DataLength(XElm(nc:Date) in 

XElm(biom:TransactionDate)) EQ 10

DataLength(XElm(nc:YearMonth) in 

XElm(biom:TransactionDate)) EQ 7

DataLength({XElm(nc:Year) in 

XElm(biom:TransactionDate)) EQ 4

Y X-O

1 O 1.006-

CharCount

DataLength(1.006) EQ 1 Y B-O

1 O 1.007-

CharCount

DataLength(1.007) GTE 1 Y B-O

1 O 1.008-

CharCount

DataLength(1.008) GTE 1 Y B-O

1 M 1.009-

CharCount

DataLength(1.009) GTE 1 Y B-O
81

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

1 O 1.010-

CharCount

DataLength(1.010) GTE 1 Y B-O

1 M 1.011-

CharCount

DataLength(1.011) EQ 5 NA T

1 M NIEM1.011-

CharCount

Length(1.011) EQ 4 OR 5 Y X-O

1 M 1.012-

CharCount

DataLength(1.012) EQ 5 NA T

1 M NIEM1.012-

CharCount

Length(1.012) EQ 4 OR 5 Y X-O

1 O 1.014-

CharCount

DataLength(1.014) EQ 15 NA T

1 O NIEM1.014-

CharCount

DataLength(1.014) EQ 20 Y X-O

RT1.8 - Field: 

Type1-

Subfield 

CharCount

Table 22 <Table 22 specifies the Character Count 

for each subfield.>

1 M 1.003-FRCCharCountLength(InfoItem:1 in Subfield:1 in 1.003) EQ 1 Y B*-O

1 M 1.003-CRCCharCountLength(InfoItem:2 in Subfield:1 in 1.003) GTE 1 

AND LTE 3

Y B*-O

1 M 1.003-

[REC,IDC]-

CharCount

ForEach(Subfield in 1.003 ST Subfield NOT 

Subfield:1 in 1.003)

{

Length(InfoItem:1,2 in Subfield) GTE 1 AND LTE 2

}

Y B*-O

1 O 1.013-

[DNM, 

DVN]-

CharCount

Length(InfoItems in 1.013) GTE 1 

Y B*-O

1 O 1.015-CSICharCountLength(InfoItem:1 in 1.015) GTE 1 AND LTE 3 Y B*-O

1 O 1.015-[CSN, 

CSV]-

Length(InfoItem:2,3 in 1.015) GTE 1 AND LTE 16 Y B*-O
82

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

CharCount

1 O 1.016-

[APO, APN, 

APV]-

CharCount

ForEach(Subfield in 1.016)

{

Length(InfoItems in Subfield) GTE 1 

}

Y B*-O

1 O 1.017-

[DAN,OAN]

-CharCount

Length(InfoItems in 1.017) GTE 1 Y B*-O

RT1.9 - Field: 

Type1-Field 

Occurrence

Table 22 <Table 22 specifies the Field Occurrence 

for each field.>

2 M NIEMType1-

Cardinality

<The Type-1 table in Annex G of the base 

standard specifies the type and number of fields 

required.>

Y X-I

<Allows 

missing 

fields with 

cardinality 

“1..1”:

1.007, 

1.008-

nc:Organiza

tionIdentific

ation> 

1 M Type1-

FieldOccurr

ences

Count(1.001 to 1.005, 1.007 to 1.009) EQ 1

AND

Count(1.006, 1.010, 1.013 to 1.017) LEQ 1

NA T

RT1.10 -

Field: 1.001-

Record 

Header 

Value

8.1.1,

Table 22,

7.1

Field 1.001 Record header. In Traditional 

encoding, this field contains the record 

length in bytes (including all information 

separators)

2 M 1.001-

Record 

Header

<See Requirement ID “Field: xx.001-Record 

Header”>

t-2

8.1.1,

C.10.1

The XML name for the Type-1 record is 

<itl:PackageInformationRecord>, and its 

<biom:RecordCategoryCode> element 

shall have a value of “1”.

1 M NIEM1.001-

Value

ForEach(XElm(itl:PackageInformationRecord )

{

{XElm(biom:RecordCategoryCode)} EQ ASCII(1)

}

Y X-I

<Tests for 1 

with any 

number of 

leading 

zeros>

RT1.11 -

Field: 1.002-

Version 

Number

8.1.2,

Table 22

This mandatory four-character ASCII 

value shall be used to specify the current 

version number of the standard 

implemented by the software or system 

1 M 1.002-

Value

{1.002} EQ ASCII(0500) NA T

1 M NIEM1.002-{XElm(biom:TransactionMajorVersionValue)} EQ 

ASCII(05) OR ASCII (5)

Y X-O
83

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

Value creating the transaction.

The format of this field shall consist of 

four numeric characters. The first two 

characters shall specify the major version 

number. The last two characters shall be 

used to specify the minor revision 

number. This version of the standard has 

the entry “0500”

Value AND

{XElm(biom:TransactionMinorVersionValue)} EQ 

ASCII(00)

RT1.12 -

Field: 1.003-

Transaction 

Content 

Subfields

8.1.3,

Table 22

This mandatory field shall list and identify 

each of the records in the transaction by 

record type and its IDC value. It also 

specifies the order in which the remaining 

records shall appear in the file. It shall 

consist of two or more subfields. The first 

subfield shall relate to this Type-1 

Transaction record.

- M 1.003-

SubfieldCo

unt

<See Requirement ID “Field: Type1-Subfield 

Occurrence” and “Field: xx.002-IDC”>

t-2

RT1.13 -

Field: 1.003-

Transaction 

Content 

Subfield 1 

FRC

Value

8.1.3,

Table 22

The first information item (record 

category code / REC) within this subfield 

shall be “1”. This indicates that the first 

record in the transaction is a Type-1 

record consisting of header information.

1 M 1.003-FRCValue{InfoItem:1 in Subfield:1 in 1.003} EQ 1 Y B*-I

<Allows 1 

with any 

number of 

leading 

zeros>

RT1.14 -

Field: 1.003-

Transaction 

Content 

Subfield 1 

CRC

Value

8.1.3,

Table 22

The second information item of this 

subfield (content record count / CRC) 

shall be the sum of the Type-2 through 

Type-99 records contained in this 

transaction. This number is also equal to 

the count of the remaining subfields of 

Field 1.003 Transaction content / CNT. 

The maximum value for CRC is 999.

1 M 1.003-CRCValue{InfoItem:2 in 1.003} MO [Integers] AND MO [1 

to 999]

Y B*-I

<Allows any 

positive 

integer>

2 M Transaction

-

CRCEqualsR

ecordCount

{InfoItem:2 in 1.003} EQ 

Count(Records in Transaction ST Type(Records) 

MO [2 to 99])

Y B*-O

2 M 1.003-CRCMatches 

Subfields

{InfoItem:2 in 1.003} EQ 

Count(Subfields in 1.003) - 1

NA T

2 M NIEM- {XElm(biom:ContentRecordQuantity)} EQ Y X-O
84

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

1.003-CRCMatches 

Content 

Records

Count(XElm(biom:ContentRecordSummary)) 

RT1.15 -

Field: 1.003-

Transaction 

Content 

Subfield 2 

REC

Value

8.1.3,

Table 22,

Table 3

Each of the remaining subfields of Field 

1.003 Transaction content / CNT 

corresponds to a single Type-2 through 

Type-99 record contained in the 

transaction. Two information items

shall comprise each of these subfields:

The first information item (record 

category code / REC), shall contain a 

number chosen from the “record 

identifier” column of Table 3. It also 

specifies the order in which the remaining 

records shall appear in the file.

1 M 1.003-RECValueForEach(Subfield in 1..003 ST Subfield NOT 

Subfield:1 in 1.003)

{

{InfoItem:1 in Subfield} MO [2,4,7 to 10, 13 to 

21, 98,99] AND MO [Integers]

}

Y B*-I <Allows 

any number 

of leading 

zeros>

2 M Transaction

CNT-RECMatches 

Records

ForEach(Subfield in 1.003 ST Subfield NOT 

Subfield:1 in 1.003)

{

Present(Record in Transaction ST Type(Record) 

EQ {InfoItem:1 in Subfield})

}

<The records and associated record numbers 

must be in the same order.>

NA T

2 M NIEMTransaction

CNT-RECMatches 

Records

ForEach(Xelm(biom: ContentRecordSummary) in 

Xelm(biom:TransactionContentSummary ))

{

Present(Record in Transaction ST Type(Record) 

EQ {Xelm(biom:RecordCategoryCode) in 

Xelm(biom:ContentRecordSummary)}

}

<The records and associated record numbers 

must be in the same order.>

Y X-O

RT1.16 -

Field: 1.003-

Transaction 

Content 

Subfield 2 

IDC

Value

8.1.3,

Table 22

The second information item (information 

designation character / IDC) shall be an 

integer equal to or greater than zero and 

less than or equal to 99. See

Section 7.3.1.

1 M 1.003-IDCValueForEach(Subfield in 1.003 ST NOT Subfield:1 in 

1.003)

{

{InfoItem:2 in Subfield} MO [0 to 99] AND MO 

[Integers]

}

NA T

1 M NIEM1.003-IDC-{XElm(biom:ImageReferenceIdentification) in 

XElm(biom:ContentRecordSummary)} MO [0 to 

Y X-O
85

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

Value 99]

RT1.17 -

Field: 1.003-

Transaction 

Content 

Subfield 2 

IDC Matches

8.1.3,

Table 22,

7.3.1

IDC references are stated in Type-1 Field

1.003 Transaction content / CNT and shall 

be used to relate information items in the 

CNT field of the Type-1 record to the 

other records in the transaction. It also 

specifies the order in which the remaining 

records shall appear in the file.

2 M Transaction

-CNT-IDCMatches 

Records

ForEach (Record in Transaction)

{

Present(Subfield in 1.003 ST Subfield NOT 

Subfield:1 in 1.003

AND

{InfoItem:1 in Subfield} EQ Type(Record)

AND

{InfoItem:2 in Subfield}

EQ {Record.002}

}

<The records and associated record numbers 

must be in the same order.>

NA T

2 M NIEMTransaction

CNT-IDCMatches 

Records

ForEach(Xelm(biom: ContentRecordSummary) in 

Xelm(biom:TransactionContentSummary ))

{

Present(Record in Transaction ST Type(Record) 

EQ {Xelm(biom:RecordCategoryCode) in 

Xelm(biom:ContentRecordSummary) AND

Xelmbiom:ImageReferenceIdentification) in 

Record EQ 

{Xelm(biom:ImageReferenceIdentification) in 

Xelm(biom:ContentRecordSummary) ) 

}

<The records and associated record numbers 

must be in the same order.>

Y B*-O

RT1.18 -

Field: 1.004-

Type of 

Transaction

Value

8.1.4,

Table 22

This mandatory field shall contain an 

identifier, which designates the type of 

transaction and subsequent processing 

that this transaction should be given. This 

shall be a maximum of 16 alphabetic 

characters. The TOT shall be in 

accordance with definitions provided by 

the receiving agency.) Earlier versions of 

this standard specifically restricted the 

character length of TOT to 4 characters.

1 M 1.004-TOTValueTRUE Y B-I

<A list of 

enumerated 

values are 

allowed>

RT1.19 - 8.1.5, This mandatory field shall contain the 1 M 1.005-DAT- {1.005} MO [ValidLocalDate] t-6 NA T
86

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

Field: 1.005-

Local Date

Value

Table 22,

7.7.2.3

local date that the transaction was 

submitted. The local date is recorded as 

YYYYMMDD. Note that this may be a 

different date than the corresponding 

GMT, due to time zone differences.

Value

1 M NIEM1.005-DATValue{XElm(nc:Date) in XElm(biom:TransactionDate)} 

MO [NIEM-ValidLocalDate<YYYY-MM-DD>]

{XElm(nc:YearMonth) in 

XElm(biom:TransactionDate)} MO [NIEMValidLocalDate<YYYY-MM>]

{XElm(nc:Year) in XElm(biom:TransactionDate)} 

MO [NIEM-ValidLocalDate<YYYY>]

t-6 Y X-I

<Allows 

optional 

element 

(nillable)>

RT1.20 -

Field: 1.006-

Priority 

Value

8.1.6,

Table 22

This optional field shall contain a single 

information character to designate the 

urgency with which a response is desired. 

The values shall range from 1 to 9, with 1 

denoting the highest priority. The default 

value shall be defined by the agency 

receiving the transaction.

1 O 1.006-PRYValue{1.006} MO [1 to 9] AND MO [Integers] Y B-I 

<Allows any 

nonnegative 

integer>

RT1.21 -

Field: 1.007-

Destination 

Agency 

Identifier 

Value

8.1.7,

Table 22

This mandatory field shall contain the 

identifier of the administration or 

organization designated to receive the 

transmission. The size and data content of 

this field shall be user-defined and in 

accordance with the application profile.

M 1.007-DAIValueTRUE Y B-C

RT1.22 -

Field: 1.008-

Originating 

Agency 

Identifier

Value

8.1.8,

Table 22

This mandatory field shall contain the 

identifier of the administration or 

organization originating the transaction. 

The size and data content of this field 

shall be user-defined and in accordance 

with the application profile.

M 1.008-ORIValueTRUE Y B-C

RT1.23 -

Field: 1.009-

Transaction 

Control 

Number

Value

8.1.9,

Table 22

This mandatory field shall contain the 

transaction control number as assigned 

by the originating agency. A unique (for 

the originating agency) alphanumeric 

control number shall be assigned to each 

transaction. For any transaction that 

requires a response, the respondent shall 

refer to this number in communicating 

1 M 1.009-TCNValueTRUE Y B-C
87

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

with the originating agency.

RT1.24 -

Field: 1.010-

Transaction 

Control 

Reference

Value

8.1.10,

Table 22

This optional field shall be used for 

responses that refer to the TCN of a 

previous transaction involving an inquiry 

or other action that required a response.

1 O 1.010-TCRValueTRUE Y B-C

RT1.25 -

Field: 1.011-

Native 

Scanning 

Resolution

Value

8.1.11,

Table 22

This mandatory field shall be set to 

“00.00” if there are no Type-4 records in 

the transaction.

When there are Type-4 records present, 

this field is used to specify the native 

scanning resolution of the friction ridge 

image capture device. This field shall 

specify the resolution in pixels per 

millimeter. The resolution shall be 

expressed as two numeric characters 

followed by a decimal point and two 

more numeric characters.

- M 1.011-NSR <See Requirement IDs “Field: NSR Conditional”.> t-2

RT1.26 -

Field: 1.012-

Nominal 

Resolution

Value

8.1.12,

Table 22

This mandatory field shall be set to 

“00.00” if there are no Type-4 records in 

the transaction.

When there are Type-4 records present, 

this field specifies the nominal resolution 

for the image(s) being exchanged. This 

field shall specify the resolution in pixels 

per millimeter.

The resolution shall be within the range 

19.30 ppmm (490 ppi) to 20.08 ppmm 

(510 ppi).

- M 1.012-NTR <See Requirement IDs “Field: Type4 NTR“and 

“Record: Type4-Resolution 500 Only”.>

t-2

RT1.27 -

Field: 1.013-

Domain 

Name

Value

8.1.13,

Table 22

The mandatory first information item 

(domain name / DNM) will uniquely 

identify the agency, entity, or 

implementation used for formatting the 

fields in the Type-2 record. The default 

value for the field shall be the North 

American Domain implementation 

1 O 1.013-

[DNM, 

DVN]-Value

TRUE Y B*-C
88

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

(NORAM).

An optional second information item 

(domain version number / DVN) shall 

contain the unique version of the 

particular implementation, such as 7.02.

RT1.28 -

Field: 1.013-

Domain 

Name

Occurs Once

8.1.13, The domain name may only appear once 

within a transaction. 

- O 1.013-

DOMOccurs 

Once

<See Requirement ID “Field: Type1-Field 

Occurrence”>

t-2

RT1.29 -

Field: 1.014-

Greenwich 

Mean Time

Value

8.1.14,

Table 22

This optional field provides a mechanism 

for expressing the date and time in terms 

of universal Greenwich Mean Time (GMT) 

units.

1 O 1.014-

GMT-Value

{1.014} MO [ValidUTC/GMT] t-6 NA T

1 O NIEM1.014-

GMT-Value

ForEach(XElm(itl:PackageInformationRecord))

{

{XElm(nc:DateTime) in 

XElm(biom:TransactionUTCDate)} MO [NIEMValidUTC/GMT]

}

t-6 Y X-I

<Allows 

timezones, 

but 

standard 

specifies Z 

only. Also 

allows 

optional 

element 

(nillable). >

RT1.30 -

Field: 1.015-

Character 

Encoding

Subfield 1 

CSI

Value

8.1.15,

Table 22,

Table 4

The first information item (character 

encoding index / CSI) is the index number 

that references an associated character 

encoding. See the “Character encoding 

index” column of Table 4 for the valid 

values for this information item.

1 M

⇑

1.015-CSIValue{InfoItem:1 in 1.015} MO [0 to 4, 128 to 999]

AND MO [Integers]

<If the value ‘1’ is present, display a warning that 

the value is a Legacy value only.>

Y B*-I 

<Only 

allows 0-4 

and does 

not provide 

legacy 

warning>

RT1.31 -

Field: 1.015-

Character 

Encoding

Subfield 2 

8.1.15,

Table 22,

Table 4

The second information item (character 

encoding name / CSN) shall be the

“Character encoding name” associated 

with that index number, taken from

Table 4.

1 M 1.015-CSNValueTRUE Y B-C

2 M 1.015-CSNDependentIF {InfoItem:1 in 1.015} EQ 0 THEN

{InfoItem:2 in 1.015} EQ ASCII(ASCII)

NA T
89

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

CSN

Value

ELSE IF {InfoItem:1 in 1.015} EQ 1 THEN

{InfoItem:2 in 1.015} EQ ASCII(8-bit ASCII)

ELSE IF {InfoItem:1 in 1.015} EQ 2 THEN

{InfoItem:2 in 1.015} EQ ASCII(UTF-16)

ELSE IF {InfoItem:1 in 1.015} EQ 3 THEN

{InfoItem :2in 1.015} EQ ASCII(UTF-8)

ELSE IF {InfoItem:1 in 1.015} EQ 4 THEN

{InfoItem:2 in 1.015} EQ ASCII(UTF-32)

ELSE TRUE

2 M NIEM1.015-CSNDependentIF {XElm(biom:CharacterSetIndexCode)} EQ 0 

THEN

{XElm(biom:CharacterSetCommonNameCode)} 

EQ ASCII(ASCII)

ELSE IF {XElm(biom:CharacterSetIndexCode)} EQ 

1 THEN

{XElm(biom:CharacterSetCommonNameCode)} 

EQ ASCII(8-bit ASCII)

ELSE IF {XElm(biom:CharacterSetIndexCode)} EQ 

2 THEN

{XElm(biom:CharacterSetCommonNameCode)} 

EQ ASCII(UTF-16)

ELSE IF {XElm(biom:CharacterSetIndexCode)} EQ 

3 THEN

{InfoItem :2in 1.015} EQ ASCII(UTF-8)

ELSE IF {XElm(biom:CharacterSetIndexCode)} EQ 

4 THEN

{XElm(biom:CharacterSetCommonNameCode)} 

EQ ASCII(UTF-32)

Y X-P

<Tests for 

values, but 

not the 

conditional

>
90

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

ELSE TRUE

RT1.32 -

Field: 1.015-

Character 

Encoding

Subfield 3 

CSV

Value

8.1.15,

Table 22,

Table 4

The optional third information item 

(character encoding version / CSV) is the 

specific version of the character encoding 

used. In the case of the use of UTF-8, the 

third optional information item may be 

used to hold the specific version used, so 

that the display terminal can be switched 

to the correct font family.

1 O

⇑

1.015-CSVValueTRUE Y B*-C

RT1.33 -

Field: 1.015-

Character 

Encoding

User 

Defined

This optional field specifies the character 

encoding that may appear within this 

transaction for data with the character 

type listed as “U” or 'user-defined' in the 

record format tables. 

3 O 1.015-DCSUser 

Defined 

Encoding

<Unsupported.> t-1, t4NA

RT1.34 -

Field: 1.016-

Application 

Profile

Specification

s

Value

8.1.16,

Table 22

There may be multiple subfields, each 

designating an application profile to 

which this transaction conforms Each 

subfield shall consist of three mandatory 

information items:

The first information item (application 

profile organization / APO) will uniquely 

identify the agency or entity responsible 

for the specification.

The second information item (application 

profile name / APN) shall contain the 

name of the specification.

The third information item (application 

profile version number / APV) shall 

contain the specific version of the 

specification.

1 O 1.016-

[APO, APN, 

APV]-Value

TRUE Y B*-C

RT1.35 - 8.1.16 If multiple Application Profile 3 O 1.016-APS <Unsupported.> t-1, t- NA
91

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.1: Record Type-1: Transaction information record

Field: 1.016-

Application 

Profile

Specification

s

Compliance

Specifications are included in this field, 

the specifications must be compatible 

with each other: this transaction must be 

in compliance with all of the cited 

specifications. See Section 6.

Compliance 3

RT1.36 -

Field:1.017-

Agency 

Names 

Value

8.1.17 Both information items are alphanumeric 

and can have any special characters in the 

names.

1 O 1.017-

[DAN, 

OAN]-Value

TRUE Y B-C
92

6.7 Record Type-3: Deprecated

Table 6.5 - Assertions for Record Type 3 – Deprecated

Req. # - ID Red. In 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.3: Record Type-3: DEPRECATED

RT3.1 -

Transaction: 

Type3 Zero 

Occurrences

8.3 No instances of Record Type-3 shall be 

included in a transaction conformant with 

this version of the standard.

2 M Transaction

-Type3-

Zero 

Occurrence

s

ForEach(Record in Transaction)

{

Type(Record) NEQ 3

}

NA T

2 M NIEMTransaction

-Type3-

Zero 

Occurrence

s

<An invalid record type will cause a parsing error 

in XML because no Record Element Tag is 

defined (see Table 100).>

<See NIEM_Undefined_Elements.>

Y, Schema X-C
93

6.8 Record Type-4: Grayscale Fingerprint Image

Table 6.6 - Assertions for Record Type 4 - Grayscale Fingerprint Image

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.4: Record Type-4: Grayscale fingerprint image

RT4.1 -

Record: 

Type4 Scan 

Resolution 

500ppi 

8.4 The Type-4 record is based on the use of a 

captured fingerprint image obtained using 

a class scanning resolution of the 500 ppi

class. (See Section 7.7.6). It shall not be 

used for other than 500 ppi. class images.

M Type4-Scan 

Resolution 

500ppi

<See Requirement ID “Field: Type4 NTR”> t-2

RT4.2 -

Record: 

Type4 Image 

Compressio

n WSQ

8.4 All images that are compressed shall be 

compressed using WSQ. JPEG 

compression is retained soley for 

backwards compatibility with legacy 

systems and it should not be used in any 

new implementation.

M Type4-CGA 

WSQ Only

<See Requirement IDs “Field: 4.008-Compression 

Algorithm Value” and “Field: 4.009-Image Data 

Valid”>.

t-2

RT4.3 - Field: 

Type4-

CondCode

Table 24,

Table 98

<Table 24 specifies the Condition Code for 

each field.>

1 M Type4-

Mandatory

CondCode

Present(4.001 to 4.009) NA T

1 M NIEMType4-

Mandatory

CondCode

Foreach(XElm in <AnnexG: Type-4 Table> ST 

{Min(Cardinality(XElm))} GTE 1)

{

Present(XElm)

}

Y X-C

RT4.4 - Field: 

Type4-

CharType

Table 24,

Table 98

Traditional format requires the data in 

binary form (not text) with a fixed byte 

length.

3 M Type4-Char 

Type

<Interpret Type-4 as binary during parsing.> t-13 NA T

<Table 24 specifies the Character Type for 

each field.>

1 M NIEMType4-

CharType 

Bytes(4.[001 to 008]) MO [0x30 to 0x39] Y X-I

<Allows 

strings and 

‘+’ for 

integers>.

1 M NIEM4.009-<Schema tests that the BinaryBase64Object is of 

the correct type and length. Report that this is 

Y X-C
94

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.4: Record Type-4: Grayscale fingerprint image

CharType tested by the schema.>

RT4.5 - Field: 

Type4-

ByteCount

Table 24,

Table 98

<Table 98 specifies the Byte Count for 

each field.>

1 M 4.001-

ByteCount

Length(4.001) EQ 4 NA T

1 M NIEM4.001-

CharCount

ForEach(XElm(itl:PackageHighResolutionGrayscal

eImageRecord))

{

Length(XElm(biom:RecordCategoryCode) EQ 1

}

Y X-I

<Allows any 

number of 

leading 

zeros and 

‘+’>

1 M 4.002-

ByteCount

Length(4.002) EQ 1 NA T

1 M NIEM4.002-

CharCount

ForEach(XElm(itl:PackageHighResolutionGrayscal

eImageRecord))

{

Length(XElm(nc:IdentificationID) in 

XElm(biom:ImageReferenceIdentification)) EQ 1 

OR 2

}

Y X-O

1 M 4.003-

ByteCount

Length(4.003) EQ 1 NA T

1 M NIEM4.003-

CharCount

ForEach(XElm(itl:PackageHighResolutionGrayscal

eImageRecord))

{

Length(XElm(biom:FingerprintImageImpressionC

aptureCategoryCode)) EQ 1 OR 2

}

Y X-I

<Allows any 

number of 

leading 

zeros, ‘+’>

1 M 4.004-

ByteCount

Length(4.004) EQ 1 NA T

1 M NIEM4.004-

CharCount

ForEach(XElm(itl:PackageHighResolutionGrayscal

eImageRecord))

{

Length(All(XElm(biom:FingerPositionCode) in 

XElm(biom:FingerprintImagePosition))) MO [1 to 

3]

}

Y X-I

<Allows any 

number of 

leading 

zeros, ‘+’>

1 M 4.005- Length(4.005) EQ 1 NA T
95

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.4: Record Type-4: Grayscale fingerprint image

ByteCount

1 M NIEM4.005-

CharCount

ForEach(XElm(itl:PackageHighResolutionGrayscal

eImageRecord))

{

Length(XElm(biom:CaptureResolutionCode) in 

XElm(biom:ImageCaptureDetail)) EQ 1

}

Y X-I

<Allows any 

number of 

leading 

zeros, ‘+’>

1 M 4.006-

ByteCount

Length(4.006) EQ 2 NA T

1 M NIEM4.006-

CharCount

ForEach(XElm(itl:PackageHighResolutionGrayscal

eImageRecord))

{

Length(XElm(biom:ImageHorizontalLineLengthPi

xelQuantity)) MO [2 to 5]

}

Y X-O

1 M 4.007-

ByteCount

Length(4.007) EQ 2 NA T

1 M NIEM4.007-

CharCount

ForEach(XElm(itl:PackageHighResolutionGrayscal

eImageRecord))

{

Length(XElm(biom:ImageVerticalLineLengthPixel

Quantity)) MO [2 to 5]

}

Y X-O

1 M 4.008-

ByteCount

Length(4.008) EQ 1 NA T

1 M NIEM4.008-

CharCount

ForEach(XElm(itl:PackageHighResolutionGrayscal

eImageRecord))

{

Length(XElm(biom:ImageCompressionAlgorithm

Code)) EQ 1

}

Y X-I

<Allows any 

number of 

leading 

zeros, ‘+’>

2 M 4.009-

ByteCount

Length(4.009) EQ {4.001} – 18 NA T

1 M NIEM4.009-

CharCount

ForEach(XElm(itl:PackageHighResolutionGrayscal

eImageRecord))

{

Y X-O
96

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.4: Record Type-4: Grayscale fingerprint image

Length(XElm(nc:BinaryBase64Object)) GTE 1

}

RT4.6 - Field: 

Type 4-Field 

Occurrence

Table 24 <Table24 specifies the Field Occurrence 

for each field.>

2 M NIEMType4-

Cardinality

<The Type-4 table in Annex G of the base 

standard specifies the type and number of fields 

required.>

Y X-I

<Allows 

missing 

fields with 

cardinality 

“1..1”:

4.009-

nc:BinaryBa

se64Object, 

4.005-

biom:Image

CaptureDet

ail, 

biom:Captu

reResolutio

nCode, 

4.008-

biom:Image

Compressio

nAlgorithm

Code, 

4.006-

biom:Image

HorizontalLi

neLengthPix

elQuantity, 

4.007-

biom:Image

VerticalLine

LengthPixel

Quantity,> 

1 M Type4-

FieldOccurr

ences

Count(4.[001 to 003, 005 to 009]) EQ 1 NA T

1 M NIEM- Count(4.004) MO [1 to 6] Y X
97

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.4: Record Type-4: Grayscale fingerprint image

Type4-

Field004Oc

currence

1 M Type4-

Field004Oc

currence

Count(4.004) EQ 6 NA T

RT4.7 - Field: 

4.001-

Record 

Header 

Value

8.4.1,

Table 24,

7.1

Field 4.001 Record header. In Traditional 

encoding, this field contains the record 

length in bytes (including all information 

separators)

- M 4.001-

Record 

Header

<See Requirement ID “Field: xx.001-Record 

Header”>

t-2

8.4.1,

C.10.4

The XML name for the Type-4 record is 

<itl:PackageHighResolutionGrayscaleImag

eRecord>, and its 

<biom:RecordCategoryCode> element 

shall have a value of “4”.

1 M NIEM4.001-

Value

ForEach(XElm(itl:PackageHighResolutionGrayscal

eImageRecord )

{

{XElm(biom:RecordCategoryCode)} EQ ASCII(4)

}

Y X-I <Allows 

any number 

of leading 

zeros and 

‘+’.>

Table 24 <The value in Field 4.001 must be 19 or 

greater due to the character count of 

fields in the Type 4 Record.>

1 M 4.001-

Value

{4.001} GTE 19 NA T

RT4.8 - Field: 

4.002-

Information 

Designation 

Character

Value

8.4.2,

Table 24,

7.3.1

This mandatory field shall contain the IDC 

assigned to this Type-4 record as listed in 

the information item IDC for this record in 

Field 1.003 Transaction content/CNT. 

- M 4.002-

Value

<See Requirement IDs “Field: xx.002-IDC and 

“Field: 1.003-Transaction Content Subfield 2 IDC 

Matches” >

t-2

RT4.9 - Field: 

4.003-

Impression 

Type Value

8.4.3

Table 24,

7.7.4.1

This mandatory field shall indicate the 

manner by which the fingerprint was 

obtained. See Section 7.7.4.1 for details. 

1 M 4.003-

Value

{4.003} MO [0 to 3, 8, 20 to 29] AND MO 

[Integers]

Y B-I <Allows 

too many 

values>

RT4.10 -

Field: 4.004-

Friction 

Ridge 

Generalized 

Position 

Value

8.4.4,

Table 24,

Table 8,

7.7.4.2

This mandatory field shall contain the 

decimal code number corresponding to 

the finger position and shall be taken 

from Table 8 (only finger numbers 0-15 

apply to Type-4). Up to five additional 

finger positions shall be referenced by 

entering the alternate finger positions 

using the same format. If fewer than five 

finger position references are to be used, 

1 M 4.004-

Value

(4.004) MO [0 to 15, 255] NA T

1 M NIEM4.004-FGPForEach(XElm(itl:PackageHighResolutionGrayscal

eImageRecord )

{

{All(XElm(biom:FingerPositionCode) in 

XElm(biom:FingerprintImagePosition))} MO [0 to 

15, 255] AND MO [Integers]

Y X-I <Allows 

too many 

values>
98

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.4: Record Type-4: Grayscale fingerprint image

the unused position references shall be 

filled with 255. Six values shall be entered

in each record.

}

RT4.11 -

Field: 4.005-

Image 

Scanning 

Resolution 

Value

8.4.5,

Table 24

The mandatory ISR field relates to the 

scanning resolution of this image. 

Previous versions of this standard stated 

that 0 in this field represents the 

'minimum scanning resolution.' The 

minimum scanning resolution was 

defined in ANSI/NIST-ITL 1-2007 as “19.69 

ppmm plus or minus 0.20 ppmm (500 ppi 

plus or minus 5 ppi).” Therefore, if the 

image scanning resolution corresponds to 

the Appendix F certification level (See 

Table

14* Class resolution with defined 

tolerance), a 0 shall be entered in this 

field.

A value of 1 is entered if the actual 

scanning resolution (outside of the 

Appendix F certification range) is 

specified in Field 1.011 Native scanning 

resolution / NSR.

1 M 4.005-

Value

{4.005} MO [0,1] Y B-I <Allows 

leading 

zeros and 

‘+’>

2 M Transaction

-4.005-

Conditional

Value

IF {1.011} LT 19.49 OR GT 19.89 THEN 

{4.005} EQ 1 

ELSE

{4.005} EQ 0

Y B-O

RT4.12 -

Field: 4.006-

Horizontal 

Line Length

Value

8.4.6,

Table 24

This mandatory field shall contain the 

number of pixels on a single horizontal 

line of the transmitted image.

M 4.006-

Value

<See Requirement ID “Field: Image HLL Value”> t-2 Y

RT4.13 -

Field: 4.006-

Horizontal 

Line Length 

Metadata

8.4.6,

Table 24,

WSQ 

Standard

<The HLL is verified by checking the image 

metadata if compression is used. >

2 M 4.006-

Matches 

Image 

Metadata

IF {4.008} EQ 1 THEN

{4.006} EQ {Image Width-WSQ}

ELSE IF {4.008} EQ 2 OR 3 THEN

{4.006} EQ {Image Width-JPEGB, JPEGL}

t-11 Y B-O

RT4.14 -

Field: 4.007-

Vertical Line 

Length

8.4.7,

Table 24

This mandatory field shall contain the 

number of pixels on a single horizontal 

line of the transmitted image.

M 4.007-

Value

<See Requirement ID “Field: Image VLL Value”> Y
99

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.4: Record Type-4: Grayscale fingerprint image

Value

RT4.15 -

Field: 4.007-

Vertical Line 

Length 

Metadata

8.4.7,

Table 24

<The VLL is verified by checking the image 

metadata if compression is used.>

2 M 4.007-

Matches 

Image 

Metadata

IF {4.008} EQ 1 THEN

{4.007} EQ {Image Height-WSQ}

ELSE IF {4.008} EQ 2 OR 3 THEN

{4.007} EQ {Image Height-JPEGB, JPEGL}

t-11 Y B-O

RT4.16 -

Field: 4.008-

Compressio

n Algorithm 

Value

8.4, 

8.4.8,

Table 24

All images shall be compressed using 

WSQ. 

This is a mandatory field, used to specify 

the type of compression algorithm used. 

A zero denotes no compression. 

Otherwise, the WSQ algorithm should be 

used to compress the data, and is 

indicated by a value of 1. Codes 2 and 3 

are retained solely for backwards 

compatibility with those legacy systems 

that use JPEG compression and should 

not normally be used.

1 M 4.008-

Value

IF {4.008} EQ 2 OR 3 <Provide Legacy Warning>

ELSE

{4.008} EQ 0 OR 1 AND MO [Integers]

Y B-i <No 

legacy 

warning, 

and allows 

0-6.>

RT4.17 -

Field: 4.008-

Compressio

n Algorithm 

Metadata

8.4.8,

Table 24

<The CGA is verified by checking the 

image metadata for the compression type 

signature if compression is used.>

2 M 4.008-

Matches 

Image 

Metadata

IF {4.008} EQ 1 THEN

Present(SOI-WSQ, EOI-WSQ)

AND

IF {4.008} EQ 2 OR 3 THEN

Present(SOI-JPEGB,JPEGL, EOI-JPEG, JPEGL)

t-11 Y B-O

RT4.18 -

Field: 4.009-

Image Data 

Valid

8.4.9 This is a mandatory field. 2 M 4.009-

Uncompres

sed Image 

Length

IF {4.008} EQ 0 THEN

Length(4.009) EQ {4.006} * {4.007}

ELSE 

Y B-O

1 M 4.009-

DATAValue

True Y

2 M 4.009-Valid 

Image 

Format

IF Present(SOI-WSQ) THEN Y B-O
100

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.4: Record Type-4: Grayscale fingerprint image

Present(SOI-WSQ,SOF-WSQ,SOB-WSQ,EOI-WSQ)

ELSE 

IF Present(SOI-JPEGB,JPEGL)

THEN

Present(JFIF, 

SOI-JPEGB,JPEGL,

SOF-JPEGB,JPEGL,

EOI-JPEG, JPEGL)

RT4.19 -

Field: 4.009-

Image WSQ 

Version 2.0

8.4.9,

7.7.9.1

Wavelet Scalar Quantization (WSQ) shall 

be used for compressing grayscale friction 

ridge data at 500 ppi class. Only version 

3.1 or higher shall be used for 

compressing grayscale fingerprint data at 

500 ppi class with a platen area of 2 

inches or greater in height. WSQ 2.0 or 

higher may be used for 500 ppi class data 

taken from a platen of less than 2 inches 

in height. WSQ shall not be used for other 

than the 500 ppi class.

3 M 4.009-Valid 

WSQ 

Specificatio

n Version

<No known method for determining the WSQ 

specification version.>

t-16 NA B-O
101

6.9 Record Type-5: Deprecated

Table 6.7 - Assertions for Record Type 5 – Deprecated

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.5: Record Type-5: DEPRECATED

RT5.1 -

Transaction: 

Type5 Zero 

Occurrences

8.5 No instances of Record Type-5 shall be 

included in a transaction conformant with 

this version of the standard.

2 M Transaction

-Type5-

Zero 

Occurrence

s

ForEach(Record in Transaction)

{

Type(Record) NEQ 5

}

NA T

2 M NIEMTransaction

-Type5-

Zero 

Occurrence

s

<An invalid record type will cause a parsing error 

in XML because no Record Element Tag is 

defined (see Table 100).>

<See NIEM_Undefined_Elements.>

Y, Schema X-C
102

6.10 Record Type-6: Deprecated

Table 6.8 - Assertions for Record Type 6 – Deprecated

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.6: Record Type-6: DEPRECATED

RT6.1 -

Transaction: 

Type6 Zero 

Occurrences

8.6 No instances of Record Type-6 shall be 

included in a transaction conformant with 

this version of the standard.

2 M Transaction

-Type6-

Zero 

Occurrence

s

ForEach(Record in Transaction)

{

Type(Record) NEQ 6

}

NA T

2 M NIEMTransaction

-Type6-

Zero 

Occurrence

s

<An invalid record type will cause a parsing error 

in XML because no Record Element Tag is 

defined (see Table 100).>

<See NIEM_Undefined_Elements.>

Y, Schema X-C
103

6.11 Record Type-10: Facial, Other Body Part and SMT Image Record

Table 6.9 - Assertions for Record Type 10 - Facial, Other Body Parts & SMT Image Record

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

RT10.1 -

Field: 

Type10-

Subfield 

Occurrence

Table 57 <Table 57 specifies which fields contain 

subfields as well as the number of 

occurrences permitted.>

1 M 10.[001 to 

018, 020, 

021, 023,

025, 027, 

030, 031, 

038, 039, 

041, 903, 

904 ,993, 

996, 998, 

999]-

SubfieldCo

unt

Count(Subfields in 10.[001 to 018, 020, 

021,023,025, 027, 030, 031, 038, 039, 

041,903,904,993, 996,998, 999]) EQ 1

NA T

1 M 10.[001 to 

013, 016, 

017, 020, 

021, 027, 

030, 031, 

038, 039, 

903,993, 

996, 999]-

InfoItemCo

unt

Count(InfoItems in Subfield: 1 in 10.[001 to 013, 

016, 017, 020, 021, 027, 030, 031, 038, 039, 

903,993, 996, 999]) EQ 1

NA T

1 D 10.014-

InfoItemCo

unt

Count(InfoItems in 10.014 ) EQ 4 OR 5 NA T

1 O 10.015-

InfoItemCo

unt

Count(InfoItems in 10.015) EQ 2 + 2* {InfoItem:2 

in 10.015}

NA T

1 D 10.018-

InfoItemCo

unt

Count(InfoItems in 10.018 ) EQ 3 NA T
104

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

1 D 10.019-

SubfieldCo

unt

Count(Subfields in 10.019 ) MO [1 to 3] NA T

1 D 10.019-

InfoItemCo

unt

ForEach(Subfield in 10.019)

{

Count(InfoItems in Subfield) EQ 1

}

NA T

1 D 10.023-

InfoItemCo

unt

IF {InfoItem:1 in 10.023} EQ ASCII(VENDOR) 

THEN 

Count(InfoItems in 10.023 ) EQ 1 OR 2

ELSE

Count(InfoItems in 10.023) EQ 1

NA T

1 D 10.024-

SubfieldCo

unt

Count(Subfields in 10.024 ) MO [1 to 9] NA T

1 D 10.024-

InfoItemCo

unt

ForEach(Subfield in 10.024)

{

Count(InfoItems in Subfield) EQ 3

}

NA T

1 D 10.025-

InfoItemCo

unt

Count(InfoItems in 10.025 ) MO [3 to 6] NA T

1 D 10.026-

SubfieldCo

unt

Count(Subfields in 10.026) MO [1 to 50] NA T

1 D 10.026-

InfoItemCo

unt

ForEach(Subfield in 10.026)

{

Count(InfoItems in Subfield) EQ 1

}

NA T

1 D 10.028-

SubfieldCo

unt

Count(Subfields in 10.028 ) EQ 1 OR 2 NA T

1 D 10.028-

InfoItemCo

unt

ForEach(Subfield in 10.028)

{

Count(InfoItems in Subfield) EQ 1

}

NA T
105

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

1 D 10.029-

SubfieldCo

unt

Count(Subfields in 10.029 ) MO [1 to 88] NA T

1 D 10.029-

InfoItemCo

unt

ForEach(Subfield in 10.029)

{

Count(InfoItems in Subfield) EQ 4

}

NA T

1 D 10.032-

SubfieldCo

unt

Count(Subfields in 10.032 ) MO [1 to 88] NA T

1 D 10.032-

InfoItemCo

unt

ForEach(Subfield in 10.032)

{

Count(InfoItems in Subfield) EQ 5

}

NA T

1 D 10.033-

SubfieldCo

unt

Count(Subfields in 10.033 ) MO [1 to 12] NA T

1 D 10.033-

InfoItemCo

unt

ForEach(Subfield in 10.033)

{

Count(InfoItems in Subfield) EQ 2 + 

2*{InfoItem:2 in Subfield}

}

NA T

1 D 10.040-

SubfieldCo

unt

Count(Subfields in 10.040) MO [1 to 3] NA T

1 D 10.040-

InfoItemCo

unt

ForEach(Subfield in 10.040)

{

Count(InfoItems in Subfield) EQ 1

}

NA T

1 D 10.041-

InfoItemCo

unt

Count(InfoItems in 10.041) EQ 2 NA T

1 D 10.042-

SubfieldCo

Count(Subfields in 10.042) MO [1 to 9] NA T
106

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

unt

1 D 10.042-

InfoItemCo

unt

ForEach(Subfield in 10.042)

{

IF {InfoItem:1 in Subfield} MO [ASCII(TATTOO, 

CHEMICAL, BRANDED, CUT)] THEN

Count(InfoItems in Subfield) MO [3,4]

ELSE

Count(InfoItems in Subfield) EQ 1

}

NA T

2 D 10.043-

SubfieldCo

unt

Count(Subfields in 10.043) MO [1 to 9] NA T

1 D 10.043-

InfoItemCo

unt

ForEach(Subfield in 10.043)

{

Count(InfoItems in Subfield) MO [1 to 6]

}

NA T

1 O 10.044-

SubfieldCo

unt

Count(Subfields in 10.044) MO [1 to 18] NA T

1 O 10.044-

InfoItemCo

unt

ForEach(Subfield in 10.019)

{

Count(InfoItems in Subfield) EQ 1

}

NA T

2 D 10.045-

SubfieldCo

unt

Count(Subfields in 10.045 ) MO [1 to 16] NA T

1 D 10.045-

InfoItemCo

unt

ForEach(Subfield in 10.045)

{

Count(InfoItems in Subfield) EQ 3 + 2*{ 

InfoItem:3 in Subfield}

}

NA T

1 O 10.902-

SubfieldCo

unt

Count(Subfields in 10.902 ) GTE 1 NA T

1 O 10.902- ForEach(Subfield in 10.902) NA T
107

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

InfoItemCo

unt

{

Count(InfoItems in Subfield) EQ 4

}

1 O 10.904-

InfoItemCo

unt

Count(InfoItems in 10.904 ) EQ 3 NA T

1 O 10.995-

SubfieldCo

unt

Count(Subfields in 10.995 ) MO [1 to 255] NA T

1 O 10.995-

InfoItemCo

unt

ForEach(Subfield in 10.995)

{

Count(InfoItems in Subfield) EQ 1 OR 2

}

NA T

1 O 10.997-

SubfieldCo

unt

Count(Subfields in 10.997 ) MO [1 to 255] NA T

1 O 10.997-

InfoItemCo

unt

ForEach(Subfield in 10.997)

{

Count(InfoItems in Subfield) EQ 1 OR 2

}

NA T

1 O 10.998-

SubfieldCo

unt

<See Requirement ID: “Field: Geographic”> t-2

RT10.2 -

Field: 

Type10-

CondCode

Table 57,

Annex GTable10

<Table 57 specifies the Condition Code 

for each field.>

1 M Type10-

Mandatory

CondCode

Present(10.001 to 10.012, 10.999) NA T

1 M NIEMType10-

Mandatory

CondCode

Foreach(XElm in <AnnexG: Type-10 Table> ST 

{Min(Cardinality(XElm))} GTE 1)

{

Present(XElm)

}

Y X-I

<Allows 

optional 

10.003, to 

10.012> 
108

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

1 M Type10-

Reserved

NOT Present(10.034 to 10.037,10.046 to 10.199, 

10.901, 10.905 to 10.992, 10.994)

NA T

RT10.3 -

Field: 

10.013-SAP 

CondCode 

Dependent

Table 57,

8.10.13,.

8.10.22, 

8.10.25,

8.10.26,

8.10.27

The Subject Acquisition Profile (SAP) is a 

mandatory field when Field 10.003: Image

type / IMT contains “FACE”. Otherwise, it 

shall not be entered.

This field (PAS) is mandatory if the SAP 

entry (Field 10.013: Subject acquisition 

profile / SAP) is “40” or greater for face 

image records. (IMT=FACE only).

This field (SXS) is mandatory if the SAP 

entry for a facial image (Field 10.013: 

Subject acquisition profile / SAP) is 40, 50 

or 51. (IMT=FACE only). In other cases, 

this field is optional for facial images.

(SEC, SHC) ... mandatory if the SAP entry 

(Field 10.013: Subject acquisition profile / 

SAP) is “40” or greater. For other facial 

images (IMT = 'FACE'), the field is 

optional.

2 D Type10-

10.013-

CondCode 

DependentIMT

<See Requirement ID: “Field: SAP Conditional”> t-2

2 D Type10-

10.013-

CondCode 

DependentPAS

IF {10.013} GTE 40 THEN

Present(10.023)

Y B-O

2 D Type10-

10.013-

CondCode 

DependentSXS

IF {10.013} MO [40,50,51] THEN

Present(10.026)

Y

2 D Type10-

10.013-

CondCode 

DependentSEC

IF {10.013} GTE 40 

THEN

Present(10.027)

Y

2 D Type10-

10.013-

CondCode 

DependentSHC

IF {10.013} GTE 40 

THEN

Present(10.028)

Y

RT10.4 -

Field: 

10.014-FIP 

CondCode 

Dependent

Table 57,

8.10.14

This field is only appropriate for face 

images (IMT = ‘FACE’) that do not comply 

with SAP Levels 30, 32, 40, 42, 50, 51 or 

52, because those images shall be 

cropped to a “head only” or “head and 

shoulders”composition.

2 D Type10-

10.014-

CondCode 

DependentIMT

IF Present(10.014) THEN

{10.003} EQ ASCII(FACE)

Y B-O

2 D Type10-

10.014-

CondCode 

DependentIF Present(10.014) THEN

{10.013} NOT MO [30, 32, 40, 42, 50, 51, 52] 

Y B-O
109

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

SAP

RT10.5 -

Field: 

10.015-FPFI 

CondCode 

Dependent

Table 57,

8.10.15

This field is only appropriate for images 

that do not comply with SAP Levels 30, 

32, 40, 42, 50, 51 or 52, because those 

images shall be cropped to a “head only” 

or “head and shoulders”composition.

2 D Type10-

10.015-

CondCode 

DependentIMT

IF Present(10.015) THEN

{10.003} EQ ASCII(FACE)

Y B-O

2 D Type10-

10.015-

CondCode 

DependentSAP

IF Present(10.015) THEN

{10.013} NOT MO [30, 32, 40, 42, 50, 51, 52] 

Y B-O

RT10.6 -

Field: 

10.018-DIST 

CondCode 

Dependent

Table 57,

8.10.18

This optional field (which can be used 

only if IMT is 'FACE')...

2 D Type10-

10.018-

CondCode 

DependentIMT

IF Present(10.018) THEN

{10.003} EQ ASCII(FACE)

Y B-O

RT10.7 -

Field: 

10.019-LAF 

CondCode 

Dependent

Table 57,

8.10.19

This optional field ...is only applicable to 

face images (IMT = 'FACE').

2 D Type10-

10.019-

CondCode 

DependentIMT

IF Present(10.019) THEN

{10.003} EQ ASCII(FACE)

Y B-O

RT10.8 -

Field: 

10.020-POS 

CondCode 

Dependent

Table 57,

8.10.20, 

8.10.25, 

8.10.21

This optional field is to be used for the 

exchange of facial image data.

This field (SPA) shall be present when 

Field 10.020: Subject pose / POS contains 

a “D” to indicate a set of determined 3D 

pose angles of the same subject for a 

facial image (IMT = 'FACE'). If the entry in 

POS is an “F”, “L”, or “R” this field shall 

not be used.

This (POA) shall only be used for the 

exchange of facial image data (IMT = 

'FACE'). It may be used if Field 10.020: 

Subject pose / POS contains an “A” to 

indicate an angled pose of the subject. 

The field shall not be used if the entry in 

POS is an “F”, “R”, “L” or “D”.

2 D Type10-

10.020-

CondCode 

DependentIMT

IF Present(10.020) THEN

{10.003} EQ ASCII(FACE)

Y B-O

2 D Type10-

10.020-

CondCode 

DependentSPA

IF {10.020} EQ ASCII(D) THEN

Present(10.025)

ELSE IF

{10.020} MO[F,L,R] THEN

Not Present(10.025)

Y

2 D Type10-

10.020-

CondCode 

DependentPOA

IF {10.020} EQ ASCII(A) THEN

Present(10.021)

ELSE IF

{10.020} MO[F,L,R,D] THEN

Not Present(10.021)

Y B-O
110

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

RT10.9 -

Field: 

10.021-POA 

CondCode 

Dependent

Table 57,

8.10.21

This shall only be used for the exchange 

of facial image data (IMT = 'FACE'). 

2 D Type10-

10.021-

CondCode 

DependentIMT

IF Present(10.021) THEN

{10.003} EQ ASCII(FACE)

Y B-O

RT10.10 -

Field: 

10.024-SQS 

CondCode 

Dependent

Table 57,

8.10.23

This optional field shall specify quality 

score data for facial images (IMT = 'FACE')

2 D Type10-

10.024-

CondCode 

DependentIMT

IF Present(10.024) THEN

{10.003} EQ ASCII(FACE) 

Y B-O

RT10.11 -

Field: 

10.025-SPA 

CondCode 

Dependent

Table 57,

8.10.24

This field shall be present ...for a facial 

image (IMT = 'FACE'). 

2 D Type10-

10.025-

CondCode 

DependentIMT

IF Present(10.025) THEN 

{10.003} EQ ASCII(FACE) 

Y B-O

RT10.12 -

Field: 

10.026-SXS 

CondCode 

Dependent

Table 57,

8.10.25

This field is mandatory ...for a facial 

image...in other cases it is optional

2 D Type10-

10.026-

CondCode 

DependentIMT

IF Present(10.026) THEN 

{10.003} EQ ASCII(FACE)

Y B-O

RT10.13 -

Field: 

10.027-SEC 

CondCode 

Dependent

Table 57,

8.10.26

For other facial images (IMT = 'FACE'), the 

field is optional.

2 D Type10-

10.027-

CondCode 

DependentIMT

IF Present(10.026) THEN 

{10.003} EQ ASCII(FACE)

Y B-O

RT10.14 -

Field: 

10.028-SHC 

CondCode 

Dependent

Table 57,

8.10.27

For other facial image s(IMT = 'FACE'), it is 

optional.

2 D Type10-

10.028-

CondCode 

DependentIMT

IF Present(10.026) THEN 

{10.003} EQ ASCII(FACE)

Y B-O

RT10.15 -

Field: 

10.029-FFP 

CondCode 

Dependent

Table 57,

8.10.28

The optional field shall be used for the 

exchange of facial image data (IMT = 

'FACE') feature points or landmarks.

2 D Type10-

10.029-

CondCode 

DependentIMT

IF Present(10.029) THEN

{10.003} EQ ASCII(FACE)

Y B-O
111

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

RT10.16 -

Field: 

10.031-TMC 

CondCode 

Dependent

Table 57,

8.10.30

This optional field describes the specific 

facial (IMT = 'FACE') feature points

2 D Type10-

10.031-

CondCode 

DependentIMT

IF Present(10.031) THEN

{10.003} EQ ASCII(FACE)

Y B-O

RT10.17 -

Field: 

10.032-3DF 

CondCode 

Dependent

Table 57,

8.10.31

The optional field shall describe ...facial 

feature points of the captured facial 

image(IMT = 'FACE').

2 D Type10-

10.032-

CondCode 

DependentIMT

IF Present(10.032) THEN

{10.003} EQ ASCII(FACE)

Y B-O

RT10.18 -

Field: 

10.033-FEC 

CondCode 

Dependent

Table 57,

8.10.32,

8.10.30

Field 10.031: This optional field describes 

the specific facial (IMT= ‘FACE’) feature 

points contained in Field 10.029: 2d Facial 

feature points/ FFP and if level 5, 

contours shall be contained in Field 

10.033: Feature contours/ FEC. 

2 D Type10-

10.033-

CondCode 

DependentIMT

IF Present(10.033) THEN

{10.003} EQ ASCII(FACE)

Y B-O

2 D NIEMType10-

10.031-

10.029-

CondCode 

Dependent

IF 

Present(XElm(biom:FaceImageFeaturePointTierC

ode)) OR 

Present(XElm(biom:FaceImageFeaturePointTierN

umeric)), 

THEN 

Present(XElm(biom:FaceImageFeaturePoint))

Y X-O

2 D Type10-

10.031-

10.029-

CondCode 

Dependent

IF Present(10.031), THEN Present(10.029) NA T

2 D Type10-

10.031-

10.033-

CondCode 

Dependent

IF {10.031} EQ 5, THEN Present(10.33) Y B-O

RT10.19 -

Field: 

10.039-T10 

CondCode 

Dependent

Table 57,

8.10.34

This field shall

only be present if multiple Type-10 

records in the transaction contain the 

same SMT or body part.

2 D Transaction

-10.039-

CondCode 

Dependent

IF Present(10.039) THEN

Count(Records ST Type(Record) EQ 10) GTE 2

NA T

2 M Transaction IF Y X-O
112

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

-NIEM10.039-

CondCode 

Dependent

Present(XElm(biom:PhysicalFeatureReferenceIde

ntification)

THEN

Count(XElm(itl:PackageFacialAndSMTImageReco

rd)) GTE 2

RT10.20 -

Field: 

10.040-SMT 

CondCode 

Dependent

Table 57,

8.10.35

This field shall be used only when Field 

10.003: Image type / IMT = “SCAR”, 

“MARK”, or “TATTOO”. It is not used for 

other images

2 D Type10-

10.040-

CondCode 

DependentIMT

IF Present(10.040) THEN

{10.003} MO [ASCII(SCAR,MARK,TATTOO)]

Y B-O

RT10.21 -

Field: 

10.041-SMS 

CondCode 

Dependent

Table 57,

8.10.36

This field shall be used only when Field 

10.003: Image type / IMT =“SCAR”, 

“MARK”, or “TATTOO”.

2 D Type10-

10.041-

CondCode 

DependentIMT

IF Present(10.041) THEN

{10.003} NEQ ASCII(FACE)

Y B-O

RT10.22 -

Field: 

10.042-SMD 

CondCode 

Dependent

Table 57,

8.10.37

This field shall be used only when Field 

10.003: Image type /IMT = “SCAR”, 

“MARK”, or “TATTOO”.

2 D Type10-

10.042-

SMDCondCode 

DependentIMT

IF Present(10.042) THEN

{10.003} MO [ASCII(SCAR,MARK,TATTOO)]

NA T

2 D NIEMType10-

10.042-

SMDCondCode 

DependentIMT

IF Present(XElm(PhysicalFeatureCategoryCode) 

OR XElm(PhysicalFeatureClassCoce) OR 

XElm(PhysicalFeatureDescriptionText) OR 

XElm(PhysicalFeatureSubClassCode)) 

THEN

{10.003} MO [ASCII(SCAR,MARK,TATTOO)]

Y X-O

RT10.23 -

Field: 

10.043-COL 

CondCode 

Dependent

Table 57,

8.10.38

This field is optional, but it can only be 

used when 10.042 is in the record. It shall 

contain one subfield corresponding to 

each subfield contained in

Field 10.042: SMT descriptors / SMD

2 D Type10-

10.043-

10.042-

CondCode 

Dependent

IF Present(10.043) THEN

Present(10.042)

NA T

2 D NIEMType10-

10.043-

CondCode 

IF Present(10.043) THEN

Present(XElm(PhysicalFeatureCategoryCode))

Y X-O
113

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

Dependent

2 D Type10-

10.043-

10.042-

Subfield 

Count 

Matches

Count(Subfields in 10.043) EQ Count(Subfields in 

10.042)

NA T

2 D NIEMType10-

10.043-

10.042-

Occurrence 

Count 

Matches

ForEach( 

XElm(biom:PhysicalFeatureDescriptionDetail))

{

Count(XElm(PhysicalFeatureColorDetail)) EQ 

Count(XElm(PhysicalFeatureCategoryCode))

}

Y X-C

RT10.24 -

Field: 

10.045-OCC 

CondCode 

Dependent

Table 57,

8.10.40

This optional field defines ...the image of 

the face (IMT = 'FACE').

2 D Type10-

10.045-

CondCode 

DependentIMT

IF Present(10.045) THEN

{10.003} EQ ASCII(FACE)

Y B-O

RT10.25 -

Field: 

Type10-

CharType

8.10,

Table 57

<Table 57 specifies the Character Type for 

each field that contains no subfields.. >

1 - 10.[001,00

2,006 to 

010, 

013,016,01

7,031,039]-

CharType 

Bytes(10.[001,002,006 to 010, 

013,016,017,031,039]) MO [0x30 to 0x39]

Y B-I

<Allow 

leading 

zeros, 

negative 

and plus 

signs>

1 - 10.[012,02

0,027,030] 

-CharType 

Bytes(10.[012,020,027,030]) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

Y B- I <Allows 

whitepace>

1 M 10.003-

CharType 

Bytes(10.003) MO [0x2D, 0x20, 0x41 to 0x5A, 

0x61 to 0x7A]

Y B- I <Allows 

whitepace>

1 M 10.004-

CharType 

<See Requirement ID: “Field: Source Agency”.> t-2

1 M 10.005-

CharType 

Bytes(10.005) MO [0x30 to 0x39] NA T

1 M NIEM- Bytes(10.005) MO [0x30 to 0x39, 0x2D] Y X- I <Allows 
114

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

10.005-

CharType 

whitepace>

1 M 10.011-

CharType 

Bytes(10.011) MO [0x20, 0x41 to 0x5A, 0x61 to 

0x7A, 0x30 to 0x39]

Y B-O

1 D 10.021-

CharType 

Bytes(10.021) MO [0x2D,0x30 to 0x39] Y B-I

<Allows + 

sign, 

leading 

zeros>

1 O 10.038-

CharType 

TRUE Y B-C

1 O 10.903-

CharType

Bytes(10.903) MO [0x20 to 0x7E] Y B-O

1 M 10.993-

CharType 

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

1 O 10.996-

CharType 

Bytes(10.996) MO [0x30 to 0x39,0x41 to 0x46, 

0x61 to 0x66]

Y B-C

1 M 10.999-

CharType 

TRUE NA T

1 M NIEM10.999-

CharType

<Schema tests that the BinaryBase64Object is of 

the correct type and length. Report that this is 

tested by the schema.>

Y X-C

RT10.26 -

Field: 

Type10-

Subfield

CharType

8.10,

Table 57

<Table 57 specifies the Character Type for 

each subfield.>

1 D 10.014-

[LHC, RHC, 

TVC, BVC]-

CharType 

Bytes(InfoItem:1 to 4 in 10.014) MO [0x30 to 

0x39]

Y B*-I

<Allows 

plus sign>

10.014-

BBCCharType

Bytes(InfoItem:5 in 10.014) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

Y B*- I 

<Allows 

whitepace>

1 O 10.015-

BYCCharType 

Bytes(InfoItem:1 in 10.015) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

Y B *-I 

<Allows 

whitepace>

1 O 10.015-

[NOP, HPO, 

VPO]-

CharType 

Bytes(All(InfoItems in 10.015 ST InfoItems NOT 

InfoItem:1 in 10.015)) MO [0x30 to 0x39]

Y B*-I

<Allows 

plus sign>
115

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

1 M 10.018-

[IDK, IDM, 

DSC]-

CharType 

Bytes(All(InfoItems in 10.018)) MO [0x20, 0x41 

to 0x5A, 0x61 to 0x7A]

Y B*- I 

<Allows 

whitepace>

1 D 10.019-

LAFCharType 

Bytes(All(InfoItems in 10.019)) MO [0x20, 0x41 

to 0x5A, 0x61 to 0x7A]

Y B*- I 

<Allows 

whitepace>

1 D 10.023-

PACCharType 

Bytes(InfoItem:1 in 10.023) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A, 0x30 to 0x39]

Y B*- I 

<Allows 

whitepace>

1 D 10.023-

VSDCharType

TRUE Y B*-C

1 D 10.024-

[QVU, 

QAP]-

CharType 

ForEach(Subfield in 10.024)

{

Bytes(InfoItem:1,3 in Subfield) MO [0x30 to 

0x39]

}

Y B*-O

1 D 10.024-

QAVCharType 

ForEach(Subfield in 10.024)

{

Bytes(InfoItem:2 in Subfield) MO [0x30 to 

0x39,0x41 to 0x46, 0x61 to 0x66]

}

Y B*-O

1 D 10.025-

[YAW, PIT, 

ROL]-

CharType 

Bytes(InfoItems: 1 to 3 in 10.025) MO [0x2D, 

0x30 to 0x39]

Y B*-I <Allows 

plus sign>

1 D 10.025-

[YAWU, 

PITU, 

ROLU]-

CharType 

Bytes(InfoItems: 4 to 6 in 10.025) MO [0x30 to 

0x39]

Y B*-I <Allows 

plus sign>

1 D 10.026-

SXSCharType 

Bytes(All(InfoItems in 10.018)) MO [0x20, 0x41 

to 0x5A, 0x61 to 0x7A]

Y B*- I

<Allows 

whitepace>

1 D 10.028- Bytes(All(InfoItems in 10.028)) MO [0x20, 0x41 Y B*- I 
116

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

SHCCharType to 0x5A, 0x61 to 0x7A] <Allows 

whitepace>

1 D 10.029-

[FPT, HCX, 

HCY]-

CharType 

ForEach(Subfield in 10.029)

{

Bytes(InfoItem:1,3,4 in Subfield) MO [0x30 to 

0x39]

}

Y B*-I

<Allows 

plus, minus 

signs>

1 D 10.029-

FPCCharType 

ForEach(Subfield in 10.029)

{

Bytes(InfoItem:2 in Subfield) MO [0x2E, 0x30 to 

0x39,0x61 to 0x7A]

}

Y B*-O

1 D 10.032-

[FPT, HCX, 

HCY, HCZ]-

CharType 

ForEach(Subfield in 10.032)

{

Bytes(InfoItem:1,3,4,5 in Subfield) MO [0x30 to 

0x39]

}

Y B*-I <Allows 

plus and 

minus 

signs>

1 D 10.032-

FPCCharType 

ForEach(Subfield in 10.032)

{

Bytes(InfoItem:2 in Subfield) MO [0x2E, 0x30 to 

0x39,0x61 to 0x7A]

}

Y B*-O

1 D 10.033- FCC 

CharType 

ForEach(Subfield in 10.033)

{

Bytes(InfoItem:1 in Subfield) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

}

Y B*- I 

<Allows 

whitepace>

1 D 10.033-

[NOP, HPO, 

VPO] 

CharType 

ForEach(Subfield in 10.033)

{

Bytes(All(InfoItems in Subfield ST InfoItems NOT 

InfoItem:1 in Subfield)) MO [0x30 to 0x39]

}

Y B*-I <Allows 

plus sign>

1 D 10.040-

SMTCharType 

Bytes(All(InfoItems in 10.040)) MO [0x20, 0x41 

to 0x5A, 0x61 to 0x7A]

Y B*- I 

<Allows 

whitepace>

1 D 10.041-

[HGT, 

Bytes(All(InfoItems in 10.041)) MO [0x30 to 

0x39]

Y B*-I <Allows 

plus sign>
117

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

WID]-

CharType 

1 D 10.042-

[SMI, TAC, 

TSC]-

CharType 

ForEach(Subfield in 10.042)

{

Bytes(InfoItem:1 to 3 in Subfield) MO [0x20, 

0x41 to 0x46, 0x61 to 0x66]

}

Y B*- I 

<Allows 

whitepace>

1 D 10.042-

TDSCharType 

TRUE Y B*-C

1 D 10.043-

[TC1, TC2, 

TC3, TC4, 

TC5, TC6]-

CharType 

Bytes(All(InfoItems in 10.043)) MO [0x20, 0x41 

to 0x5A, 0x61 to 0x7A]

Y B*- I 

<Allows 

whitepace>

1 O 10.044-

ITXCharType

Bytes(All(InfoItems in 10.044)) MO [0x20, 0x41 

to 0x46, 0x61 to 0x66]

Y B*- I 

<Allows 

whitepace>

1 D 10.045-

[OCY, OCT]-

CharType 

ForEach(Subfield in 10.045)

{

Bytes(InfoItem:1,2 in Subfield) MO [0x20, 0x41 

to 0x5A, 0x61 to 0x7A]

}

Y B*- I 

<Allows 

whitepace>

1 D 10.045-

[NOP, HPO, 

VPO]-

CharType 

ForEach(Subfield in 10.045)

{

Bytes(All(InfoItems in Subfield ST InfoItems NOT 

InfoItem:1 OR infoItem:2 in Subfield)) MO [0x30 

to 0x39]

}

Y B*-I <Allows 

plus sign>

1 O 10.902-

[NAV, 

OWN, 

PRO]-

CharType 

TRUE Y B*-C

1 O 10.902-

[GMT]-

CharType 

ForEach(Subfield in 10.902)

{

Bytes(InfoItem:1 in Subfield) MO [0x30 to 

NA T
118

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

0x39,0x5A]

}

1 O NIEM10.902-

GMT 

CharType 

Bytes(XElm(biom:ProcessUTCDate) in 10.902) 

MO [0x30 to 0x39, 0x2D, 0x3A, 0x54, 0x5A]

Y X-I <Allows 

plus sign, 

timezones, 

etc.>

1 O 10.904-

[MAK, 

MOD, SER]-

CharType 

TRUE Y B*-C

1 O 10.995-

[ACN, ASP]-

CharType 

Bytes(All(InfoItems in 10.995)) MO [0x30 to 

0x39]

Y B*-O

1 O 10.997-

[SRN, RSP]-

CharType 

Bytes(All(InfoItems in 10.997)) MO [0x30 to 

0x39]

Y B*-O

O 10.998-

[UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

CharType 

<See Requirement ID: “Field: Geographic”> t-2

RT10.27 -

Field: 

Type10-

CharCount

Table 57, 

7.1

<Table 57 specifies the Character Count 

for each field that contains no subfields.>

1 M 10.001-

CharCount

DataLength(10.001) MO [1 to 8] NA T

1 M NIEM10.001-

CharCount

Length(10.001) EQ 1 Y X-O

1 M 10.002-

CharCount

DataLength(10.002) EQ 1 OR 2 Y B-O

1 M 10.003-

CharCount

DataLength(10.003) MO [4 to 11] Y B- I <Allows 

whitepace>

1 M 10.004- <See Requirement ID: “Field: Source Agency”.> t-2
119

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

CharCount

1 M 10.005-

CharCount

DataLength(10.005) EQ 8 NA T

1 M NIEM10.005-

CharCount

DataLength(10.005) EQ 10 Y X-O

1 M 10.006-

CharCount

DataLength(10.006) MO [2 to 5] Y B-O

1 M 10.007-

CharCount

DataLength(10.007) MO [2 to 5] Y B-O

1 M 10.008-

CharCount

DataLength(10.008) EQ 1 Y B-O

1 M 10.009-

CharCount

DataLength(10.009) MO [1 to 5] Y B-O

1 M 10.010-

CharCount

DataLength(10.010) MO [1 to 5] Y B-O

1 M 10.011-

CharCount

DataLength(10.011) MO [3 to 5] Y B-O

1 M 10.012-

CharCount

DataLength(10.012) MO [3 to 4] Y B- I <Allows 

whitepace>

1 D 10.013-

CharCount

DataLength(10.013) MO [1 to 2] Y B-O

1 O 10.016-

CharCount

DataLength(10.016) MO [1 to 5] Y B-O

1 O 10.017-

CharCount

DataLength(10.017) MO [1 to 5] Y B-O

1 D 10.019-

CharCount

DataLength(10.019) EQ 1 Y B-C

1 D 10.020-

CharCount

DataLength(10.020) EQ 1 Y B-C

1 D 10.021-

CharCount

DataLength(10.021) MO [1 to 4] Y B-O

1 D 10.027-

CharCount

DataLength(10.027) EQ 3 Y B- I <Allows 

whitepace>
120

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

1 O 10.030-

CharCount

DataLength(10.030) MO [7 to 10] Y B- I <Allows 

whitepace>

1 D 10.031-

CharCount

DataLength(10.031) MO [1 to 3] NA T

1 D 10.031-

TMCCharCount

DataLength(XElm(FaceImageFeaturePointTierCo

de)) EQ 1

AND

DataLength(XElm(FaceImageFeaturePointTierNu

meric)) EQ 3

Y X- I <Allows 

whitepace>

1 O 10.038-

CharCount

DataLength(10.038) MO [1 to 126] Y B-O

1 D 10.039-

CharCount

DataLength(10.039) MO [1 to 3] Y B-O

1 O 10.903-

CharCount

DataLength(10.903) MO [13 to 16] Y B-O

1 O 10.993-

CharCount

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

1 O 10.996-

CharCount

DataLength(10.996) EQ 64 Y B-C

O 10.998-

CharCount

<See Requirement ID: “Field: Geographic”> t-2

RT10.28 -

Field: 

Type10-

Subfield 

CharCount

Table 57 <Table 57 specifies the Character Count 

for each subfield.>

1 D 10.014-

[LHC, RHC, 

TVC, BVC]-

CharCount

Length(InfoItem:1 to 4 in 10.014) MO [1 to 5] Y B*-O

1 D 10.014-

[BBC]-

CharCount

Length(InfoItem:5 in 10.014) EQ 1 Y B*- I 

<Allows 

whitepace>

1 O 10.015-

BYCCharCount

Length(InfoItem:1 in 10.015) EQ 1 Y B*- I 

<Allows 

whitepace>

1 O 10.015-

NOPCharCount

Length(InfoItem:2 in 10.015) EQ 1 OR 2 Y B*-O

1 O 10.015-[ Length(All(InfoItems in 10.015 ST InfoItems NOT Y B*-O
121

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

HPO, VPO]-

CharCount

InfoItem:1 OR InfoItem:2 in 10.015) MO [1 to 5]

1 D 10.018-

IDKCharCount

Length(InfoItem:1 in 10.018) MO [6 to 10] Y B*- I 

<Allows 

whitepace>

1 D 10.018-

IDMCharCount

Length(InfoItem:2 in 10.018) EQ 1 Y B*- I 

<Allows 

whitepace>

1 D 10.018-

DSCCharCount

Length(Last(InfoItem in 10.018)) MO [4 to 8] Y B*- I 

<Allows 

whitepace>

1 D 10.019-

LAFCharCount

Length(All(InfoItems in 10.019) EQ 1 Y B* I <Allows 

whitepace>

C

1 D 10.023-

PACCharCount

Length(InfoItem:1 in 10.023) MO [6 to 14] Y B*- I 

<Allows 

whitepace>

1 D 10.023-

VSDCharCount

Length(InfoItem:2 in 10.023) MO [1 to 64] Y B*-O

1 D 10.024-

QVUCharCount

ForEach(Subfield in 10.024)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

Y B*-O

1 D 10.024-

QAVCharCount

ForEach(Subfield in 10.024)

{

Length(InfoItem:2 in Subfield) EQ 4

}

Y B*-O

1 D 10.024-

QAPCharCount

ForEach(Subfield in 10.024)

{

Length(InfoItem:3 in Subfield)) MO [1 to 5]

}

Y B*-O

1 D 10.026-

SXSCharCount

Length(All(InfoItems in 10.026)) MO [3 to 20] Y B*- I 

<Allows 

whitepace>

1 D 10.028- Length(All(InfoItems in 10.028)) EQ 3 Y B*- I 
122

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

SHCCharCount<Allows 

whitepace>

1 D 10.029-

FPTCharCount

ForEach(Subfield in 10.029)

{

Length(InfoItem:1 in Subfield) EQ 1

}

Y B*-O

1 D 10.029-

FPCCharCount

ForEach(Subfield in 10.029)

{

Length(InfoItem:2 in Subfield) MO [3 to 5]

}

Y B*-O

1 D 10.029-

[HCX, HCY]-

CharCount

ForEach(Subfield in 10.029)

{

Length(InfoItem:3,4 in Subfield)) MO [1 to 5]

}

Y B*-O

1 D 10.032-

FPTCharCount

ForEach(Subfield in 10.032)

{

Length(InfoItem:1 in Subfield) EQ 1

}

Y B*-O

1 D 10.032-

FPCCharCount

ForEach(Subfield in 10.032)

{

Length(InfoItem:2 in Subfield) MO [3, 5]

}

Y B*-O

1 D 10.032-

[HCX, HCY, 

HCZ] 

CharCount

ForEach(Subfield in 10.032)

{

Length(InfoItem:3 to 5 in Subfield)) MO [1 to 5]

}

Y B*-O

1 D 10.033-

FCCCharCount

ForEach(Subfield in 10.033)

{

Length(InfoItem:1 in Subfield) MO [4 to 14]

}

Y B*- I 

<Allows 

whitepace>

1 D 10.033-

NOPCharCount

ForEach(Subfield in 10.033)

{

Length(InfoItem:2 in Subfield) EQ 1 OR 2

}

Y B*-O

1 D 10.033-

[HPO, 

ForEach(Subfield in 10.033)

{

Y B*-O
123

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

VPO]-

CharCount

Length((All(InfoItems in Subfield ST InfoItems 

NOT InfoItem:1 OR InfoItem:2 in Subfield) MO [1 

to 5]

}

1 D 10.040-

SMTCharCount

Length(All(InfoItems in 10.040)) MO [3 to 10] Y B*- I 

<Allows 

whitepace>

1 D 10.041-

[HGT, 

WID]-

CharCount

Length(InfoItem:1,2 in 10.041)) MO [1 to 3] Y B*-O

1 D 10.042-

SMICharCount

ForEach(Subfield in 10.042)

{

Length(InfoItem:1 in Subfield) MO [3 to 8]

}

Y B*- I 

<Allows 

whitepace>

1 D 10.042-

TACCharCount

ForEach(Subfield in 10.042)

{

Length(InfoItem:2 in Subfield) MO [4 to 8]

}

Y B*- I 

<Allows 

whitepace>

1 D 10.042-

TSCCharCount

ForEach(Subfield in 10.042)

{

Length(InfoItem:3 in Subfield)) MO [3 to 9]

}

Y B*- I 

<Allows 

whitepace>

1 D 10.042-

TDSCharCount

ForEach(Subfield in 10.042)

{

Length(InfoItem:4 in Subfield)) MO [1 to 256]

}

Y B*-O

1 D 10.043-

[TC1, TC2, 

TC3, TC4, 

TC5, TC6]-

CharCount

Length(All(InfoItems in 10.043)) MO [3 to 7] Y B*- I 

<Allows 

whitepace>

1 O 10.044-

ITXCharCount

Length(All(InfoItems in 10.044)) MO [3 to 11] Y B*- I 

<Allows 

whitepace>

1 D 10.045- ForEach(Subfield in 10.045) Y B*- I 
124

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

[OCY, OCT]-

CharCount

{

Length(InfoItem:1,2 in Subfield) EQ 1

}

<Allows 

whitepace>

1 D 10.045-

NOPCharCount

ForEach(Subfield in 10.045)

{

Length(InfoItem:3 in Subfield) EQ 1 OR 2

}

Y B*-O

1 D 10.045-

[HPO,

VPO]-

CharCount

ForEach(Subfield in 10.045)

{

Length((All(InfoItems in Subfield ST InfoItems 

NOT InfoItem:1 OR InfoItem:2 OR InfoItem:3 in 

Subfield) MO [1 to 5]

}

Y B*-O

1 O 10.902-

GMTCharCount

ForEach(Subfield in 10.902)

{

Length(InfoItem:1 in Subfield) EQ 15

}

NA T

1 O 10.902-

[NAV, 

OWN]-

CharCount

ForEach(Subfield in 10.902)

{

Length(InfoItem:2,3 in Subfield) MO [1 to 64]

}

Y B*-O

1 O 10.902-

PROCharCount

ForEach(Subfield in 10.902)

{

Length(InfoItem:4 in Subfield)) MO [1 to 255]

}

Y B*-O

1 O NIEM10.902-

GMTCharCount

Length(XElm(nc:DateTime) in 10.902) EQ 20 Y X-O

1 O 10.904-

[MAK, 

MOD, SER]-

CharCount

Length(All(InfoItems in 10.904)) MO [1 to 50] Y B*-O

1 O 10.995-

ACNCharCount

ForEach(Subfield in 10.995)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

Y B*-O
125

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

1 O 10.995-

ASPCharCount

ForEach(Subfield in 10.995)

{

Length(InfoItem:2 in Subfield) EQ 1 OR 2

}

Y B*-O

1 O 10.997-

SRNCharCount

ForEach(Subfield in 10.997)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

Y B*-O

1 O 10.997-

RSPCharCount

ForEach(Subfield in 10.997)

{

Length(InfoItem:2 in Subfield) EQ 1 OR 2

}

Y B*-O

O 10.998-

Subfield 

CharCount

<See Requirement ID: “Field: Geographic”> t-2

RT10.29 -

Field: 

Type10-Field 

Occurrence

Table 57 <Table 57 specifies the Field Occurrence 

for each field.>

2 M NIEMType10-

Cardinality

<The Type-10 table in Annex G of the base 

standard specifies the type and number of sub 

elements required for each field.>

Y X-I

<Allows 

missing 

elements 

for fields 

with 

cardinatlity 

1..1: 

10.999, 

10.005, 

10.004, 

10.012, 

10.011, 

10.006, 

10.009, 

10.008, 

10.003, 

10.007, 

10.010. 

Allows 

optional 

“biom:Imag
126

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

eCaptureDe

tail” and 

“biom:capt

ureOrganiza

tion” Also 

requires 

element for 

10.013, but 

its 

cardinality 

is listed as 

0..1> 

1 - Type10-

FieldOccurr

ences

Count(10.[034 to 037, 046 to 199,901,905 to 

992, 994]) EQ 0

AND

Count(10.[001 to 012, 999]) EQ 1

AND

Count(10.[013 to 021,023 to 033,038 to 045, 902 

to 904, 993, 995 to 998]) LTE 1

NA T

1 M 10.022-

PXS-Legacy

IF Present (10.022) <Provide Legacy Warning>. Y B-O

RT10.30 -

Field: 

10.001-

Record 

Header 

Value

8.10.1,

Table 57,

7.1

Field 10.001 Record header. In Traditional 

encoding, this field contains the record 

length in bytes (including all information 

separators)

M 10.001-

Record 

Header

<See Requirement ID “Field: xx.001-Record 

Header”>

t-2

8.10.1,

C.10.8

The XML name for the Type-10 record is 

<itl:PackageFacialAndSMTImageRecord>, 

and its <biom:RecordCategoryCode> 

element shall

have a value of “10”.

1 M NIEM10.001-

Value

ForEach(itl:PackageFacialAndSMTImageRecord)

{

{XElm(biom:RecordCategoryCode)} EQ ASCII(10)

}

Y X-C

RT10.31 -

Field: 

10.002-

Information 

Designation 

Character

Value

8.10.2,

Table 57,

7.3.1

This mandatory field shall contain the IDC 

assigned to this Type-10 record as listed 

in the information item IDC for this record 

in Field 1.003 Transaction content/CNT. 

M 10.002-

Value

<See Requirement IDs “Field:

xx.002-IDC “ and “Field: 1.003-Transaction 

Content Subfield 2 IDC Matches” >

t-2
127

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

RT10.32 -

Field: 

10.003-

Image Type 

Value

8.10.3,

Table 57,

Table 58

This mandatory field shall be used to 

indicate the type of image contained in 

this record. It shall contain a character 

string from the “Image Code” column of 

Table 58 to indicate the appropriate 

image type. 

1 M 10.003-

IMT-Value

{10.003} MO 

[ASCII(SCAR,TATTOO,FACE,FRONTAL-C,REARC,FRONTAL-N,REAR-N,TORSO-BACK,TORSOFRONT,CONDITION,MISSING,OTHER,CHEST,FEET,

HANDS-PALM,HANDSBACK,GENITALS,BUTTOCKS,RIGHT LEG, LEFT LEG, 

RIGHT ARM, LEFT ARM,MARK)]

t-1 Y B-I <Allows 

whitespace

>

RT10.33 -

Field: 

10.004-

Source 

Agency 

Value

8.10.4,

7.6

The data content of this field is defined by 

the user and shall be in accordance with 

the receiving agency.

M 10.004-

SRC-Value

<See Requirement ID: “Field: Source Agency”.> t-2

RT10.34 -

Field: 

10.005-

Photo 

Capture 

Date Value

8.10.5,

7.7.2.3

This mandatory field shall contain the 

date that the image contained in the 

record was captured.

1 M 10.005-

PHD-Value

{10.005} MO [ValidLocalDate] t-6 NA T

1 M NIEM10.005-

PHD-Value

ForEach(XElm(itl:PackageFacialAndSMTImageRec

ord))

{

{XElm(nc:Date) in XElm(biom:CaptureDate)} MO 

[NIEM-ValidLocalDate]

}

t-6 Y X-I

<Allows 

optional 

element 

(nillable).>

RT10.35 -

Field: 

10.006-

Horizontal 

Line Length 

Value

8.10.6,

Table 57,

7.7.8.1

The maximum

horizontal size is limited to 65,534 pixels 

in Record Types-4 and 8, and to 99,999 

for

other record types. The minimum value is 

10 pixels.

M 10.006-

HLL-Value

<See Requirement ID “Field: Image HLL Value” > t-2

RT10.36 -

Field: 

10.006-

Horizontal 

Line Length 

Metadata

8.10.6,

Table 57,

7.7.8.1

<The HLLis verified by checking the image 

metadata if compression is used.>

2 M 10.006-

HLLMatches 

Image 

Metadata

IF {10.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

{10.006} EQ {ImageWidth-JPEGB,JPEGL}

ELSE

IF {10.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

{10.006} EQ {ImageWidth-JP2,JP2L}

ELSE

IF {10.011} EQ ASCII(PNG) THEN

{10.006} EQ {ImageWidth-PNG}

t-11 Y B-O

RT10.37 - 8.10.7, The maximum vertical size is limited to M 10.007-VLL- <See Requirement ID “Field: Image VLL Value” > t-2
128

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

Field: 

10.007-

Vertical Line 

Length 

Value

Table 57,

7.7.8.2

65,534 pixels in Record Types-4 and 8, 

and to 99,999 for other record types.

The minimum value is 10 pixels.

Value

RT10.38 -

Field: 

10.007-

Vertical Line 

Length 

Metadata

8.10.7,

Table 57,

7.7.8.2

<The VLLis verified by checking the image 

metadata if compression is used.>

2 M 10.007-VLL 

Matches 

Image 

Metadata

IF {10.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

{10.007} EQ {ImageHeight-JPEGB,JPEGL}

ELSE IF {10.011} EQ ASCII(JP2) OR ASCII(JP2L) 

THEN

{10.007} EQ {ImageHeight-JP2,JP2L}

ELSE IF {10.011} EQ ASCII(PNG) THEN

{10.007} EQ {ImageHeight-PNG}

t-11 Y B-O

RT10.39 -

Field: 

10.008-Scale 

Units Value

8.10.8,

Table 57,

7.7.8.3

<Table 57 lists the value constraints for 

SLC>

M 10.008-

Value

<See Requirement ID “Field: Image SLC Value” > t-2

RT10.40 -

Field: 

10.008-

Scale Units 

Metadata

8.10.8,

Table 57,

7.7.8.3

A value of “1” shall indicate pixels per 

inch.

A value of “2” shall indicate pixels per 

centimeter. A value of “0” in this field 

indicates that no scale is provided, and 

the quotient of THPS/TVPS shall provide 

the pixel aspect ratio.

<The SLC is verified by checking the image 

metadata if compression is used.>

2 M 10.008-SLCMatches 

Image 

Metadata

IF {10.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

{10.008} EQ {SamplingUnits-JPEGB,JPEGL}

ELSE IF

{10.011} EQ ASCII(JP2) OR ASCII(JP2L)

<Provide Warning “Not Tested”>

ELSE IF

{10.011} EQ ASCII(PNG) THEN

IF {10.008} EQ 1 OR 2 THEN { SamplingUnitsPNG} EQ 1, ELSE IF {10.008} EQ 0 THEN { 

SamplingUnits-PNG} EQ 0

t-11 Y B-O

RT10.41 -

Field: 

10.009-

Transmitted 

Horizontal 

Pixel Scale 

Value

8.10.9,

Table 57,

7.7.8.4

<Table 57 lists the value constraints for 

THPS.>

M 10.009-

THPS-Value

<See Requirement ID “Field: Image THPS Value”

>

t-2

RT10.42 -

Field: 

8.10.9,

Table 57,

This is the integer pixel density used in 

the horizontal direction of the image if 

2 M 10.009-

THPSIF {10.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) AND{10.008} EQ 1 OR 2

t-11, 

t-12

Y B-O
129

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

10.009-

Transmitted 

Horizontal 

Pixel Scale 

Metadata

7.7.8.4 SLC has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the horizontal component of the 

pixel aspect ratio, up to 5 digits. 

<The THPS is verified by checking the 

image metadata if compression is used.>

Matches 

Image 

Metatdata

THEN {10.009} EQ {HorizontalDensityJPEGB,JPEGL}

ELSE IF

{10.011} EQ ASCII(JP2) OR ASCII(JP2L) AND 

{10.008} EQ 1 OR 2 THEN

<Provide Warning “Not Tested”>

ELSE IF 

{10.011} EQ ASCII(PNG) AND {10.008} EQ 1 

THEN {10.009} EQ {HorizontalDensity-PNG} * 

0.0254 (meters/inch), 

ELSE IF 10.011} EQ ASCII(PNG) AND {10.008} EQ 

2

THEN {10.009} EQ {HorizontalDensity-PNG} * 

0.01 (meters/cm)

2 M 10.009-

THPSAspect 

Ratio 

Matches 

Metadata

IF {10.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

AND {10.008} NEQ 1 OR 2 

THEN {10.009}/{10.010} EQ {HorizontalDensityJPEGB,JPEGL} / {VerticalDensity-JPEGB,JPEGL}

ELSE IF

{10.011} EQ ASCII(JP2) OR ASCII(JP2L) AND 

{10.008} NEQ 1 OR 2 THEN

<Provide Warning “Not Tested”>

ELSE IF {10.011} EQ ASCII(PNG) AND {10.008} 

NEQ 1 OR 2

THEN {10.009}/{10.010} EQ {HorizontalDensityPNG} / {VerticalDensity-PNG}

t-11 Y B-O

RT10.43 -

Field: 

10.010-

Transmitted 

Vertical 

Pixel Scale 

Value

8.10.10,

Table 57,

7.7.8.5

<Table 57 lists the value constraints for 

TVPS.>

M 10.010-

TVPS-Value

<See Requirement ID “Field: Image TVPS Value”

>

t-2

RT10.44 -

Field: 

8.10.10,

Table 57,

This is the integer pixel density used in 

the Vertical direction of the image if SLC 

2 M 10.010-

TVPSIF {10.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) AND {10.008} EQ 1 OR 2

t-11, 

t-12

Y B-O
130

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

10.010-

Transmitted 

Vertical 

Pixel Scale 

Metadata

7.7.8.5 has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the Vertical component of the 

pixel aspect ratio, up to 5 digits.

<The TVPS is verified by checking the 

image metadata if compression is used.>

Matches 

Metadata

THEN {10.010} EQ {VerticalDensityJPEGB,JPEGL}

ELSE IF

{10.011} EQ ASCII(JP2) OR ASCII(JP2L)

<Provide Warning “Not Tested”>

ELSE IF

10.011} EQ ASCII(PNG) AND {10.008} EQ 1

THEN {10.010} EQ {VerticalDensity-PNG} * 

0.0254 (meters/inch), 

2 M 10.010-

TVPSAspect 

Ratio 

Matches 

Image 

Metadata

IF {10.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) AND 

{10.008} NEQ 1 OR 2

THEN {10.009}/{10.010} EQ {HorizontalDensityJPEGB,JPEGL} / {VerticalDensity-JPEGB,JPEGL}

ELSE IF

{10.011} EQ ASCII(JP2) OR ASCII(JP2L)

<Provide Warning “Not Tested”>

ELSE IF

{10.011} EQ ASCII(PNG) AND {10.008} NEQ 1 OR 

2

THEN {10.009}/{10.010} EQ { HorizontalDensity -

PNG} / {VerticalDensity-PNG}

t-11 Y B-O

RT10.45 -

Field: 

10.011-

Compressio

n Algorithm 

Value

8.10.11,

Table 57,

7.7.9.3,

7.7.9.4

For non-facial images conveyed in Record 

Type-10 Field 10.011: Compression 

algorithm / CGA may be set to any value 

in Table 15, except WSQ20. 

- M 10.011-

CGA-Value

<See Requirement ID: “Field: Type10 

Compression”>

t-2 

RT10.46 -

Field: 

10.011-

Compressio

n Algorithm 

Metadata

8.10.11,

Table 57

<The CGA is verified by checking the 

image metadata for the compression type 

signature if compression is used.>

2 M 10.011-

CGAMatches 

Image 

Metadata

IF {10.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

Present(SOI -JPEG,JPEGL)

AND

IF {10.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

Present(SigBox)

AND

t-11 Y B-O
131

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

IF {10.011} EQ ASCII(PNG) THEN

Present(PNGSig)

RT10.47 -

Field: 

10.012-Color 

Space Value

8.10.12,

Table 57,

7.7.10

Table 16 lists the codes and their 

descriptions for each of the available 

color spaces used within this standard.

All other color spaces are to be marked as 

undefined.

- M 10.012-

CPS-Value

<See Requirement ID: “Field: Image cSP Value>

t-2

RT10.48 -

Field: 

10.013-

Subject 

Acquisition 

Profile Value

8.10.13,

Table 57,

7.7.5.1

<Table 57 lists the value constraints for 

SAP.>

- D 10.013-

SAP-Value

<See Requirement ID: “Field: SAP Values”> t-2

RT10.49 -

Field: 

10.013-

Subject 

Acquisition 

Profile 

Conditional

8.10.13,

7.7.5

The Subject Acquisition Profile (SAP) is a 

mandatory field when Field 10.003: Image 

type / IMT contains “FACE”. Otherwise, it 

shall not be entered.

- D 10.013-

SAPConditional

<See Requirement ID: “Field: SAP Conditional”> t-2

RT10.50 -

Field: 

10.014-Face 

Image 

Bounding 

Box Value

8.10.14,

Table 57

<Table 57 lists the value constraints for 

FIP.>

2 M

⇑

Type10-

10.014-

LHC-Value

{InfoItem:1 in 10.014} GTE 1 AND LTE {10.006} 

AND MO [Integers]

Y B*-O

2 M

⇑

Type10-

10.014-

RHC-Value 

{InfoItem:2 in 10.014} GTE 1 AND LTE {InfoItem:1 

in 10.014} AND MO [Integers]

Y B*-O

2 M

⇑

Type10-

10.014-

TVC-Value

{InfoItem:3 in 10.014)} GTE 1 AND LTE {10.007} 

AND MO [Integers]

Y B*-O

2 M

⇑

Type10-

10.014-

BVC-Value

{InfoItem:4 in 10.014)} GT {InfoItem:3 in 10.014} 

AND LTE {10.007} AND MO [Integers]

Y B*-O

1 O

⇑

10.014-

BBC-Value 

{InfoItem:5 in 10.014)} MO [ASCII(S,H,F,N,X)] Y B*-I <Allows 

whitespace

>

RT10.51 - 8.10.14 This field is only appropriate for images 2 D 10.014-FIP- <See Requirement ID: “Field: 10.014-FIP t-2
132

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

Field: 

10.014- Face 

Image 

Position 

Conditional

that do not comply with SAP Levels 30, 

40, 50 or 51.

Conditional CondCode Dependent”>

RT10.52 -

Field: 

10.015-Face 

Image Path 

Value

8.10.15,

Table 57

<Table 57 lists the value constraints for 

FPFI.>

1 M

⇑

10.015-

BYC-Value 

{InfoItem:1 in 10.015} MO [ASCII(C, E, P)]

}

Y B*-I <Allows 

whitespace

>

1 M

⇑

10.015-

NOP-Value

{InfoItem:2 in 10.015} MO [2 to 99] AND MO 

[Integers]

Y B*-O

1 M

⇑

10.015-

[HPO, 

VPO]-Value 

For(X EQ 3 to {InfoItem:2 in 10.015})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

}

NA T

1 M

⇑

NIEM10.015-

[HPO, 

VPO]-Value 

{XElm(PositionHorizontalCoordinateValue} GTE 0 

AND LTE 99999

AND

{XElm(PositionVerticalCoordinateValue} GTE 0 

AND LTE 99999

Y X-O

2 M

⇑

10.015-

HPOValueDepe

ndent 

For(X EQ 3 to {InfoItem:2 in 10.015})

{

IF X MOD 2 EQ 1

{InfoItem:X in 10.015} GTE 0 AND LTE {10.006} 

AND MO [Integers]

}

NA T

2 M

⇑

NIEM10.015-

HPOValueDepe

nent 

{XElm(PositionHorizontalCoordinateValue} GTE 0 

AND LTE {10.006} AND MO [Integers]

Y X-O
133

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

2 M

⇑

10.015-

VPOValueDepe

ndent 

For(X EQ 3 to {InfoItem:2 in 10.015})

{

IF X MOD 2 EQ 0

{InfoItem:X in 10.015} GTE 0 AND LTE {10.007} 

AND MO [Integers]

}

NA T

2 M

⇑

NIEM10.015-

VPOValueDepe

ndent 

{XElm(PositionVerticalCoordinateValue} GTE 0 

AND LTE {10.007} AND MO [Integers]

Y X-O

RT10.53 -

Field: 

10.016-

Scanned 

Horizontal 

Pixel Scale 

Value

8.10.16,

Table 57

<Table 57 lists the value constraints for 

SHPS.>

O 10.016-

SHPS-Value

<See Requirement ID: “Field: Image SHPS 

Value”>

t-2

RT10.54 -

Field: 

10.017-

Scanned 

Verticall 

Pixel Scale 

Value

8.10.17,

Table 57

<Table 57 lists the value constraints for 

SVPS.>

O 10.017-

SVPS-Value

<See Requirement ID: “Field: Image SVPS 

Value”>

t-2

RT10.55 -

Field: 

10.018-

Distortion 

Value

8.10.18,

Table 57

<Table 57 lists the value constraints for 

DIST.>

1 M

⇑

10.018-IDKValue {InfoItem:1 in 10.018} MO [ASCII(Barrel, Inflated, 

Pincushion)]

Y B*-I <Allows 

whitepace>

1 M

⇑

10.018-

IDM-Value

{InfoItem:2 in 10.018} EQ ASCII(E) OR ASCII(C) Y B*-I <Allows 

whitepace>

1 M

⇑

10.018-

DSC-Value 

{InfoItem:3 in 10.018)} MO 

[ASCII(Mild,Moderate,Severe)]

Y B*-I <Allows 

whitepace>

RT10.56 -

Field: 

10.019-

Lighting 

8.10.19,

Table 57

<Table 57 lists the value constraints for 

LAF.>

1 D 10.019-

LAF-Value

{10.019} MO [ASCII(F,H,R)] Y B-I <Allows 

whitepace>
134

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

Artifacts 

Value

RT10.57 -

Field: 

10.020-

Subject Pose 

Value

8.10.20,

Table 60

When included, this field shall contain 

one character code selected from Table 

60 to describe the pose of the subject.

1 D 10.020-

POS-Value

{10.020} MO [ASCII(F,R,L,A,D)] Y B-I <Allows 

whitepace>

RT10.58 -

Field: YAW 

POA 

Opposite

8.10.20 Note that the offset angle in Field 10.021: 

Pose offset angle / POA is opposite from 

the yaw angle in Field 10.025 as indicated 

by a minus sign. 

2 D 10.025-

YAW10.021-

Opposite

IF Present(InfoItem:1 in 10.025) THEN

{10.021} EQ { InfoItem:1 in 10.025} * -1

Y B*-O

RT10.59 -

Field: 

10.021- Pose 

Offset Angle 

Value

8.10.21,

Table 57

When included, this field shall contain 

one character code selected from Table 

60 to describe the pose of the subject.

1 D 10.021-

POA-Value

{10.021} GTE -180 AND LTE 180

AND

{10.021} MO [Integers]

Y B-O

RT10.60 -

Field: 

10.022-

Deprecated

Table 57 Not to be used in new transactions. - 10.022-

Deprecated

<See Requirement ID: “Field: Type10-

CondCode>.

t-2

RT10.61 -

Field: 

10.023-

Photo 

Acquisition 

Source 

Value

8.10.22,

Table 57,

Table 57

When included, the first information item 

in this field shall contain an attribute code 

selected from Table 61 to describe the 

source of captured image data.

1 M

⇑

10.023-

PAC-Value

{InfoItem:1 in 10.023} MO [ASCII(UNSPECIFIED, 

UNKOWN PHOTO, DIGITAL CAMERA, SCANNER, 

UNKNOWN VIDEO, ANALOG VIDEO, DIGITAL 

VIDEO, VENDOR, TYPE20, OTHER)]

Y B*-I <Allows 

whitepace>

1 D 10.023-

VSD-Value

TRUE Y B*-C

RT10.62 -

Field: 

10.023-

Photo 

Acquisition 

Source 

VENDOR

8.10.22,

Table 57,

Table 57

When “VENDOR” is specified in photo 

attribute code / PAC, a second freeformat information item (vendor-specific 

description VSD) may be entered with up 

to 64 characters ...

2 D 10.023-

PAS-VSDDependent 

IF Present(InfoItem:2 in 10.023)

THEN

{InfoItem:1 in 10.023} EQ ASCII(VENDOR)

Y B*-O

RT10.63 -

Field: 

8.10.22,

Table 57,

A Record Type-20 may be used to store 

the original reference data. For this case,

2 D Transaction

-10.023-

IF {InfoItem:1 in 10.023} EQ ASCII(TYPE20) THEN

Present(10.997) AND

Y B*-O
135

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

10.023-

Photo 

Acquisition 

Source Type20

Table 57 Field 10.997: Source representation / SOR 

shall be contained in this record, and the 

corresponding Record Type-20 shall be 

included in the transaction.

PASConditionalPresent(Record ST Type(Record) EQ 20)

RT10.64 -

Field: 

10.024-

Subject 

Quality 

Scores Type20

8.10.23,

Table 57,

7.7.7

<Table 57 lists the value constraints for 

SQS.>

- D 10.024-SQS <See Requirement ID: “Field: Sample Quality 

Subfield 1” and “Field: Sample Quality Subfield 

2” and “Field: Sample Quality Subfield 3”.>

t-2

RT10.65 -

Field: 

10.025-

Subject Pose 

Angles Value

8.10.24,

Table 57

<Table 57 lists the value constraints for 

SPA.>

1 M

⇑

10.025-

YAW-Value 

{InfoItem:1 in 10.025} GTE -180 AND LTE 180 

AND MO [Integers]

Y B*-O

1 M

⇑

10.025-PITValue{InfoItem:2 in 10.025} GTE -90 AND LTE 90 AND 

MO [Integers]

Y B*-O

1 M

⇑

10.025-

ROL-Value

{InfoItem:3 in 10.025)} GTE -180 AND LTE 180 

AND MO [Integers]

Y B*-O

1 O

⇑

10.025-

[YAWU, 

PITU, 

ROLU]-

Value

{InfoItem:4 to 6 in 10.025)} GTE 0 AND LTE 90 

AND MO [Integers]

Y B*-O

RT10.66 -

Field: 

10.026-

Subject 

Facial 

Description 

Value

8.10.25,

Table 57,

Table 62

The value should be selected from the 

“Attribute code” column of Table 62.

1 D NIEM10.026-SXSValue{XElm(biom:FaceImageDescriptionCode)} MO 

Table 62 OR MO NCIC_Codes

<XElm(biom:FaceImageDescriptionText) may be 

any value because it is user-defined>

t-17 Y X-I 

<Requires 

values from 

Table 62—

but 

shouldn’t 

because of 

userdefined 

possibility>

1 D 10.026-SXS- TRUE <Cannot check for values because the NA T
136

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

Value standard allows user-defined Alphabetic Text. >

RT10.67 -

Field: 

10.027-

Subject Eye 

Color Value

8.10.26,

Table 57,

Table 17

<Table 57 lists the value constraints for 

SEC.>

1 D 10.027-

SEC-Value 

<See Requirement ID: “Field: Image ECL Value”>. t-2

RT10.68 -

Field: 

10.028-

Subject Hair 

Color Value

8.10.27,

Table 57,

Table 63

<Table 57 lists the value constraints for 

SHC.>

When the subject is predominantly bald, 

but hair color is discernible, then the 

appropriate hair color attribute code shall 

follow “BAL” in a second entry.

For streaked hair, use “STR” in the first 

entry; use the second entry to describe 

the principal color of the hair.

1 M 10.028-

SHC-Value

{InfoItems: 1, 2 in 10.028} MO [ASCII(XXX, BAL, 

BLK, BLN, BRO, GRY, RED, SDY, WHI, BLU, GRN, 

ONG, PNK, PLE, STR)]

Y B*-I <Allows 

whitespace

>

1 M

⇑

10.028-

SHCSecondValu

e

{InfoItem:2 in 10.028} MO [ASCII(XXX, BLK, BLN, 

BRO, GRY, RED, SDY, WHI, BLU, GRN, ONG, PNK, 

PLE)]

Y B*-O

RT10.69 -

Field: 

10.029- 2D 

Facial 

Feature 

Points Value

8.10.28,

Table 57

<Table 57 lists the value constraints for 

FFP.>

The first information item, feature point 

type / FPT is a one character value. It is 

mandatory. It shall be either

1 = Denoting an MPEG4 Feature point.

2 = Anthropometric landmark. (This is 

new to this version).

The second information item, feature 

point code / FPC is 3 to 5 characters. If 

FPT is 1, this information item shall be 

“A.B” with A and B defined in

Section 8.10.27.1 and illustrated in Figure 

14. The allowed special character is a 

period. If FPT is 2, the codes are entered 

as shown in the “Feature Point ID” 

column of Table 65. This is one to four 

alphabetic characters.

1 M

⇑

10.029-

FPT-Value 

ForEach(Subfield in 10.029)

{

{InfoItem:1 in Subfield} EQ 1 OR 2

}

Y B*-I <Allows 

whitespace, 

plus sign>

1 M

⇑

10.029-

FPC-Value

ForEach(Subfield in 10.029)

{

{InfoItem:1 in Subfield} MO [Figure 13, Figure 14, 

Table 65] 

}

Y B*-O

2 M

⇑

10.029-

FPCValueDepe

ndent

ForEach(Subfield in 10.029)

{

IF({InfoItem:1 in Subfield} EQ 1 THEN

{InfoItem:2 in Subfield} MO [Figure 13, Figure 14]

ELSE

{InfoItem:2 in Subfield} MO [Table 65]

}

Y B*-O
137

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

2 M

⇑

10.029-

HCXValueDepe

ndent

ForEach(Subfield in 10.029)

{

{InfoItem:3 in Subfield} GTE 1 AND LTE {10.006} 

AND MO [Integers]

}

Y B*-O

2 M

⇑

10.029-

HCYValueDepe

ndent

ForEach(Subfield in 10.029)

{

{InfoItem:4 in Subfield} GTE 1 AND LTE {10.007} 

AND MO [Integers]

}

Y B*-O

RT10.70 -

Field: 

10.030-

Device 

Monitoring 

Mode Value

8.10.29,

Table 57,

<Table 57 lists the value constraints for 

DMM.>

1 O 10.030-

DMMValue

<See Requirement ID: “Field: Device 

Monitoring”>.

t-2

RT10.71 -

Field: 

10.031-

Tiered 

Markup 

Collection 

Value

8.10.30,

Table 57,

<Table 57 lists the value constraints for 

TMC.>

1 D 10.031-

TMC-Value

{10.031} MO [1 to 5, 100 to 999] AND MO 

[Integers]

NA T

1 D NIEM10.031-

TMC-Value

{XElm(FaceImageFeaturePointTierCode)} MO [1 

to 5]

OR {XElm(FaceImageFeaturePointTierNumeric)} 

MO [100 to 999] 

Y X-I <Allows 

whitespace 

and plus 

sign>

RT10.72 -

Field: 

10.032- 3D 

Facial 

Feature 

Points Value

8.10.31,

Table 57

<Table 57 lists the value constraints for 

3DF.>

The first information item, feature point 

type / FPT is a one character value. It is 

mandatory. It shall be either

1 = Denoting an MPEG4 Feature point, 

but using a Z coordinate

2 = Anthropometric landmark, with a Z 

coordinate.

1 M

⇑

10.032-

FPT-Value 

ForEach(Subfield in 10.032)

{

{InfoItem:1 in Subfield} EQ 1 OR 2

}

Y B*-I <Allows 

whitespace 

and plus 

sign>

2 M

⇑

10.032-

FPC-Value

ForEach(Subfield in 10.032)

{

IF({InfoItem:1 in Subfield} EQ 1 THEN

{InfoItem:2 in Subfield} MO [Figure 13, Figure 14]

ELSE

Y B*-O
138

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

The second information item, feature 

point code / FPC is 3 to 5 characters. If 

FPT is 1, this information item shall be 

“A.B” with A and B defined in

Section 8.10.27.1 and illustrated in Figure 

14. The allowed special character is a 

period. If FPT is 2, the codes are entered 

as shown in the “Feature Point ID” 

column of Table 65. Note that this entry is 

one to four alphabetic characters.

{InfoItem:2 in Subfield} MO [Table 65]

}

2 M

⇑

10.032-

HCX-Value

ForEach(Subfield in 10.032)

{

{InfoItem:3 in Subfield} GTE 1 AND LTE {10.006} 

AND MO [Integers]

}

Y B*-O

2 M

⇑

10.032-

HCY-Vlaue 

ForEach(Subfield in 10.032)

{

{InfoItem:4 in Subfield} GTE 1 AND LTE {10.007} 

AND MO [Integers]

}

Y B*-O

1 M

⇑

10.032-

HCZ-Value

ForEach(Subfield in 10.032)

{

{InfoItem:5 in Subfield} GTE 1 AND LTE 65535 

AND MO [Integers]

}

Y B*-O

RT10.73 -

Field: 

10.033-

Feature 

Contours 

Value

8.10.32,

Table 57.

Table 18

<Table 57 lists the value constraints 

for3DF.>

1 M

⇑

10.033-

FCC-Value 

ForEach(Subfield in 10.033)

{

{InfoItem:1 in Subfield} MO [ASCII(eyetop, 

eyebottom, upperliptop, upperlipbottom, 

lowerliptop, lowerlipbottom, rightnostril, 

leftnostril, lefteyebrow, righteyebrow, chin, 

faceoutline]

}

Y B*-I <Allows 

whitespace

>

1 M

⇑

10.033-

NOP-Value

ForEach(Subfield in 10.033)

{

{InfoItem:2 in Subfield} MO [3 to 99] AND MO 

[Integers]

}

Y B*-I <Allows 

whitespace

>

1 M 10.033- For(X EQ 3 to {InfoItem:2 in 10.033}) NA T
139

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

⇑ [HPO, 

VPO]-Value 

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

}

1 M

⇑

NIEM10.033-

[HPO, 

VPO]-Value 

{XElm(PositionHorizontalCoordinateValue} GTE 0 

AND LTE 99999

AND

{XElm(PositionVerticalCoordinateValue} GTE 0 

AND LTE 99999

Y X-O

2 M

⇑

10.033-

HPOValueDepe

ndent

ForEach(Subfield in 10.033)

{

For(X EQ 3 to {InfoItem:2 in Subfield})

{

IF X MOD 2 EQ 1

{InfoItem:X in Subfield} GTE 0 AND LTE {10.006} 

AND MO [Integers]

}

}

NA T

2 M

⇑

NIEM10.033-

HPOValueDepe

ndent 

{XElm(PositionHorizontalCoordinateValue} GTE 0 

AND LTE {10.006} AND MO [Integers]

Y X-O

2 M

⇑

NIEM10.033-

VPOValueDepe

ndent 

{XElm(PositionVerticalCoordinateValue} GTE 0 

AND LTE {10.007} AND MO [Integers]

Y X-O

2 M

⇑

10.033-

VPOValueDepe

ForEach(Subfield in 10.033)

{

For(X EQ 3 to {InfoItem:2 in Subfield})

NA T
140

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

ndent {

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE {10.007} 

AND MO [Integers]

}

}

RT10.74 -

Field: 10.034 

to 10.037-

Reserved

Table 57 Reserved for future useonly by 

ANSI/NIST-ITL.

- 10.034 to 

10.037-

Reserved

<See Requirement ID: “Field: Type10-

CondCode>.

t-2

RT10.75 -

Field: 

10.038-

Comment 

Value

8.10.33,

7.4.4

Table 57

<Table 57 lists the value constraints for 

COM.>

1 O 10.038-

COM-Value

<See Requirement ID: “Field: Comment”>. t-2

RT10.76 -

Field: 

10.039-

Type-10

Reference 

Number 

Value

8.10.34,

Table 57

<Table 57 lists the value constraints for 

T10.>

1 D 10.039-

T10-Value

{10.039} MO [1 to 255] AND MO [Integers] Y B-O

RT10.77 -

Field: 

10.040- NCIC 

SMT Code 

Value

8.10.35,

Table 57

<Table 57 lists the value constraints for 

SMT.>

1 D 10.040-

SMT-Value

ForEach(InfoItem in 10.040)

{

{InfoItem} MO [NCIC_Codes]

}

t-17 Y B*-I <Allows 

whitespace

>

RT10.78 -

Field: 

10.041- SMT 

Size Value

8.10.36,

Table 57

<Table 57 lists the value constraints for 

SMS.>

1 D 10.041-

[HGT, 

WID]-Value

ForEach(InfoItem in 10.041)

{

{InfoItem} GTE 1 AND MO[Integers]

}

Y B*-I <Allows 

whitespace, 

leading 

zeros, plus 

sign>

RT10.79 -

Field: 

10.042- SMT 

Descriptors 

Value

8.10.37,

Table 57,

Table 58,

Table 67

<Table 57 lists the value constraints for 

SMD.>

1 M

⇑

10.042-

SMI-Value

ForEach(Subfield in 10.042)

{

{InfoItem:1 in Subfield} MO 

[ASCII(SCAR,PIERCING, TATTOO, CHEMICAL, 

BRANDED, CUT, MARK)]

NA T
141

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

}

1 M

⇑

NIEM10.042-

SMI-Value

ForEach(Xelm(PhysicalFeatureDescriptionDetail))

{

{XElm(PhysicalFeatureCategoryCode)} MO 

[ASCII(SCAR,PIERCING, TATTOO, CHEMICAL, 

BRANDED, CUT, MARK)]

}

Y X-I <Allows 

whitespace

>

1 D 10.042-

TAC-Value

ForEach(Subfield in 10.042)

{

{InfoItem:2 in Subfield} MO [ASCII(HUMAN, 

ANIMAL, PLANT, FLAG, OBJECT, ABSTRACT, 

SYMBOL, OTHER) ]

}

NA T

1 D NIEM10.042-

TAC-Value

ForEach(Xelm(PhysicalFeatureDescriptionDetail))

{

{XElm(PhysicalFeatureClassCode) } MO 

[ASCII(HUMAN, ANIMAL, PLANT, FLAG, OBJECT, 

ABSTRACT, SYMBOL, OTHER) ]

}

Y X-I <Allows 

whitespace

>

1 D 10.042-

TSC-Value

ForEach(Subfield in 10.042)

{

{InfoItem:3 in Subfield} MO 

[ASCII(MFACE,FFACE, ABFACE, MBODY, FBODY, 

ABBODY, ROLES, SPORT, MBPART, FBPART, 

ABBPART, MHUMAN, SKULL, CAT, DOG, 

DOMESTIC, VICIOUS, HORSE, WILD, SNAKE, 

DRAGON, BIRD, INSECT, ABSTRACT, PARTS, 

MANIMAL, NARCOTICS, REDFL, BLUEFL, YELFL, 

DRAW, ROSE, TULIP, LILY, MPLANT, USA, STATE, 

NAZI, CONFED, BRIT, MFLAG, FIRE, 

WEAP,PLANE,VESSEL,TRAIN,VEHICLE,MYTH,SPOR

T,NATURE, MOBJECTS, FIGURE, SLEEVE, BRACE, 

ANKLET, NECKLC, SHIRT, BODBND, HEDBND, 

MABSTRACT, NATION, POLITIC, MILITARY, 

FRATERNAL, PROFESS, GANG, MSYMBOLS, 

NA T
142

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

WORDING, FREEFRM, MISC)]

}

1 D NIEM10.042-

TSC-Value

ForEach(Xelm(PhysicalFeatureDescriptionDetail))

{

{XElm(PhysicalFeatureSubClassCode)} MO 

[ASCII(MFACE,FFACE, ABFACE, MBODY, FBODY, 

ABBODY, ROLES, SPORT, MBPART, FBPART, 

ABBPART, MHUMAN, SKULL, CAT, DOG, 

DOMESTIC, VICIOUS, HORSE, WILD, SNAKE, 

DRAGON, BIRD, INSECT, ABSTRACT, PARTS, 

MANIMAL, NARCOTICS, REDFL, BLUEFL, YELFL, 

DRAW, ROSE, TULIP, LILY, MPLANT, USA, STATE, 

NAZI, CONFED, BRIT, MFLAG, FIRE, 

WEAP,PLANE,VESSEL,TRAIN,VEHICLE,MYTH,SPOR

T,NATURE, MOBJECTS, FIGURE, SLEEVE, BRACE, 

ANKLET, NECKLC, SHIRT, BODBND, HEDBND, 

MABSTRACT, NATION, POLITIC, MILITARY, 

FRATERNAL, PROFESS, GANG, MSYMBOLS, 

WORDING, FREEFRM, MISC)]

}

Y X-I <Allows 

whitespace

>

2 D 10.042-

TSCValueDepe

ndent

ForEach(Subfield in 10.042)

{

IF Present(InfoItem:2,3 in Subfield)

THEN

{

IF {InfoItem:2 in Subfield} EQ ASCII(HUMAN) 

THEN

{InfoItem:3 in Subfield} MO 

[ASCII(MFACE,FFACE, ABFACE, MBODY, FBODY, 

ABBODY, ROLES, SPORT, MBPART, FBPART, 

ABBPART, MHUMAN, SKULL)]

ELSE 

IF {InfoItem:2 in Subfield} EQ ASCII(ANIMAL) 

THEN

{InfoItem:3 in Subfield} MO [ASCII(CAT, DOG, 

DOMESTIC, VICIOUS, HORSE, WILD, SNAKE, 

DRAGON, BIRD, INSECT, ABSTRACT, PARTS, 

NA T
143

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

MANIMAL)]

ELSE 

IF {InfoItem:2 in Subfield} EQ ASCII(PLANT) 

THEN

{InfoItem:3 in Subfield} MO [ASCII(NARCOTICS, 

REDFL, BLUEFL, YELFL, DRAW, ROSE, TULIP, LILY, 

MPLANT)]

ELSE 

IF {InfoItem:2 in Subfield} EQ ASCII(FLAG) 

THEN

{InfoItem:3 in Subfield} MO [ASCII(USA, STATE, 

NAZI, CONFED, BRIT, MFLAG)]

ELSE 

IF {InfoItem:2 in Subfield} EQ ASCII(OBJECT) 

THEN

{InfoItem:3 in Subfield} MO [ASCII(FIRE, 

WEAP,PLANE,VESSEL,TRAIN,VEHICLE,MYTH,SPOR

T,NATURE, MOBJECTS)]

ELSE 

IF {InfoItem:2 in Subfield} EQ ASCII(ABSTRACT) 

THEN

{InfoItem:3 in Subfield} MO [ASCII(FIGURE, 

SLEEVE, BRACE, ANKLET, NECKLC, SHIRT, 

BODBND, HEDBND, MABSTRACT)]

ELSE 

IF {InfoItem:2 in Subfield} EQ ASCII(SYMBOL) 

THEN

{InfoItem:3 in Subfield} MO [ASCII(NATION, 

POLITIC, MILITARY, FRATERNAL, PROFESS, GANG, 

MSYMBOLS)]

ELSE 

IF {InfoItem:2 in Subfield} EQ ASCII(OTHER) 

THEN

{InfoItem:3 in Subfield} MO [ASCII(WORDING, 

FREEFRM, MISC)]

}

}
144

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

2 D NIEM10.042-

TSCValueDepe

ndent

ForEach(Xelm(PhysicalFeatureDescriptionDetail))

)

{

IF Present(XElm(PhysicalFeatureClassCode) AND 

XElm(PhysicalFeatureSubClassCode)) 

THEN

{

IF { XElm(PhysicalFeatureClassCode) } EQ 

ASCII(HUMAN) 

THEN

{XElm(PhysicalFeatureSubClassCode)} MO 

[ASCII(MFACE,FFACE, ABFACE, MBODY, FBODY, 

ABBODY, ROLES, SPORT, MBPART, FBPART, 

ABBPART, MHUMAN, SKULL)]

ELSE 

IF { XElm(PhysicalFeatureClassCode) } EQ 

ASCII(ANIMAL) 

THEN

{XElm(PhysicalFeatureSubClassCode)} MO 

[ASCII(CAT, DOG, DOMESTIC, VICIOUS, HORSE, 

WILD, SNAKE, DRAGON, BIRD, INSECT, 

ABSTRACT, PARTS, MANIMAL)]

ELSE 

IF { XElm(PhysicalFeatureClassCode) } EQ 

ASCII(PLANT) 

THEN

{XElm(PhysicalFeatureSubClassCode)} MO 

[ASCII(NARCOTICS, REDFL, BLUEFL, YELFL, DRAW, 

ROSE, TULIP, LILY, MPLANT)]

ELSE 

IF { XElm(PhysicalFeatureClassCode) } EQ 

ASCII(FLAG) 

THEN

{XElm(PhysicalFeatureSubClassCode)} MO 

[ASCII(USA, STATE, NAZI, CONFED, BRIT, MFLAG)]

ELSE 

IF {XElm(PhysicalFeatureClassCode) } EQ 

Y X-O
145

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

ASCII(OBJECT) 

THEN

{XElm(PhysicalFeatureSubClassCode)} MO 

[ASCII(FIRE, 

WEAP,PLANE,VESSEL,TRAIN,VEHICLE,MYTH,SPOR

T,NATURE, MOBJECTS)]

ELSE 

IF {XElm(PhysicalFeatureClassCode) } EQ 

ASCII(ABSTRACT) 

THEN

{XElm(PhysicalFeatureSubClassCode)} MO 

[ASCII(FIGURE, SLEEVE, BRACE, ANKLET, NECKLC, 

SHIRT, BODBND, HEDBND, MABSTRACT)]

ELSE 

IF {XElm(PhysicalFeatureClassCode) } EQ 

ASCII(SYMBOL) 

THEN

{XElm(PhysicalFeatureSubClassCode)} MO 

[ASCII(NATION, POLITIC, MILITARY, FRATERNAL, 

PROFESS, GANG, MSYMBOLS)]

ELSE 

IF {XElm(PhysicalFeatureClassCode) } EQ 

ASCII(OTHER) 

THEN

{XElm(PhysicalFeatureSubClassCode)} MO 

[ASCII(WORDING, FREEFRM, MISC)]

}

}

2 D 10.042-

TACConditional

ForEach(Subfield in 10.042)

{

Present(InfoItem:2 in Subfield) 

IFF

{InfoItem:1 in Subfield} NOT MO [ASCII(SCAR, 

MARK)]

NA T

2 D NIEM10.042-

TACForEach(Xelm(PhysicalFeatureDescriptionDetail))

{

Present(XElm(PhysicalFeatureClassCode) 

Y X-O
146

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

Conditional IFF

XElm(PhysicalFeatureCategoryCode) NOT MO 

[ASCII(SCAR, MARK)]

2 D 10.042-

TSCConditional

ForEach(Subfield in 10.042)

{

Present(InfoItem:3 in Subfield) 

IFF

{InfoItem:1 in Subfield} NOT MO [ASCII(SCAR,

MARK)]

NA T

2 D NIEM10.042-

TSCConditional

ForEach(Xelm(PhysicalFeatureDescriptionDetail))

{

XElm(PhysicalFeatureSubClassCode)) 

IFF

XElm(PhysicalFeatureCategoryCode) NOT MO 

[ASCII(SCAR, MARK)]

Y X-O

2 D 10.042-

TDSConditional

ForEach(Subfield in 10.042)

{

IF Present(InfoItem:4 in Subfield) , THEN

XElm(PhysicalFeatureCategoryCode) NOT MO 

[ASCII(SCAR, MARK)] 

NA T

2 D NIEM10.042-

TDSConditional

ForEach(Xelm(PhysicalFeatureDescriptionDetail))

{

IF Present(XElm(PhysicalFeatureSubClassCode)), 

THEN

{XElm(PhysicalFeatureCategoryCode) } NOT MO 

[ASCII(SCAR, MARK)] 

T X-O

1 D 10.042-

TDS-Value

TRUE NA T

1 D NIEM10.042-

TDS-Value

TRUE Y B*-C

RT10.80 -

Field: 

10.042- SMT 

Descriptors 

Subfields 

Dependent

8.10.37,

Table 57

...does not apply to scars and marks. D 10.042-

SubfieldCo

unt 

Dependent

<See Requirement ID: “Field: Type10-Subfield 

Occurrence” >

t-2
147

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

RT10.81 -

Field: 

10.043-

Tattoo Color 

Value

8.10.38,

Table 57

<Table 57 lists the value constraints for 

COL.>

1 - 10.043-

[TC1, TC2, 

TC3, TC4, 

TC5, TC6]-

Value 

ForEach(InfoItem in 10.043)

{

{InfoItem} MO [BLACK, BROWN, GRAY, BLUE, 

GREEN, ORANGE, PURPLE, RED, YELLOW, WHITE, 

MULTI, OUTLINE]

}

Y B*-I <Allows 

whitespace

>

2 D 10.043-

SubfieldCo

unt 

Matches 

10.042

Count(Subfields in 10.043) EQ Count(Subfields in 

10.042)

NA T

2 D NIEM10.043-

SubfieldCo

unt 

Matches 

10.042

<No need to test in NIEM because the fields’ 

elements are in the same parent element, and 

therefore always repeat the same number of 

times. This assertion should not be reported.>

NA X-C

RT10.82 -

Field: 

10.044-

Image 

Transform 

Value

8.10.39,

Table 57,

Table 69

<Table 57 lists the value constraints for 

ITX.>

1 M

⇑

10.044-ITXValue ForEach(InfoItem in 10.044)

{

{InfoItem} MO [AGE, AXIS, COLORSHIFT, 

CONTRAST, CROP, DIST, DOWNSAMPLE, GRAY, 

ILLUM, IMGFUSE, INTERPOLATE, MULTCOMP, 

MULTIVIEW, POSE, ROTATE, SNIR, SUPERRES, 

WHITE]

}

Y B*-I <Allows 

whitespace

>

RT10.83 -

Field: 

10.045-

Occlusions 

Value

8.10.40,

Table 20, 

Table 21

<Table 57 lists the value constraints for 

OCC.>

1 M

⇑

10.045-

OCY-Value 

ForEach(Subfield in 10.045)

{

{InfoItem:1 in Subfield} MO [ASCII(T, I, L, S)]

}

Y B*-I <Allows 

whitespace

>

1 M

⇑

10.045-

OCT-Value

ForEach(Subfield in 10.045)

{

{InfoItem:2 in Subfield} MO [ASCII(H,S,C,R,O)]

}

Y B*-I <Allows 

whitespace

>

1 M

⇑

10.045-

NOP-Value

ForEach(Subfield in 10.045)

{

{InfoItem:3 in Subfield} GTE 3 AND LTE 99 AND 

MO [Integers]

Y B*-O
148

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

}

1 M

⇑

10.045-

[HPO, 

VPO]-Value 

For(X EQ 3 to {InfoItem:2 in 10.045})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

}

NA T

1 M

⇑

NIEM10.045-

[HPO, 

VPO]-Value 

{XElm(PositionHorizontalCoordinateValue} GTE 0 

AND LTE 99999

AND

{XElm(PositionVerticalCoordinateValue} GTE 0 

AND LTE 99999

Y X-O

2 M

⇑

10.045-

HPOValueDepe

ndent

ForEach(Subfield in 10.045)

{

For(X EQ 1 to (InfoItem:3 in Subfield})

{

IF X MOD 2 EQ 1

{InfoItem:X in Subfield} GTE 0 AND LTE {10.006} 

AND MO [Integers]

}

}

NA T

2 M

⇑

NIEM10.045-

HPOValueDepe

ndent 

{XElm(PositionHorizontalCoordinateValue} GTE 0 

AND LTE {10.006} AND MO [Integers]

Y X-O

2 M

⇑

NIEM10.045-

VPOValueDepe

ndent 

{XElm(PositionVerticalCoordinateValue} GTE 0 

AND LTE {10.007} AND MO [Integers]

Y X-O
149

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

2 M

⇑

10.045-

VPOValueDepe

ndent

ForEach(Subfield in 10.045)

{

For(X EQ 1 to (InfoItem:3 in Subfield})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE {10.007} 

AND MO [Integers]

}

}

NA T

RT10.84 -

Field: 10.046 

to 10.199-

Reserved

Table 57 Reserved for future useonly by 

ANSI/NIST-ITL.

- 10.046 to 

10.199-

Reserved

<See Requirement ID: “Field: Type10-

CondCode>.

t-2

RT10.85 -

Field: 10.200 

to 10.900-

User 

Defined

8.10.41,

Table 57

User Defined Fields - - 10.200 to 

10.900-

User 

Defined

TRUE Y B-C

RT10.86 -

Field: 10.901 

Reserved

Table 57 Reserved for future useonly by 

ANSI/NIST-ITL.

- 10.901-

Reserved

<See Requirement ID: “Field: Type10-

CondCode>.

t-2

RT10.87 -

Field: 

10.902-

Annotated 

Information 

Value

8.10.42,

Table 57

This is an optional field, listing the 

operations performed on the original 

source in order

to prepare it for inclusion in a biometric 

record type. See Section 7.4.1.

O 10.902-

[GMT, NAV, 

OWN, 

PRO]-Value

<See Requirement ID: “Field: xx.902-ANN” >. t-2

RT10.88 -

Field: 

10.903-

Device 

Unique 

Identifier 

Value

8.10.43,

Table 57

This is an optional field. See Section 

7.7.1.1.

O 10.903-

DUI-Value

<See Requirement ID: “Field: Device ID” >. t-2

RT10.89 -

Field: 

10.904-

8.10.44,

Table 57

This is an optional field. See Section 

7.7.1.2.

O 10.904-

[MAK, 

MOD, SER]-

<See Requirement ID: “Field: Make Model” >. t-2
150

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

Make/Mode

l/Serial 

Number 

Value

Value

RT10.90 -

Field: 

10.993-

Source 

Agency 

Name

8.10.45,

Table 57

This is an optional field. It may contain up 

to 125 Unicode characters. 

O 10.993-

SAN-Value

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

RT10.91 -

Field: 10.905 

to 10.994-

Reserved

Table 57 Reserved for future useonly by 

ANSI/NIST-ITL.

- 10.905 to 

10.994-

Reserved

<See Requirement ID: “Field: Type10-

CondCode>.

t-2

RT10.92 -

Field: 

10.995-

Associated 

Context 

Value

8.10.46,

Table 57

See Section 7.3.3 O 10.995-

[ACN, ASP]-

Value

<See Requirement IDs: “Field: xx.995-ASC” and 

“Field: xx.995-ASC-ACN” and

“Field: xx.995-ASC-ASP”>.

t-2

RT10.93 -

Field: 

10.996-

Hash Value

8.10.47,

Table 57

See Section 7.5.2 O 10.996-

HAS-Value

<See Requirement ID: “Field: HAS”> t-2

RT10.94 -

Field: 

10.997-

Source 

Representati

on Value

8.10.48,

Table 57

See Section 7.3.2 O 10.997-

[SRN, RSP]-

Value

<See Requirement IDs: “Field: xx.997-SOR” and 

“Field: xx.997-SOR-SRN” and

“Field: xx.997-SOR-RSP”>.

t-2

RT10.95 -

Field: 

10.998-

Geographic 

Sample 

Acquisition 

Location 

8.10.49,

Table 57

See Section 7.7.3 O 10.998-

[UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

<See Requirement IDs: “Field: Geographic”, 

“Field: Geographic”, “Field: Geographic-Subfield 

1” through “Field: Geographic-Values-SubField 

15” >.

t-2
151

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.10: Record Type-10: Facial, other body part and SMT image record

Value GCN, GRT, 

OSI, OCV]-

Value

RT10.96 -

Field: 

10.999-

Image Data 

Valid

8.10.50, 

7.7.9.4,

Table 57

This is a mandatory field contains the 

image.

For non-facial images conveyed in Record 

Type-10, Field 10.011: Compression 

algorithm/ CGA may be set to any value in 

Table 15, except WSQ20. 

<The image metadata is checked for 

validity.>

2 M 10.999-

Uncompres

sed Image 

Length 

IF {10.011} EQ ASCII(NONE) THEN

Length(10.999) EQ {10.006} * {10.007}

Y B-O

2 M 10.999-

Valid Image 

Format

IF Present(SOI-JPEGB,JPEGL) 

THEN

Present(JFIF, 

SOI-JPEGB,JPEGL,

SOF-JPEGB,JPEGL,

EOI-JPEG, JPEGL)

ELSE 

IF Present(SigBox)

THEN

Present(SigBox, 

HeadBox, 

ImgBox, EOI-JP2, JP2L)

ELSE

IF Present(PNGSig)

THEN

Present(PNGSig,

IHDR,

IDAT,

IEND)

t-11 Y B-O
152

6.12 Record Type-13: Friction-ridge Latent Image Record

Table 6.10 - Assertions for Record Type 13 - Friction-Ridge Latent Image Record

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

RT13.1 -

Field: 

Type13-

Subfield 

Occurenece

Table 70 <Table 70 specifies which fields contain 

subfields as well as the number of 

occurrences permitted.>

1 M 13.[001 to 

012, 016, 

017, 020, 

903, 904, 

993, 996, 

998, 999]-

SubfieldCo

unt

Count(Subfields in 13.[001 to 012, 016, 017, 020, 

903,904, 993, 996, 998, 999]) EQ 1

NA T

1 M 13.[001 to 

012, 016, 

017, 020, 

903, 993, 

996, 999]-

InfoItemCo

unt

Count(InfoItems in Subfield:1 in 13.[001 to 012, 

016, 017, 020, 903, 993, 996, 999]) EQ 1

NA T

1 M 13.013-

SubfieldCo

unt

Count(Subfields in 13.013 ) MO [1 to 6] NA T

1 M 13.013-

InfoItemCo

unt

ForEach(Subfield in 13.013)

{

Count(InfoItems in Subfield) EQ 1

}

NA T

1 D 13.014-

SubfieldCo

unt

Count(Subfields in 13.014) MO [1 to 9] NA T

1 D 13.014-

InfoItemCo

unt

ForEach(Subfield in 13.014)

{

Count(InfoItems in Subfield) EQ 2

}

NA T

D 13.015-

SubfieldCo

<See Requirement ID: “Field: PPC-Subfield 

Occurrences”>

t-2
153

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

unt

1 O 13.024-

SubfieldCo

unt

Count(Subfields in 13.024) MO [1 to 9] NA T

1 O 13.024-

InfoItemCo

unt

ForEach(Subfield in 13.024)

{

Count(InfoItems in Subfield) EQ 4

}

NA T

1 O 13.902-

SubfieldCo

unt

Count (Subfields in 13.902) GTE 1 NA T

1 O 13.902-

InfoItemCo

unt

ForEach(Subfield in 13.902)

{

Count(InfoItems in Subfield) EQ 4

}

NA T

1 O 13.904-

InfoItemCo

unt

Count(InfoItems in 13.904) EQ 3 NA T

1 O 13.995-

SubfieldCo

unt

Count(Subfields in 13.995) MO [1 to 255] NA T

1 O 13.995-

InfoItemCo

unt

ForEach(Subfield in 13.995)

{

Count(InfoItems in Subfield) EQ 1 OR 2

}

NA T

1 O 13.997-

SubfieldCo

unt

Count(Subfields in 13.997) MO [1 to 255] NA T

1 O 13.997-

InfoItemCo

unt

ForEach(Subfield in 13.997)

{

Count(InfoItems in Subfield) EQ 1 OR 2

}

NA T

O 13.998-

SubfieldCo

unt

<See Requirement ID: “Field: Geographic”> t-2

RT13.2 - Table 70 <Table 70 specifies the Condition Code for 1 M Type13- Present(13.001 to 13.013, 13.999) NA T
154

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

Field: 

Type13-

CondCode

each field.> Mandatory

CondCode

1 M NIEMType13-

Mandatory

CondCode

Foreach(XElm in <AnnexG: Type-13 Table> ST 

{Min(Cardinality(XElm))} GTE 1)

{

Present(XElm)

}

Y X-I

<Allows 

13.002 to 

13.010, 

13.012, 

13.999 to 

be 

optional.>

1 - Type13-

Reserved

NOT Present(13.018, 13.019, 13.021 to 13.023, 

13.025 to 13.199, 13.901, 13.905 to 13.992, 

13.994)

NA T

RT13.3 -

Field: 

13.014-

Search 

Position 

Descriptors 

Dependent

Table 70,

8.13.14

This field shall be present if and only if the 

finger position code “19” appears in Field

13.013: Friction ridge generalized position 

/ FGP.

D 13.014-

CondCode 

Dependent

<See Requirement ID: “Field: SPD,PPC 

Conditional”>

t-2

RT13.4 -

Field: 

13.015-Print 

Position 

Coordinates 

Dependent

Table 57,

8.13.15

This field may be present if and only if the 

finger position code “19” appears in Field

13.013: Friction ridge generalized position 

/ FGP. 

D 13.015-

CondCode 

Dependent

<See Requirement ID: “Field: SPD,PPC 

Conditional”>

t-2

RT13.5 -

Field: 

Type13-

CharType

8.13,

Table 70

<Table 70 specifies the Character Type for 

each field that contains no subfields. Note 

that even though some Character Types 

are listed as U (user defined), they may 

still have character type limitations 

defined in the standard text. >

1 - 13.[001,00

2,003, 006 

to 010, 012, 

016, 017]-

CharType 

Bytes(13.[001,002,003, 006 to 010, 012, 016, 

017]) MO [0x30 to 0x39]

Y B-I 

<Allows 

whitespace 

and plus 

sign>

1 - 13.011-

CharType 

Bytes(13.011) MO [0x20, 0x41 to 0x5A, 0x61 to 

0x7A, 0x30 to 0x39]

Y B-O

1 - [13.004, 

13.020, 

13.993]-

CharType 

TRUE Y B-C
155

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

1 M 13.005-

CharType 

Bytes(13.005) MO [0x30 to 0x39] NA T

1 M NIEM13.005-

CharType 

Bytes(13.005) MO [0x30 to 0x39, 0x2D] Y X-I <Allows 

whitespace

>

1 O 13.903-

CharType

Bytes(13.903) MO [0x20 to 0x7E] Y B-O

1 O 13.996-

CharType 

Bytes(13.996) MO [0x30 to 0x39,0x41 to 0x46, 

0x61 to 0x66]

Y B-C

1 M 13.999-

CharType 

TRUE NA T

1 M NIEM13.999-

CharType

<Schema tests that the BinaryBase64Object is of 

the correct type and length. Report that this is 

tested by the schema.>

Y X-C

RT13.6 -

Field: 

Type13-

Subfield

CharType

8.13,

Table 70

<Table 70 specifies the Character Type for 

each subfield.>

1 M 13.013-

FGPCharType 

Bytes(All(InfoItems in 13.013)) MO [0x30 to 

0x39]

Y B*-I <Allows 

whitespace 

and plus 

sign>

1 D 13.014-

PDFCharType 

ForEach(Subfield in 13.014)

{

Bytes(InfoItem:1 in Subfield) MO [0x30 to 0x39]

}

Y B*-I <Allows 

whitespace 

and plus 

sign>

1 D 13.014-

FICCharType 

ForEach(Subfield in 13.014)

{

Bytes(InfoItem:2 in Subfield) MO [0x30 to 0x39, 

0x20, 0x41 to 0x5A, 0x61 to 0x7A]

}

Y B*-I <Allows 

whitespace

>

1 D 13.015-

FVCCharType 

ForEach(Subfield in 13.015)

{

Bytes(InfoItem:1 in Subfield)) MO [0x30 to 0x39, 

0x20, 0x41 to 0x5A, 0x61 to 0x7A]

}

Y B*-I <Allows 

whitespace

>

1 D 13.015-

LOSCharType 

ForEach(Subfield in 13.015)

{

Bytes(InfoItem:2 in Subfield)) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A] }

Y B*-I <Allows 

whitespace

>
156

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

1 D 13.015-

[LHC, RHC, 

TVC, BVC]-

CharType 

ForEach(Subfield in 13.015)

{

Bytes(InfoItem:3 to 6 in Subfield)) MO [0x30 to 

0x39]

}

Y B*-I <Allows 

whitespace 

and plus 

sign>

1 O 13.024-

[FRMP, 

QVU, QAP]-

CharType

ForEach(Subfield in 13.024)

{

Bytes(InfoItem:1,2,4 in Subfield)) MO [0x30 to 

0x39]

}

Y B*-I <Allows 

whitespace 

and plus 

sign>

1 O 13.024-

QAVCharType

ForEach(Subfield in 13.024)

{

Bytes(InfoItem:3 in Subfield)) MO [0x30 to 

0x39,0x41 to 0x46, 0x61 to 0x66]

}

Y B*-O

1 O 13.902-

[NAV, 

OWN, 

PRO]-

CharType 

TRUE Y B*-C

1 O 13.902-

GMTCharType 

ForEach(Subfield in 13.902)

{

Bytes(InfoItem:1 in Subfield) MO [0x30 to 0x39, 

0x5A]

}

NA T

1 O NIEM13.902-

GMTCharType 

Bytes(XElm(biom:ProcessUTCDate) in 13.902) 

MO [0x30 to 0x39, 0x2D, 0x3A, 0x54, 0x5A]

Y X-I <Allows 

plus sign, 

timezones, 

etc.>

1 O 13.904-

[MAK, 

MOD, SER]-

CharType 

TRUE Y B*-C

1 O 13.995-

[CAN, ASP]-

CharType 

Bytes(All(InfoItem:1,2 in 13.995)) MO [0x30 to 

0x39]

Y B*-O

1 O 13.997- Bytes(All(InfoItem:1,2 in 13.997)) MO [0x30 to Y B*-O
157

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

[SRN, RSP]-

CharType 

0x39]

O 13.998-

[UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

CharType 

<See Requirement ID: “Field: Geographic”> t-2

RT13.7 -

Field: 

Type13-

CharCount

Table 70 <Table 70 specifies the Character Count 

for each field that contains no subfields.>

1 M 13.001-

CharCount

DataLength(13.001) MO [1 to 8] NA T

1 M NIEM13.001-

CharCount

Length(13.001) EQ 2 Y X-O

1 M 13.002-

CharCount

DataLength(13.002) EQ 1 OR 2 Y B-O

1 M 13.003-

CharCount

DataLength(13.003) EQ 1 OR 2 Y B-O

1 M 13.004-

CharCount

<See Requirement ID: “Field: Source Agency”.> t-2

1 M 13.005-

CharCount

DataLength(13.005) EQ 8 NA T

1 M NIEM13.005-

CharCount

DataLength(13.005) EQ 10 Y X-O

1 M 13.006-

CharCount

DataLength(13.006) MO [2 to 5] Y B-O

1 M 13.007-

CharCount

DataLength(13.007) MO [2 to 5] Y B-O

1 M 13.008-

CharCount

DataLength(13.008) EQ 1 Y B-O

1 M 13.009-

CharCount

DataLength(13.009) MO [1 to 5] Y B-O
158

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

1 M 13.010-

CharCount

DataLength(13.010) MO [1 to 5] Y B-O

1 M 13.011-

CharCount

DataLength(13.011) MO [3 to 5] Y B-O

1 M 13.012-

CharCount

DataLength(13.012) EQ 1 OR 2 Y B-O

1 O 13.016-

CharCount

DataLength(13.016) MO [1 to 5] Y B-O

1 O 13.017-

CharCount

DataLength(13.017) MO [1 to 5] Y B-O

1 O 13.020-

CharCount

DataLength(13.020) MO [1 to 126] Y B-O

1 O 13.903-

CharCount

DataLength(13.903) MO [13 to 16] Y B-O

1 O 13.993-

CharCount

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2 Y

1 O 13.996-

CharCount

DataLength(13.995) EQ 64 Y B-C

1 M 13.999-

CharCount

DataLength(13.999) GTE 1 Y B-O

RT13.8 -

Field: 

Type13-

Subfield 

CharCount

Table 70 <Table 70 specifies the Character Count 

for each subfield.>

1 M 13.013-

FGPCharCount

Length(All(InfoItems in 13.013)) EQ 1 OR 2 Y B*-O

1 D 13.014-

PDFCharCount

ForEach(Subfield in 13.014)

{

Length(InfoItem:1 in Subfield) EQ 1 OR 2

}

Y B*-O

1 D 13.014-FICCharCountForEach(Subfield in 13.014)

{

Length(InfoItem:2 in Subfield) EQ 3

}

Y B*-O

1 D 13.015- ForEach(Subfield in 13.015) Y B*-O
159

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

[FVC, LOS]-

CharCount

{

Length(InfoItem:1,2 in Subfield)) EQ 2 OR 3

}

1 D 13.015-

[LHC, RHC, 

TVC, BVC]-

CharCount

ForEach(Subfield in 13.015)

{

Length(InfoItem:3 to 6 in Subfield)) MO [1 to 5]

}

Y B*-O

1 O 13.024-

FRMPCharCount

ForEach(Subfield in 13.024)

{

Length(InfoItem:1 in Subfield)) EQ 1 OR 2

}

Y B*-O

1 O 13.024-

QVUCharCount

ForEach(Subfield in 13.024)

{

Length(InfoItem:2 in Subfield)) MO [1 to 3]

}

Y B*-O

1 O 13.024-

QAVCharCount

ForEach(Subfield in 13.024)

{

Length(InfoItem:3 in Subfield)) EQ 4

}

Y B*-O

1 O 13.024-

QAPCharCount

ForEach(Subfield in 13.024)

{

Length(InfoItem:4 in Subfield)) MO [1 to 5]

}

Y B*-O

1 O 13.902-

GMTCharCount

ForEach(Subfield in 13.902)

{

Length(InfoItem:1 in Subfield) EQ 15

}

NA T

1 O 13.902[NA

V, OWN]-

CharCount

ForEach(Subfield in 13.902)

{

Length(InfoItem:2,3 in Subfield) MO [1 to 64]

Y B*-O
160

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

}

1 O 13.902-

PROCharCount

ForEach(Subfield in 13.902)

{

Length(InfoItem:4 in Subfield)) MO [1 to 255]

}

Y B*-O

1 O NIEM13.902-

GMTCharCount

Length(XElm(nc:DateTime) in 13.902) EQ 20 Y X-O

1 O 13.904–

[MAK, 

MOD, SER]-

CharCount

Length(All(InfoItems in 13.904)) MO [1 to 50] Y B*-O

1 O 13.995-

ACNCharCount

ForEach(Subfield in 13.995)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

Y B*-O

1 O 13.995-

ASPCharCount

ForEach(Subfield in 13.995)

{

Length(InfoItem:2 in Subfield) EQ 1 OR 2

}

Y B*-O

1 O 13.997-

SRNCharCount

ForEach(Subfield in 13.997)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

Y B*-O

1 O 13.997-

RSPCharCount

ForEach(Subfield in 13.997)

{

Length(InfoItem:2 in Subfield) MO [1 to 2]

}

Y B*-O

O 13.998-

[UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

<See Requirement ID: “Field: Geographic”> t-2
161

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

OSI, OCV]-

CharCount

RT13.9 -

Field: 

Type13-Field 

Occurrence

Table 70 <Table 70 specifies the Field Occurrence 

for each field.>

2 M NIEMType13-

Cardinality

<The Type-13 table in Annex G of the base 

standard specifies the type and number of sub 

elements required for each field.>

Y X-I

<Allows 

missing 

elements 

for fields 

with 

cardinatlity 

1..1: 

13.999, 

13.012,

13.005,

13.004,

13.011,

13.006,

13.009,

13.008,

13.007,

13.010,

13.003.

Allows 

optional 

“biom:Imag

eCaptureDe

tail” and 

“biom:capt

ureOrganiza

tion”>

1 - Type13-

FieldOccurr

ences

Count(13.[018, 019, 021 to 023, 025 to 

199,901,905 to 992, 994]) EQ 0

AND

Count(13.[001 to 013, 999]) EQ 1

AND

Count(13.[ 014 to 017,020, ,024, 902 to 904, 993, 

995 to 998) LTE 1

Y T

RT13.10 - 8.13.1, Field 13.001 Record header. In Traditional M 13.001- <See Requirement ID “Field: xx.001-Record t-2
162

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

Field: 

13.001-

Record 

Header 

Value

Table 70,

7.1

encoding, this field contains the record 

length in bytes (including all information 

separators)

Record 

Header

Header”>

8.13.1,

C.10.11

The XML name for the Type-13 record is 

<itl:PackageLatentImageRecord>, and its

<biom:RecordCategoryCode> element 

shall have a value of “13”.

1 M NIEM13.001-

Value

ForEach(itl:PackageLatentImageRecord)

{

{XElm(biom:RecordCategoryCode)} EQ ASCII(13)

}

Y X-I <Allows 

leading 

zeros and 

whitespace

>

RT13.11 -

Field: 

13.002-

Information 

Designation 

Character

Value

8.13.2,

Table 70,

7.3.1

This mandatory field shall contain the IDC 

assigned to this Type-13 record as listed 

in the information item IDC for this record 

in Field 1.003 Transaction content/CNT. 

- M 13.002-IDC <See Requirement IDs “Field:

xx.002-IDC and “Field: 1.003-Transaction 

Content Subfield 2 IDC Matches” >

t-2

RT13.12 -

Field: 

13.003-

Impression 

Type

Value

8.13.3,

Table 70,

7.7.4.1

This mandatory field shall indicate the 

manner by which the latent print was 

obtained.

See Section 7.7.4.1 for details. Valid 

values are 4 through 7, 12 through 15, 28 

or 29, and 32 through 39.

1 M 13.003-

Value

{13.003} MO [4 to 7, 12 to 15, 28, 29, 32 to 39] 

AND MO [Integers]

Y B-I <Wrong 

values, 

Allows 

whitepace>

RT13.13 -

Field: 

13.004-

Source 

Agency 

Value

8.13.4,

7.6

This is a mandatory field. See Section 7.6 

for details.

- M 13.004-

Value

<See Requirement ID: “Field: Source Agency”.> t-2

RT13.14 -

Field: 

13.005-

Latent 

Capture 

Date Value

8.13.5,

7.7.2.3

This mandatory field shall contain the 

date that the latent biometric data 

contained in the record was captured.

1 M 13.005-

Value

{13.005} MO [ValidLocalDate] t-6 NA T

1 M NIEM13.005-

Value

ForEach(XElm(itl:PackageLatentImageRecord))

{

{XElm(nc:Date) in XElm(biom:CaptureDate)} MO 

[NIEM-ValidLocalDate]

}

t-6 Y X-I

<Allows 

optional 

element 

(nillable)>

RT13.15 -

Field: 

13.006-

8.13.6,

Table 70,

7.7.8.1

The maximum

horizontal size is limited to 65,534 pixels 

in Record Types-4 and 8, and to 99,999 

M 13.006-

Value

<See Requirement ID “Field: Image HLL Value” > t-2
163

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

Horizontal 

Line Length 

Value

for

other record types. The minimum value is 

10 pixels.

RT13.16 -

Field: 

13.006-

Horizontal 

Line Length 

Metadata

8.13.6,

Table 70,

7.7.8.1

<The HLL is verified by checking the image 

metadata if compression is used.>

2 M 13.006-

Matches 

Image 

Metadata

IF {13.011} EQ ASCII(JPEGL) THEN

{13.006} EQ {ImageWidth-JPEGB,JPEGL}

ELSE 

IF {13.011} EQ ASCII(JP2L) THEN

{13.006} EQ {ImageWidth-JP2,JP2L}

ELSE

IF {13.011} EQ ASCII(PNG) THEN

{13.006} EQ {ImageWidth-PNG}

ELSE

IF {13.011} EQ ASCII(WSQ20) THEN

{13.006} EQ {ImageWidth-WSQ}

t-11 Y B-O

RT13.17 -

Field: 

13.007-

Vertical Line 

Length 

Value

8.13.7,

Table 70,

7.7.8.2

The maximum vertical size is limited to 

65,534 pixels in Record Types-4 and 8, 

and to 99,999 for other record types.

The minimum value is 10 pixels.

- M 13.007-

Value

<See Requirement ID “Field: Image VLL Value”> t-2

RT13.18 -

Field: 

13.007-

Vertical Line 

Length 

Metadata

8.13.7,

Table 70,

7.7.8.2

<The VLL is verified by checking the image 

metadata if compression is used.>

2 M 13.007-VLL 

Metadata 

JPEGL

IF {13.011} EQ ASCII (JPEGL) THEN

{13.007} EQ {ImageHeight-JPEGB,JPEGL}

ELSE

IF {13.011} EQ ASCII(JP2L) THEN

{13.007} EQ {ImageHeight-JP2,JP2L}

ELSE

IF {13.011} EQ ASCII(PNG) THEN

{13.007} EQ {ImageHeight-PNG}

ELSE

IF {13.011} EQ ASCII(WSQ20) THEN

{13.007} EQ {ImageHeight-WSQ}

t-11 Y B-O

RT13.19 -

Field: 

13.008-Scale 

Units Value

8.13.8,

Table 70,

7.7.8.3

<Table 70 lists the value constraints for 

SLC>

- M 13.008-

Value

<See Requirement ID “Field: Image SLC Value” > t-2

RT13.20 -

Field: 

8.13.8,

Table 70,

A value of “1” shall indicate pixels per 

inch.

2 M 13.008-

Matches 

IF {13.011} EQ ASCII(JPEGL) THEN

{13.008} EQ {SamplingUnits-JPEGB,JPEGL}

t-11 Y B-O
164

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

13.008-

Scale Units 

Metadata

7.7.8.3 A value of “2” shall indicate pixels per 

centimeter. A value of “0” in this field 

indicates that no scale is provided, and 

the quotient of THPS/TVPS shall provide 

the pixel aspect ratio.

<The SLC is verified by checking the image 

metadata if compression is used.>

Image 

Metadata

ELSE

IF {13.011} EQ ASCII(JP2L) OR ASCII(WSQ20) 

THEN <Provide Warning “Not Tested”>

ELSE

IF {13.011} EQ ASCII(PNG) THEN

IF {13.008} EQ 1 OR 2 THEN { SamplingUnitsPNG} EQ 1, ELSE IF {13.008} EQ 0 THEN { 

SamplingUnits-PNG} EQ 0

RT13.21 -

Field: 

13.009-

Transmitted 

Horizontal 

Pixel Scale 

Value

8.13.9,

Table 70,

7.7.8.4

<Table 70 lists the value constraints for 

THPS.>

- M 13.009-

Value

<See Requirement ID “Field: Image THPS Value”

>

t-2

RT13.22 -

Field: 

13.009-

Transmitted 

Horizontal 

Pixel Scale 

Metadata

8.13.9,

Table 70,

7.7.8.4

This is the integer pixel density used in 

the horizontal direction of the image if 

SLC has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the horizontal component of the 

pixel aspect ratio, up to 5 digits. 

<The THPS is verified by checking the 

image metadata if compression is used.>

2 M 13.009-

Matches 

Image 

Metadata

IF {13.011} EQ ASCII(JPEGL) AND {13.008} EQ 1 

OR 2 

THEN {13.009} EQ {HorizontalDensityJPEGB,JPEGL}

ELSE

IF {13.011} EQ ASCII(JP2L) OR ASCII(WSQ20) 

THEN <Provide Warning “Not Tested”>

ELSE

IF {13.011} EQ ASCII(PNG) AND {13.008} EQ 1 

THEN {13.009} EQ {HorizontalDensity-PNG} * 

0.0254 (meters/inch), 

ELSE 

IF {13.011} EQ ASCII(PNG) AND {13.008} EQ 2 

THEN {13.009} EQ {HorizontalDensity-PNG} * 

0.01 (meters/cm)

t-11, 

t-12

Y B-O

2 M 13.009-

Aspect 

Ratio 

Matches 

Image 

Metadata

IF {13.011} EQ ASCII(JPEGL) AND {13.008} NEQ 1 

OR 2

THEN {13.009}/{13.010} EQ {HorizontalDensityJPEGB,JPEGL} / {VerticalDensity-JPEGB,JPEGL}

ELSE

IF ASCII(JP2L) OR ASCII(WSQ20) THEN <Provide 

Warning “Not Tested”>

t-11 Y B-O
165

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

ELSE

IF {13.011} EQ ASCII(PNG) AND {13.008} NEQ 1 

OR 2

THEN {13.009}/{13.010} EQ {HorizontalDensityPNG} / {VerticalDensity-PNG}

RT13.23 -

Field: 

13.010-

Transmitted 

Vertical 

Pixel Scale 

Value

8.13.10,

Table 70,

7.7.8.5

<Table 70 lists the value constraints for 

TVPS.>

- M 13.010-

value

<See Requirement ID “Field: Image TVPS Value”

>

t-2

RT13.24 -

Field: 

13.010-

Transmitted 

Vertical 

Pixel Scale 

Metadata

8.13.10,

Table 70,

7.7.8.5

This is the integer pixel density used in 

the Vertical direction of the image if SLC 

has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the Vertical component of the 

pixel aspect ratio, up to 5 digits.

<The TVPS is verified by checking the 

image metadata if compression is used.>

2 M 13.010-

Mathces 

Image 

Metadata

IF {13.011} EQ ASCII(JPEGL) AND {13.008} EQ 1 

OR 2 

THEN {13.010} EQ {VerticalDensity-JPEGB,JPEGL}

ELSE

IF ASCII(JP2L) OR ASCII(WSQ20) THEN <Provide 

Warning “Not Tested”>

ELSE

IF {13.011} EQ ASCII(PNG) AND {13.008} EQ 1 

THEN {13.010} EQ {VerticalDensity-PNG} * 

0.0254 (meters/inch), 

ELSE 

IF {13.011} EQ ASCII(PNG) AND {13.008} EQ 2

THEN {13.010} EQ {VerticalDensity-PNG} * 0.01 

(meters/cm)

t-11, 

t-12

Y B-O

2 M 13.010-

Aspect 

Ratio 

Mathces 

Image 

Metadata

IF {13.011} EQ ASCII(JPEGL) AND {13.008} NEQ 1 

OR 2

THEN {13.009}/{13.010} EQ {HorizontalDensityJPEGB,JPEGL} / {VerticalDensity-JPEGB,JPEGL}

ELSE

IF ASCII(JP2L) OR ASCII(WSQ20) THEN <Provide 

Warning “Not Tested”>

ELSE

IF {13.011} EQ ASCII(PNG) AND {13.008} NEQ 1 

OR 2

THEN {13.009}/{13.010} EQ { HorizontalDensity -

t-11 Y B-O
166

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

PNG} / {VerticalDensity-PNG}

RT13.25 -

Field: 

13.011-

Compressio

n Algorithm 

Value

8.13.11,

Table 70,

7.7.9.1,

5.3.13

For each of these fields, the entry 

corresponds to the appropriate Label 

entry in Table 15: Field 13.011: 

Compression algorithm / CGA.

The variable-resolution for latent image 

data contained in the Type-13 record shall 

be uncompressed or may be the output 

from a lossless compression algorithm.

1 M 13.011-

Value

{13.011} MO [ASCII(NONE, JPEGL, JP2L, PNG)] Y B-O

RT13.26 -

Field: 

13.011-

Compressio

n Algorithm 

Metadata

8.13.11,

Table 70

<The CGA is verified by checking the

image metadata for the compression type 

signature if compression is used.>

2 M 13.011-

Matches 

Image 

Metadata

IF {13.011} EQ ASCII(JPEGL) THEN

Present(SOI -JPEG,JPEGL)

ELSE

IF {13.011} EQ ASCII(JP2L) THEN

Present(SigBox)

ELSE

IF {13.011} EQ ASCII(PNG) THEN

Present(PNGSig)

ELSE

IF {13.011} EQ ASCII(WSQ20) THEN

Present(SOI-WSQ)

t-11 Y B-O

RT13.27 -

Field: 

13.012-Bits 

Per Pixel 

Value

8.13.12,

Table 70,

7.7.8.6

This field shall contain an entry of “8” for 

normal grayscale values of “0” to “255”. 

Any entry in this field greater than “8”

shall represent a grayscale pixel with 

increased proportion.

- M 13.012-

Value

<See Requirement ID “Field: Image BPX Value” > t-2

RT13.28 -

Field: 

13.012- Bits 

Per Pixel 

Metadata

8.13.12,

Table 70

<The BPX is verified by checking the 

image metadata for the compression type 

signature if compression is used.>

2 M 13.012-

Matches 

Image 

Metadata

IF {13.011} EQ ASCII(JPEGL) THEN

{13.012} EQ {BPX-JPEG, JPEGL}

ELSE

IF {13.011} EQ ASCII(JP2L) THEN

{13.012} EQ {BPX-JP2,JP2L}

ELSE

IF {13.011} EQ ASCII(PNG) THEN

{13.012} EQ {BPX-PNG}

ELSE

IF {13.011} EQ ASCII(WSQ20) THEN

<Provide Warning “Not Tested”>

t-11 Y B-O
167

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

RT13.29 -

Field: 

13.013-

Friction 

Ridge 

Generalized 

Position 

Value

8.13.13,

Table 70,

7.7.4.2,

Table 8,

Annex G

See Section 7.7.4.2 and Table 8 for 

details.

1 M 13.013-

FGP-Value

{All(InfoItems in 13.013)} MO [0 to 38, 40 to 50, 

60 to 79, 81 to 84] AND MO [Integers]

NA T

1 M NIEM13.013-

FGP-Value

{XElm(FingerPositionCode)} MO [0 to 19, 33, 36, 

40 to 50]

OR

{XElm(PalmPositionCode)} MO [20 to 38, 81 to 

84]

OR

{XElm(PlantarPositionCode)} MO [60 to 79]

OR

{XElm(FrictionRidgePositionCode)} MO [0 to 38, 

40 to 50, 60 to 79, 81 to 84 ]

Y X-I <Allows 

255 for 

FingerPositi

onCode and 

FrictionRidg

ePositionCo

de and does 

not allow 18 

for 

FingerPositi

onCode>

RT13.30 -

Field: 

13.013-

Friction 

Ridge 

Generalized 

Position 

Conditional

8.13.13,

Table 70

If code 19 is used, fields 13.014 and 

13.015 shall be used.

- M 13.013-

FGPConditional

<See Requirement ID: “Field: SPD,PPC 

Conditional”>

t-2

RT13.31 -

Field: 

13.014-

Search 

Position 

Descriptors 

Value

8.13.14,

Table 70,

7.7.4.3

...described in Section 7.7.4.3 - D 13.014-

[PDF, FIC] 

Value

<See Requirement ID: “Field: SPD,PPD Values”> t-2

RT13.32 -

Field: 

13.014-

Search 

Position 

Descriptors 

Conditional

8.13.14,

Table 70

This field shall be present if and only if the 

finger position code “19” appears in Field

13.013: Friction ridge generalized position 

/ FGP.

- D 13.014-

Conditional

<See Requirement ID: “Field: SPD,PPC 

Conditional”>

t-2
168

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

RT13.33 -

Field: 

13.015-Print 

Position 

Coordinates 

Value

8.13.15,

Table 70,

7.7.4.4

See section 7.7.4.4 - D 13.015-

[LOS, LHC, 

RHC, TVC, 

BVC]-Value

<See Requirement IDs: “Field: PPC-Subfield 1”

through “Field: PPC-SubfieldCount 5,6”.>

t-2

RT13.34 -

Field: 

13.015- Print 

Position 

Coordinates 

Conditional

8.13.15,

Table 70

This field may be present if and only if the 

finger position code “19” appears in Field

13.013: Friction ridge generalized position 

/ FGP.

- D 13.015- 

Conditional

<See Requirement ID: “Field: SPD,PPC 

Conditional”>

t-2

RT13.35 -

Field: 

13.016-

Scanned 

Horizontal 

Pixel Scale 

Value

8.13.16,

Table 70,

7.7.8.7

See section 7.7.8 .7 for details. - O 13.016-

Value

<See Requirement IDs: “Field: Image SHPS 

Value”>

t-2

RT13.36 -

Field: 

13.017-

Scanned 

Vertical 

Pixel Scale 

Value

8.13.17,

Table 70,

7.7.8.8

See section 7.7.8.8 for details. - O 13.017-

Value

<See Requirement IDs: “Field: Image SVPS 

Value”>

t-2

RT13.37 -

Field: 

13.018, 

13.019-

Reserved

Table 70 Reserved for future useonly by 

ANSI/NIST-ITL.

- - [13.018, 

13.019]-

Reserved

<See Requirement ID: “Field: Type13-

CondCode>.

t-2

RT13.38 -

Field: 

13.020-

Comment 

Value

8.13.17,

Table 70,

7.4.4

See section 7.4.4 for details. - O 13.020-

Value

<See Requirement ID: “Field: Comment>. t-2

RT13.39 - Table 70 Reserved for future useonly by - - [13.021, <See Requirement ID: “Field: Type13- t-2
169

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

Field: 

13.021, 

13.023-

Reserved

ANSI/NIST-ITL. 13.023]-

Reserved

CondCode>.

RT13.40 -

Field: 

13.024-

Latent 

Quality 

Metric 

Value

Table 70,

Table 8,

8.13.19

The first information item is the entry in 

Field 13.013: Friction ridge generalized 

position / FGP, as chosen from Table 8... 

See Section 7.7.7 for a description of the 

remaining three information items. 

- O 13.024–

[FRMP, 

QVU, QAV, 

QAP]-Value

<See Requirement IDs: “Field: Sample Quality 

Subfield 1”, “Field: Sample Quality Subfield 2”, 

“Field: Sample Quality Subfield 3”, “Field: Sample 

Quality Additional Subfield”>.

t-2

RT13.41 -

Field: 13.025 

to 13.199-

Reserved

Table 70 Reserved for future useonly by 

ANSI/NIST-ITL.

- - 13.025, 

13.199-

Reserved

<See Requirement ID: “Field: Type13-

CondCode>.

t-2

RT13.42 -

Field: 13.200 

to 13.900-

User 

Defined

Table 70 User Defined Fields - 13.200 to 

13.900-

User 

Defined

TRUE Y B-C

RT13.43 -

Field: 

13.901-

Reserved

Table 70 Reserved for future useonly by 

ANSI/NIST-ITL.

- - 13.901-

Reserved

<See Requirement ID: “Field: Type13-

CondCode>.

t-2

RT13.44 -

Field: 

13.902-

Annotated 

Information 

Value

8.13.21,

Table 70

This is an optional field, listing the 

operations performed on the original 

source in order to prepare it for inclusion 

in a biometric record type. See Section 

7.4.1.

- O 13.902-

[GMT, NAV, 

OWN, 

PRO]-Value

<See Requirement ID: “Field: xx.902-ANN” >. t-2

RT13.45 -

Field: 

13.903-

Device 

Unique 

Identifier 

Value

8.13.22,

Table 70

This is an optional field. See Section 

7.7.1.1.

- O 13.903-

DUI-Value

<See Requirement ID: “Field: Device ID” >. t-2
170

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

RT13.46 -

Field: 

13.904-

Make/Mode

l/Serial 

Number 

Value

8.13.23,

Table 70

This is an optional field. See Section 

7.7.1.2.

- O 13.904–

[MAK, 

MOD, SER]-

Value

<See Requirement ID: “Field: Make Model” >. t-2

RT13.47 -

Field: 13.905 

to 13.992-

Reserved

Table 70 Reserved for future useonly by 

ANSI/NIST-ITL.

- - 13.905, 

13.994-

Reserved

<See Requirement ID: “Field: Type13-

CondCode>.

t-2

RT13.48 -

Field: 

13.993-

Source 

Agency 

Name

8.13.24,

Table 70

This is an optional field. It may contain up 

to 125 Unicode characters. 

- O 13.993-

SAN-Value

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

RT13.49 -

Field: 

13.994-

Reserved

Table 70 Reserved for future useonly by 

ANSI/NIST-ITL.

- - 13.994-

Reserved

<See Requirement ID: “Field: Type13-

CondCode>.

t-2

RT13.50 -

Field: 

13.995-

Associated 

Context 

Value

8.13.24,

Table 70

See Section 7.3.3

-

O 13.995-

[ACN, ASP]-

Value

<See Requirement IDs: “Field: xx.995-ASC” and 

“Field: xx.995-ASC-ACN” and

“Field: xx.995-ASC-ASP”>.

t-2

RT13.51 -

Field: 

13.996-

Hash Value

8.13.25,

Table 70

See Section 7.5.2

-

O 13.996-

Value

<See Requirement ID: “Field: HAS”> t-2

RT13.52 -

Field: 

13.997-

Source 

Representati

on Value

8.13.26,

Table 70

See Section 7.3.2

-

O 13.997-

[SRN, RSP]-

Value

<See Requirement IDs: “Field: xx.997-SOR” and 

“Field: xx.997-SOR-SRN” and

“Field: xx.997-SOR-RSP”>.

t-2
171

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

RT13.53 -

Field: 

13.998-

Geographic 

Sample 

Acquisition 

Location 

Value

8.13.27,

Table 70

See Section 7.7.3

-

O 13.998-[ 

UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

Value

<See Requirement IDs: “Field: Geographic”, 

“Field: Geographic”, “Field: Geographic-Subfield 

1” through “Field: Geographic-Values-SubField 

15” >.

t-2

RT13.54 -

Field: 

13.999-

Image Data 

Valid

8.13.28, 

Table 70

This is a mandatory field contains the 

image.

<The image metadata is checked for 

validity.>

2 M 13.999-

Uncompres

sed Image 

Length 

IF {13.011} EQ ASCII(NONE) THEN

Length(13.999) EQ 13.006} * {13.007}

Y B-O

2 M 13.999-

Valid Image 

Format 

IF Present(SOI-JPEGB,JPEGL)

THEN

Present(JFIF, 

SOI-JPEGB,JPEGL,

SOF-JPEGB,JPEGL,

EOI-JPEG, JPEGL)

ELSE IF Present(SigBox)

THEN

Present(SigBox, 

HeadBox, 

ImgBox, EOI-JP2L)

ELSE IF Present(PNGSig) 

THEN

Present(PNGSig,

IHDR,

IDAT,

IEND)

ELSE IF Present(Present(SOI-WSQ) THEN

Y B-O
172

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.13: Record Type-13: Friction-ridge latent image record

Present(SOI-WSQ,SOF-WSQ,SOB-WSQ,EOI-WSQ

RT13.55 -

Field: 

13.999-

Image WSQ 

Version 3.1

7.7.9.1 Only version 3.1 or higher shall be used 

for compressing grayscale fingerprint data 

at 500 ppi class with a platen area of 2 

inches or greater in height. WSQ 2.0 or 

higher may be used for 500 ppi class data 

taken from a platen of less than 2 inches 

in height. WSQ shall not be used for 

other than the 500 ppi class.

3 M 13.999-

Valid WSQ 

Specificatio

n Version

<No known method for determining the WSQ 

specification version.>

t-16 NA B-O
173

6.13 Record Type-14: Fingerprint Image Record

Table 6.11 - Assertions for Record Type 14 - Fingreprint Image Record

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

RT14.1 -

Record: 

Type14-

Fingerprint 

Type

8.14 The Type-14 record shall contain and be 

used to exchange exemplar fingerprint 

image data, such as a rolled tenprint, an 

identification flat, or a complete friction 

ridge exemplar. All fingerprint 

impressions shall be acquired from a card, 

a single or multiple-finger flat-capture 

device, contactless fingerprint sensor that 

outputs 2D fingerprint images, or a livescan device. Captured images may be 

transmitted to agencies that will 

automatically extract the desired feature 

information from the images for matching 

purposes.

3 M Type14-

Fingerprint 

Type

<Unsupported: It is not feasible to test if the 

image represents an exemplar fingerprint or how 

the image was acquired (this is a Level 3 

assertion).>

t-1

RT14.2 -

Field: 

Type14-

Subfield 

Occurrence

Table 71 <Table 71 specifies which fields contain 

subfields as well as the number of 

occurrences permitted.>

1 M 14.[001 to 

014, 016, 

017, 020, 

026, 027, 

030, 031, 

903,904, 

993, 996, 

998, 999]-

SubfieldCo

unt

Count(Subfields in 14.[001 to 014, 016, 017, 020, 

026, 027, 030, 031, 903, 904,993, 996, 998, 999]) 

EQ 1

NA T

1 M 14.[001 to 

012, 016, 

017, 020, 

026, 027, 

030, 031, 

903, 993, 

996, 999]-

InfoItemCo

Count(InfoItems in Subfield:1 in 14.[001 to 012, 

016, 017, 020, 026, 027, 030, 031, 903, 993, 996, 

999]) EQ 1

NA T
174

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

unt

1 M 14.013-

InfoItemCo

unt

ForEach(Subfield in 14.013)

{

Count(InfoItems in Subfield) EQ 1

}

NA T

1 D 14.014-

InfoItemCo

unt

Count(InfoItems in 14.014) EQ 2 NA T

D 14.015-

SubfieldCo

unt

<See Requirement ID: “Field: PPC-Subfield 

Occurrences”>

t-2 NA

1 O 14.018-

SubfieldCo

unt

Count(Subfields in 14.018) MO [1 to 5] NA T

1 O 14.018-

InfoItemCo

unt

ForEach(Subfield in 14.018)

{

Count(InfoItems in Subfield) EQ 2

}

NA T

1 D 14.021-

SubfieldCo

unt

Count(Subfields in 14.021) MO [1 to 5] NA T

1 D 14.021-

InfoItemCo

unt

ForEach(Subfield in 14.021)

{

Count(InfoItems in Subfield) EQ 5

}

NA T

1 O 14.022-

SubfieldCo

unt

Count(Subfields in 14.022) MO [1 to 5] NA T

1 O 14.022-

InfoItemCo

unt

ForEach(Subfield in 14.022)

{

Count(InfoItems in Subfield) EQ 2

}

NA T

1 O 14.023-

SubfieldCo

unt

Count(Subfields in 14.023) MO [1 to 5] NA T

1 O 14.023- ForEach(Subfield in 14.023) NA T
175

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

InfoItemCo

unt

{

Count(InfoItems in Subfield) EQ 4

}

1 O 14.024-

SubfieldCo

unt

Count(Subfields in 14.024) MO [1 to 5] NA T

1 O 14.024-

InfoItemCo

unt

ForEach(Subfield in 14.024)

{

Count(InfoItems in Subfield) EQ 4

}

NA T

1 O 14.025-

SubfieldCo

unt

Count(Subfields in 14.025) MO [1 to 5] NA T

1 O 14.025-

InfoItemCo

unt

ForEach(Subfield in 14.025)

{

Count(InfoItems in Subfield) EQ 2 + 

2*{InfoItem:2 in Subfield}

}

NA T

1 O 14.902-

SubfieldCo

unt

Count(Subfields in 14.902) GTE 1 NA T

1 O 14.902-

InfoItemCo

unt

ForEach(Subfield in 14.902)

{

Count(InfoItems in Subfield) EQ 4

}

NA T

1 O 14.904-

SubfieldCo

unt

Count(InfoItems in 14.904) EQ 3 NA T

1 O 14.995-

SubfieldCo

unt

Count(Subfields in 14.995) MO [1 to 255] NA T

1 O 14.995-

InfoItemCo

unt

ForEach(Subfield in 14.995)

{

Count(InfoItems in Subfield) EQ 1 OR 2

}

NA T

1 O 14.997- Count(Subfields in 14.997) MO [1 to 255] NA T
176

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

SubfieldCo

unt

1 O 14.997-

InfoItemCo

unt

ForEach(Subfield in 14.997)

{

Count(InfoItems in Subfield) EQ 1 OR 2

}

NA T

-

O 14.998-

SubfieldCo

unt

<See Requirement ID: “Field: Geographic”> t-2

RT14.3 -

Field: 

Type14-

CondCode

Table 71 <Table 71 specifies the Condition Code for 

each field.>

1 M Type14-

Mandatory

CondCode

Present(14.001 to 14.005, 14.013) NA T

1 M NIEMType14-

Mandatory

CondCode

Foreach(XElm in <AnnexG: Type-14 Table> ST 

{Min(Cardinality(XElm))} GTE 1)

{

Present(XElm)

}

Y X-I <Allows 

14.005, 

14.004, 

14.003 to 

be 

optional>

1 M Type14-

Reserved

NOT Present(14.019, 14.028, 14.029, 14.032 to 

14.199, 14.901, 14.905 to 14.992, 14.994)

NA T

RT14.4 -

Record: 

14.006 to 

14.012 

Dependent

Table 71,

8.14.6 to 

8.14.12

This field is mandatory if an image is 

present in Field 14.999. Otherwise it is 

absent. 

2 D Type14-

[14.006 to 

14.012]-

CondCode 

Dependent

Present(14.999) IFF

Present(14.006 to 14.012)

Y B-O

RT14.5 -

Field: 

14.014-Print 

Position 

Descriptors 

Dependent

Table 71,

8.14.14

This field shall be present if and only if the 

finger position code “19” appears in Field

14.013: Friction ridge generalized position 

/ FGP.

- D 14.014-

CondCode 

Dependent

<See Requirement ID: “Field: PPD Conditional”> t-2

RT14.6 -

Field: 

14.015-Print 

Position 

Coordinates 

Table 71,

8.14.15

This field may be present if and only if the 

finger position code “19” appears in Field

14.013: Friction ridge generalized position 

/ FGP. 

- D 14.015-

CondCode 

Dependent

<See Requirement ID: “Field: PPD Conditional”> t-2
177

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

Dependent

RT14.7 -

Field: 

14.021-

Finger 

Segment 

Position 

Dependent

Table 71, 

8.14.20

This optional field shall contain offsets to 

the locations of image segments 

containing the individual fingers within 

the flat images of simultaneous fingers 

from each hand or the two simultaneous 

thumbs. (FGP = 13, 14, 15 or 40-50 from 

Table 8 as entered in Field 14.013:

Friction ridge generalized position / FGP).

2 D Type14-

14.021-

CondCode 

Dependent

IF Present(14.021) THEN 

{InfoItem:1 in Subfield:1 in 14.013} MO [13 to 15, 

40 to 50] 

NA T

2 D NIEMType14-

14.021-

CondCode 

Dependent

IF Present(14.021) THEN 

{XElm(FingerImpressionCode) in 

XElm(FingerImpressionImage)} MO [13 to 15, 40 

to 50] 

Y X-O

RT14.8 -

Field: 

14.027-

Stitched 

Image Flag 

Dependent

Table 71, 

8.14.26

This field signifies that images captured 

separately were stitched together to form 

a single image. This field is mandatory if 

an image has been stitched, and the value 

shall be set to 'Y'. Otherwise, this field 

shall not appear in the record.

3 D 14.027-

CondCode 

Dependent

<Unsupported: It is not possible to easily detect 

if the image was stitched (this is a Level 3 

assertion).>

t-1 NA

RT14.9 -

Field: 

14.999-

Palmprint 

Image 

Dependent

Table 71, 

8.14.38

This field contains the palmprint image. It 

shall contain an image, unless Field 

14.018: Amputated or bandaged / AMP 

has a value or “UP”. In the latter case, the 

field is optional. 

2 D 14.999-

CondCode 

Dependent

IF {InfoItem:2 in All(Subfields in 14.018)} NEQ 

ASCII(UP) THEN

Present(14.999)

NA T

2 D NIEM14.999-

CondCode 

Dependent

IF {All(XElm(FingerMissingCode))} NEQ ASCII(UP) 

THEN

Present(XElm(BinaryBase64Object) in 

XElm(FingerImpressionImage))

Y X-O

RT14.10 -

Field: 

Type14-

CharType

8.14,

Table 71

<Table 71 specifies the Character Type for 

each field that contains no subfields.>

1 - 14.[001,00

2,003, 006 

to 010, 012, 

016, 017, 

026, 031]-

CharType 

Bytes(14.[001,002,003, 006 to 010, 012, 016, 

017, 026, 031]) MO [0x30 to 0x39]

Y B-O

1 - 14.[027, 

030]) -

CharType 

Bytes(14.[ 027, 030]) [0x20, 0x41 to 0x5A, 0x61 

to 0x7A]

Y B-I <Allows 

whitespace, 

leading 

zeros, plus 

sign>

1 - [14.004, 

14.020, 

14.993]-

TRUE Y B-C
178

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

CharType 

1 - 14.005-

CharType 

Bytes(14.005) MO [0x30 to 0x39] NA T

1 - NIEM14.005-

CharType 

Bytes(14.005) MO [0x30 to 0x39, 0x2D] Y X-I <Allows 

whitespace

>

1 O 14.011-

CharType 

Bytes(14.011) MO [0x30 to 0x39, 0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

Y B-O

1 O 14.020-

CharType 

TRUE Y B-C

1 O 14.903-

CharType

Bytes{14.903} MO [0x20 to 0x7E] Y B-O

1 O 14.996-

CharType 

Bytes(14.996) MO [0x30 to 0x39,0x41 to 0x46, 

0x61 to 0x66]

Y B-C

1 D 14.999-

CharType

TRUE NA T

1 D NIEM14.999-

CharType

<Schema tests that the BinaryBase64Object is of 

the correct type and length. Report that this is 

tested by the schema.>

Y X-C

RT14.11 -

Field: 

Type14-

Subfield

CharType

8.14,

Table 71

<Table 71 specifies the Character Type for 

each subfield.>

1 M 14.013-

FGPCharType 

Bytes(All(InfoItems in 14.013)) MO [0x30 to 

0x39]

Y B*-I <Allows 

whitespace, 

leading 

zeros, plus 

sign>

1 D 14.014-

DFPCharType 

ForEach(Subfield in 14.014)

{

Bytes(InfoItem:1 in Subfield) MO [0x30 to 0x39]

}

Y B*-I <Allows 

whitespace, 

leading 

zeros, plus 

sign>

1 D 14.014-FICCharType ForEach(Subfield in 14.014)

{

Bytes(InfoItem:2 in Subfield) MO [0x30 to 0x39, 

0x20, 0x41 to 0x5A, 0x61 to 0x7A]

}

Y B*-I <Allows 

whitespace

>

1 D 14.015-

FVCForEach(Subfield in 14.015){

Y B*-I <Allows 

whitespace
179

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

CharType Bytes(InfoItem:1 in Subfield)) MO [0x30 to 0x39, 

0x20, 0x41 to 0x5A, 0x61 to 0x7A]

}

>

1 D 14.015-

LOSCharType 

ForEach(Subfield in 14.015)

{

Bytes(InfoItem:2 in Subfield)) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

}

Y B*-I <Allows 

whitespace

>

1 D 14.015-

[LHC, RHC, 

TVC, BVC]-

CharType 

ForEach(Subfield in 14.015)

{

Bytes(InfoItem:3 to 6 in Subfield)) MO [0x30 to 

0x39]

}

Y B*-I <Allows 

whitespace, 

leading 

zeros, plus 

sign>

1 O 14.018-

FRAPCharType 

ForEach(Subfield in 14.018)

{

Bytes(InfoItem:1 in Subfield)) MO [0x30 to 0x39]

}

Y B*-I <Allows 

whitespace, 

leading 

zeros, plus 

sign>

1 O 14.018-

ABCCharType 

ForEach(Subfield in 14.018)

{

Bytes(InfoItem:2 in Subfield)) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

}

Y B*-I <Allows 

whitespace 

>

1 D 14.021-

[FRSP, LHC, 

RHC, TVC, 

BVC]-

CharType 

Bytes(All(InfoItems in 14.021)) MO [0x30 to 

0x39]

Y B*-I <Allows 

whitespace, 

leading 

zeros, plus 

sign>

1 O 14.022-

[FRNP, 

IQS]-

CharType 

Bytes(All(InfoItems in 14.022)) MO [0x30 to 

0x39]

Y B*-I <Allows 

whitespace, 

leading 

zeros, plus 

sign>

1 O 14.023-

[FRQP, 

QVU, QAP]-

CharType

ForEach(Subfield in 14.023)

{

Bytes(InfoItem:1,2,4 in Subfield)) MO [0x30 to 

0x39]

Y B*-I <Allows 

whitespace, 

leading 

zeros, plus 
180

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

} sign>

1 O 14.023-

QAVCharType

ForEach(Subfield in 14.023)

{

Bytes(InfoItem:3 in Subfield)) MO [0x30 to 

0x39,0x41 to 0x46, 0x61 to 0x66]

}

Y B*-O

1 O 14.024--

[FRMP, 

QVU, QAP]-

CharType

ForEach(Subfield in 14.024)

{

Bytes(InfoItem:1,2,4 in Subfield)) MO [0x30 to 

0x39]

}

Y B*-O

1 O 14.024-

QAVCharType

ForEach(Subfield in 14.024)

{

Bytes(InfoItem:3 in Subfield)) MO [0x30 to 

0x39,0x41 to 0x46, 0x61 to 0x66]

}

Y B*-O

1 O 14.025-

[FRAS, 

NOP, HPO, 

VPO]-

CharType 

Bytes(All(InfoItems in 14.025)) MO [0x30 to 

0x39]

Y B*-I <Allows 

whitespace, 

leading 

zeros, plus 

sign>

1 O 14.902-

[NAV, 

OWN, 

PRO]-

CharType 

TRUE NA T

1 O 14.902-

GMTCharType 

ForEach(Subfield in 14.902)

{

Bytes(InfoItem:1 in Subfield) MO [0x30 to 

0x39,0x5A]

}

NA T

1 O NIEM14.902-

GMTCharType 

Bytes(XElm(biom:ProcessUTCDate) in 14.902) 

MO [0x30 to 0x39, 0x2D, 0x3A, 0x54, 0x5A]

Y X-I

<Allows for 

optional 

element 

(nillable). 

Also allows 
181

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

for 

timezones, 

but 

standard 

requires Z. >

1 O 14.904-

[MAK, 

MOD, SER]-

CharType 

TRUE Y B*-O

1 O 14.995-

[ACN, ASP]-

CharType 

Bytes(All(InfoItem:1,2 in 14.995)) MO [0x30 to 

0x39]

Y B*-O

1 O 14.997-

[SRN, RSP]-

CharType 

Bytes(All(InfoItem:1,2 in 14.997)) MO [0x30 to 

0x39]

Y B*-O

-

O 14.998-

[UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

CharType 

<See Requirement ID: “Field: Geographic”> t-2

RT14.12 -

Field: 

Type14-

CharCount

Table 71 <Table 71 specifies the Character Count 

for each field that contains no subfields.>

1 M 14.001-

CharCount

DataLength(14.001) MO [1 to 8] NA T

1 M NIEM14.001-

CharCount

Length(14.001) EQ 2 Y X-O

1 M 14.002-

CharCount

DataLength(14.002) EQ 1 OR 2 Y B-O

1 M 14.003-

CharCount

DataLength(14.003) EQ 1 OR 2 Y B-O

1 M 14.004-

CharCount

<See Requirement ID: “Field: Source Agency”.> t-2
182

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

1 M 14.005-

CharCount

DataLength(14.005) EQ 8 NA T

1 M Niem14.005-

CharCount

DataLength(14.005) EQ 10 Y X-O

1 M 14.006-

CharCount

DataLength(14.006) MO [2 to 5] Y B-O

1 M 14.007-

CharCount

DataLength(14.007) MO [2 to 5] Y B-O

1 M 14.008-

CharCount

DataLength(14.008) EQ 1 Y B-O

1 M 14.009-

CharCount

DataLength(14.009) MO [1 to 5] Y B-O

1 M 14.010-

CharCount

DataLength(14.010) MO [1 to 5] Y B-O

1 M 14.011-

CharCount

DataLength(14.011) MO [3 to 5] Y B-O

1 M 14.012-

CharCount

DataLength(14.012) EQ 1 OR 2 Y B-O

1 O 14.016-

CharCount

DataLength(14.016) MO [1 to 5] Y B-O

1 O 14.017-

CharCount

DataLength(14.017) MO [1 to 5] Y B-O

1 O 14.020-

CharCount

DataLength(14.020) MO [1 to 126] Y B-O

1 O 14.026-

CharCount

DataLength(14.026) MO [1 to 3] Y B-O

1 D 14.027-

CharCount

DataLength(14.027) EQ 1 Y B-I <Allows 

length 1, 4, 

or 5>

1 O 14.030-

CharCount

DataLength(14.030) MO [7 to 10] Y B-O

1 O 14.031-

CharCount

DataLength(14.031) EQ 2 Y B-O
183

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

1 O 14.903-

CharCount

DataLength(14.903) MO [13 to 16] Y B-O

1 O 14.993-

CharCount

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2 Y

1 O 14.996-

CharCount

DataLength(14.995) EQ 64 Y B-C

1 M 14.999-

CharCount

DataLength(14.999) GTE 1 Y B-O

RT14.13 -

Field: 

Type14-

Subfield 

CharCount

Table 71 <Table 71 specifies the Character Count 

for each subfield.>

1 M 14.013–

FGPCharCount

Length(All(InfoItems in 14.013)) EQ 1 OR 2 Y B*-O

1 D 14.014-

DFPCharCount

Length(InfoItem:1 in 14.014) EQ 1 OR 2 Y B*-O

1 D 14.014-FICCharCountLength(InfoItem:2 in 14.014) EQ 3 Y B*-O

1 D 14.015-

FVCCharCount

ForEach(Subfield in 14.015)

{

Length(InfoItem:1 in Subfield) EQ 2 OR 3

}

Y B*-O

1 D 14.015-

LOSCharCount

ForEach(Subfield in 14.015)

{

Length(InfoItem:2 in Subfield) EQ 2 OR 3

}

Y B*-O

1 D 14.015-

[LHC, RHC, 

TVC, BVC]-

CharCount

ForEach(Subfield in 14.015)

{

Length(InfoItem:3 to 6 in Subfield) MO [1 to 5]

}

Y B*-O

1 O 14.018-

FRAPCharCount

ForEach(Subfield in 14.018)

{

Length(InfoItem:1 in Subfield) EQ 1 OR 2

}

Y B*-O
184

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

1 O 14.018-

ABCCharCount

ForEach(Subfield in 14.018)

{

Length(InfoItem:2 in Subfield) EQ 2

}

Y B*-O

1 D 14.021-

FRSPCharCount

ForEach(Subfield in 14.021)

{

Length(InfoItem:1 in Subfield) EQ 1 OR 2

}

Y B*-O

1 D 14.021-

[LHC, RHC, 

TVC, BVC]-

CharCount

ForEach(Subfield in 14.021)

{

Length(InfoItem:2 to 5 in Subfield) MO [1 to 5]

}

Y B*-O

1 O 14.022-

FRNPCharCount

ForEach(Subfield in 14.022)

{

Length(InfoItem:1 in Subfield) EQ 1 OR 2

}

Y B*-O

1 O 14.022-IQSCharCountForEach(Subfield in 14.022)

{

Length(InfoItem:2 to 5 in Subfield)) MO [1 to 3]

}

Y B*-O

1 O 14.023-

FRQPCharCount

ForEach(Subfield in 14.023)

{

Length(InfoItem:1 in Subfield) EQ 1 OR 2

}

Y B*-O

1 O 14.023-

QVUCharCount

ForEach(Subfield in 14.023)

{

Length(InfoItem:2 in Subfield) MO [1 to 3]

}

Y B*-O
185

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

1 O 14.023-

QAVCharCount

ForEach(Subfield in 14.023)

{

Length(InfoItem:3 in Subfield) EQ 4

}

Y B*-O

1 O 14.023-

QAPCharCount

ForEach(Subfield in 14.023)

{

Length(InfoItem:4 in Subfield) MO [1 to 5]

}

Y B*-O

1 O 14.024-

FRMPCharCount

ForEach(Subfield in 14.024)

{

Length(InfoItem:1 in Subfield) EQ 1 OR 2

}

Y B*-O

1 O 14.024-

QVUCharCount

ForEach(Subfield in 14.024)

{

Length(InfoItem:2 in Subfield) MO [1 to 3]

}

Y B*-O

1 O 14.024-

QAVCharCount

ForEach(Subfield in 14.024)

{

Length(InfoItem:3 in Subfield) EQ 4

}

Y B*-O

1 O 14.024-

QAPCharCount

ForEach(Subfield in 14.024)

{

Length(InfoItem:4 in Subfield) MO [1 to 5]

}

Y B*-O

1 O 14.025-

[FRAS, 

NOP]-

CharCount

ForEach(Subfield in 14.025)

{

Length(InfoItem:1,2 in Subfield) EQ 1 OR 2

A}

Y B*-O

1 O 14.025-

[HPO, 

VPO]-

ForEach(Subfield in 14.025)

{

ForEach(InfoItem in Subfield ST InfoItem NOT 

Y B*-O
186

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

CharCount InfoItem:1 OR InfoItem:2 in Subfield)

{

Length(InfoItem) MO [1 to 5]

}

}

1 O 14.902-

GMTCharCount

ForEach(Subfield in 14.902)

{

Length(InfoItem:1 in Subfield) EQ 15

}

NA T

1 O 14.902-

[NAV, 

OWN]-

CharCount

ForEach(Subfield in 14.902)

{

Length(InfoItem:2,3 in Subfield) MO [1 to 64]

}

Y B*-O

1 O 14.902-

[PRO]-

CharCount

ForEach(Subfield in 14.902)

{

Length(InfoItem:4 in Subfield) MO [1 to 255]

}

Y B*-O

1 O NIEM14.902-

GMTCharCount

Length(XElm(nc:DateTime) in 14.902) EQ 20 Y X*-O

1 O 14.904-

[MAK, 

MOD, SER]-

CharCount

Length(All(InfoItems in 14.904) MO [1 to 50] Y B*-O

1 O 14.995-

ACNCharCount

ForEach(Subfield in 14.995)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

Y B*-O

1 O 14.995-

ASPCharCount

ForEach(Subfield in 14.995)

{

Length(InfoItem:2 in Subfield) EQ 1 OR 2

}

Y B*-O

1 O 14.997-

SRNCharCount

ForEach(Subfield in 14.997)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

Y B*-O
187

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

1 O 14.997-

RSPCharCount

ForEach(Subfield in 14.997)

{

Length(InfoItem:2 in Subfield) EQ 1 OR 2

}

Y B*-O

-

O 14.998-[ 

UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

CharCount

<See Requirement ID: “Field: Geographic”> t-2

RT14.14 -

Field: 

Type14-Field 

Occurrence

Table 71 <Table 71 specifies the Field Occurrence 

for each field.>

2 M NIEMType14-

Cardinality

<The Type-14 table in Annex G of the base 

standard specifies the type and number of sub 

elements required for each field.>

Y X-I

<Allows 

missing 

elements 

for fields 

with 

cardinatlity 

1..1: 

14.005,

14.004, 

14.003.

Allows 

optional 

“biom:Imag

eCaptureDe

tail” and 

“biom:capt

ureOrganiza

tion”>

1 - Type14-

FieldOccurr

ences

Count(14.[019 ,028, 029, 032 to 199,901,905 to 

992, 994]) EQ 0

AND

Count(14.[001 to 005, 013]) EQ 1

NA T
188

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

AND

Count(14.[006 to 012, 014 to 018,020 to 

027,030, 031, 902 to 904, 993, 995 to 999]) LTE 

1

RT14.15 -

Field: 

14.001-

Record 

Header 

Value

8.14.1,

Table 71,

7.1

Field 14.001 Record header. In Traditional 

encoding, this field contains the record 

length in bytes (including all information 

separators)

- M 14.001-

Record 

Header

<See Requirement ID “Field: xx.001-Record 

Header”>

t-2

8.14.1,

C.10.12

The XML name for the Type-14 record is 

<itl:PackageFingerprintImageRecord>, 

and its <biom:RecordCategoryCode> 

element shall

have a value of “14”.

1 M NIEM14.001-

Value

ForEach(XElm(itl:PackageFingerprintImageRecor

d)

{

{XElm(biom:RecordCategoryCode)} EQ ASCII(14)

}

Y X-i <Allows 

whitespace

>

RT14.16 -

Field: 

14.002-

Information 

Designation 

Character

Value

8.14.2,

Table 71,

7.3.1

This mandatory field shall be the IDC of 

this Type-14 record as found in the 

information item IDC of Field 1.003 

Transaction content/CNT. 

- M 14.002-IDC <See Requirement IDs “Field: xx.002-IDC “and 

“Field: 1.003-Transaction Content Subfield 2 IDC 

Matches” >

t-2

RT14.17 -

Field: 

14.003-

Impression 

Type

Value

8.14.3,

Table 71,

7.7.4.1

This mandatory field shall indicate the 

manner by which the latent print was 

obtained.

See Section 7.7.4.1 for details.

<Table 71 lists the valid values for IMP.>

1 M 14.003-

Value

{14.003} MO [0 to 3, 8, 20 to 29] MO [Integers] Y B-I <Allows 

0 to 8, 10 to 

15, 20 to 

39>

RT14.18 -

Field: 

14.004-

Originating 

Agency 

Value

8.14.4,

7.6

This is a mandatory field. See Section 7.6 

for details.

- M 14.004-

Value

<See Requirement ID: “Field: Source Agency”.> t-2

RT14.19 -

Field: 

14.005-

Fingerprint 

Capture 

8.14.5,

7.7.2.3

This mandatory field shall contain the 

date that the fingerprint data contained 

in the record was captured.

1 M 14.005-

Value

{14.005} MO [ValidLocalDate] t-6 NA T

1 M NIEM14.005-

Value

ForEach(XElm(itl:PackageFingerprintRecord))

{

{XElm(nc:Date) in XElm(biom:CaptureDate)} MO 

t-6 Y X-I

<Allows 

optional 
189

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

Date Value [NIEM-ValidLocalDate]

}

element 

(nillable)>

RT14.20 -

Field: 

14.006-

Horizontal 

Line Length 

Value

8.14.6,

Table 71,

7.7.8.1

The maximum horizontal size is limited to 

65,534 pixels in Record Types-4 and 8, 

and to 99,999 for other record types. The 

minimum value is 10 pixels.

- M 14.006-

Value

<See Requirement ID “Field: Image HLL Value” > t-2

RT14.21 -

Field: 

14.006-

Horizontal 

Line Length 

Metadata

8.14.6,

Table 71,

7.7.8.1

<The HLL is verified by checking the image 

metadata if compression is used.>

2 M 14.006-

Matches 

Image 

Metadata

IF {14.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

{14.006} EQ {ImageWidth-JPEGB,JPEGL}

ELSE

IF {14.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

{14.006} EQ {ImageWidth-JP2,JP2L}

ELSE

IF {14.011} EQ ASCII(PNG) THEN

{14.006} EQ {ImageWidth-PNG}

ELSE

IF {14.011} EQ ASCII(WSQ20) THEN

{14.006} EQ {ImageWidth-WSQ}

t-11 Y B-O

RT14.22 -

Field: 

14.007-

Vertical Line 

Length 

Value

8.14.7,

Table 71,

7.7.8.2

The maximum vertical size is limited to 

65,534 pixels in Record Types-4 and 8, 

and to 99,999 for other record types.

The minimum value is 10 pixels.

- M 14.007-

Value

<See Requirement ID “Field: Image VLL Value” > t-2

RT14.23 -

Field: 

14.007-

Vertical Line 

Length 

Metadata

8.14.7,

Table 71,

7.7.8.2

<The VLL is verified by checking the image 

metadata if compression is used.>

2 M 14.007-

Matches 

Image

Metadata

IF {14.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

{14.007} EQ {ImageHeight-JPEGB,JPEGL}

ELSE

IF {14.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

{14.007} EQ {ImageHeight-JP2,JP2L}

ELSE

IF {14.011} EQ ASCII(PNG) THEN

{14.007} EQ {ImageHeight-PNG}

ELSE

IF {14.011} EQ ASCII(WSQ20) THEN

t-11 Y B-O
190

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

{14.007} EQ {ImageHeight-WSQ}

RT14.24 -

Field: 

14.008-Scale 

Units Value

8.14.8,

Table 71,

7.7.8.3

<Table 71 lists the value constraints for 

SLC>

M 14.008-

Value

<See Requirement ID “Field: Image SLC Value” > t-2

RT14.25 -

Field: 

14.008-

Scale Units 

Metadata

8.14.8,

Table 71,

7.7.8.3

A value of “1” shall indicate pixels per 

inch.

A value of “2” shall indicate pixels per 

centimeter. A value of “0” in this field 

indicates that no scale is provided, and 

the quotient of THPS/TVPS shall provide 

the pixel aspect ratio.

<The SLC is verified by checking the image 

metadata if compression is used.>

2 M 14.008-

Matches 

Image 

Metadata

IF {14.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN {14.008} EQ {SamplingUnits-JPEGB,JPEGL}

ELSE

IF {14.011} EQ ASCII{JP2) OR ASCII (JP2L) OR 

ASCII (WSQ20) THEN <Provide Warning “Not 

Tested”>

ELSE 

IF {14.011} EQ ASCII(PNG) THEN

IF {14.008} EQ 1 OR 2 THEN { SamplingUnitsPNG} EQ 1, ELSE IF {14.008} EQ 0 THEN { 

SamplingUnits-PNG} EQ 0

t-11 Y B-O

RT14.26 -

Field: 

14.009-

Transmitted 

Horizontal 

Pixel Scale 

Value

8.14.9,

Table 71,

7.7.8.4

<Table 71 lists the value constraints for 

THPS.>

- M 14.009-

Value

<See Requirement ID “Field: Image THPS Value”

>

t-2

RT14.27 -

Field: 

14.009-

Transmitted 

Horizontal 

Pixel Scale 

Metadata

8.14.9,

Table 71,

7.7.8.4

This is the integer pixel density used in 

the horizontal direction of the image if 

SLC has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the horizontal component of the 

pixel aspect ratio, up to 5 digits. 

<The THPS is verified by checking the 

image metadata if compression is used.>

2 M 14.009-

Matches 

Image 

Metadata

IF {14.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) AND 

{14.008} EQ 1 OR 2

THEN {14.009} EQ {HorizontalDensityJPEGB,JPEGL}

ELSE

IF {14.011} EQ ASCII{JP2) OR ASCII (JP2L) OR 

ASCII (WSQ20) THEN <Provide Warning “Not 

Tested”>

ELSE 

IF {14.011} EQ ASCII(PNG) AND {14.008} EQ 1 

THEN {14.009} EQ {HorizontalDensity-PNG} * 

0.0254 (meters/inch), 

ELSE IF {14.011} EQ ASCII(PNG) AND {14.008} EQ 

t-11, 

t-12

Y B-O
191

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

2

THEN {14.009} EQ {HorizontalDensity-PNG} * 

0.01 (meters/cm)

2 M 14.009-

Aspect 

Ratio 

Matches 

Image 

Metadata

IF {14.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) AND 

{14.008} NEQ 1 OR 2

THEN {14.009}/{14.010} EQ {HorizontalDensityJPEGB,JPEGL} / {VerticalDensity-JPEGB,JPEGL}

ELSE

IF {14.011} EQ ASCII{JP2) OR ASCII (JP2L) OR 

ASCII (WSQ20) THEN <Provide Warning “Not 

Tested”>

ELSE 

IF {14.011} EQ ASCII(PNG) AND {14.008} NEQ 1 

OR 2

THEN {14.009}/{14.010} EQ {HorizontalDensityPNG} / {VerticalDensity-PNG}

t-11 Y B-O

RT14.28 -

Field: 

14.010-

Transmitted 

Vertical 

Pixel Scale 

Value

8.14.10,

Table 71,

7.7.8.5

<Table 71 lists the value constraints for 

TVPS.>

- M 14.010-

Value

<See Requirement ID “Field: Image TVPS Value”

>

t-2

RT14.29 -

Field: 

14.010-

Transmitted 

Vertical 

Pixel Scale 

Metadata

8.14.10,

Table 71,

7.7.8.5

This is the integer pixel density used in 

the Vertical direction of the image if SLC 

has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the Vertical component of the 

pixel aspect ratio, up to 5 digits.

<The TVPS is verified by checking the 

image metadata if compression is used.>

2 M 14.010-

Matches 

Image 

Metadata

IF {14.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

AND{14.008} EQ 1 OR2 

THEN 

{14.010} EQ {VerticalDensity-JPEGB,JPEGL}

ELSE

IF {14.011} EQ ASCII{JP2) OR ASCII (JP2L) OR 

ASCII (WSQ20) THEN <Provide Warning “Not 

Tested”>

ELSE 

IF {14.011} EQ ASCII(PNG)) AND {14.008} EQ 1 

THEN {14.010} EQ {VerticalDensity-PNG} * 

0.0254 (meters/inch),

ELSE IF {14.011} EQ ASCII(PNG)) AND {14.008} EQ 

t-11, 

t-12

Y B-O
192

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

2

THEN {14.010} EQ {VerticalDensity-PNG} * 0.01 

(meters/cm)

2 M 14.010-

Aspect 

Ratio 

Matches 

Image 

Metadata

IF {14.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) AND 

{14.008} NEQ 1 OR 2

THEN {14.009}/{14.010} EQ {HorizontalDensityJPEGB,JPEGL} / {VerticalDensity-JPEGB,JPEGL}

ELSE

IF {14.011} EQ ASCII{JP2) OR ASCII (JP2L) OR 

ASCII (WSQ20) THEN <Provide Warning “Not 

Tested”>

ELSE 

IF {14.011} EQ ASCII(PNG) AND{14.008} NEQ 1 

OR 2

THEN {14.009}/{14.010} EQ {HorizontalDensity -

PNG} / {VerticalDensity-PNG}

t-11 Y B-O

RT14.30 -

Field: 

14.011-

Compressio

n Algorithm 

Value

8.14.11,

Table 71,

7.7.9.1

For each of these fields, the entry 

corresponds to the appropriate Label 

entry in Table 15: Field 14.011: 

Compression algorithm / CGA.

Wavelet Scalar Quantization (WSQ) shall 

be used for compressing grayscale friction 

ridge data at 500 ppi class for new 

systems. In order to maintain backaward 

compatibility, legacy systems may use 

JPEGB or JPEGL for compressing 500 ppi 

class images. 

WSQ shall not be used for other than the 

500 ppi class.

For friction ridge images at the 1000 ppi 

class, JPEG 2000 shall be used according 

to the specifications and options 

contained in Profile for 1000 ppi 

1 M 14.011-

Value

{14.011} MO ASCII(NONE, WSQ20, JPEGB, JPEGL, 

JP2, JP2L, PNG)

Y B-O

2 M Type14-

14.011-

ValueDepe

ndent

<Note: 19.49 and 19.89 are ppmm. The units for 

14.016 and 14.017 depend on 14.008.>

IF Present(14.011, 14.008, 14.016, 14.017) THEN

{

IF {14.016} AND {14.017} GTE 19.49 AND LTE 

19.89 THEN 

{

IF {14.011} MO [ASCII(JPEGB, JPEGL)] 

THEN <Provide Legacy Warning>

ELSE {14.011} EQ ASCII(WSQ20)

}

ELSE IF {14.016} AND {14.017} GTE 38.98 AND 

LTE 39.76

{ 

{14.011} EQ [ASCII(JP2, JP2L)] 

}

Y B-O
193

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

Fingerprint Compression.

ELSE 

{ 

{14.011} MO [ASCII(NONE, JPEGB, JPEGL, JP2, 

JP2L, PNG)] 

}

}

RT14.31 -

Field: 

14.011-

Compressio

n Algorithm 

Metadata

8.14.11,

Table 71

<The CGA is verified by checking the 

image metadata for the compression type 

signature if compression is used.>

2 M 14.011-

Matches 

Image 

Metadata

IF {14.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

Present(SOI -JPEG,JPEGL)

ELSE IF {14.011} EQ ASCII(JP2) OR ASCII(JP2L) 

THEN

Present(SigBox)

ELSE IF {14.011} EQ ASCII(PNG) THEN

Present(PNGSig)

ELSE IF {14.011} EQ ASCII(WSQ20) THEN

Present(SOI-WSQ)

t-11 Y B-O

RT14.32 -

Field: 

14.012-Bits 

Per Pixel 

Value

8.14.12,

Table 71,

7.7.8.6

This field shall contain an entry of “8” for 

normal grayscale values of “0” to “255”. 

Any entry in this field greater than “8”

shall represent a grayscale pixel with 

increased proportion.

1 M 14.012-

Value

<See Requirement ID “Field: Image BPX Value” > t-2

RT14.33 -

Field: 

14.012- Bits 

Per Pixel 

Metadata

8.14.12,

Table 71

<The BPX is verified by checking the 

image metadata for the compression type 

signature if compression is used.>

2 M 14.012-

Matches 

Image 

Metadata

IF {14.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

{14.012} EQ {BPX-JPEG, JPEGL}

ELSE IF {14.011} EQ ASCII(JP2) OR ASCII(JP2L)

THEN

{14.012} EQ {BPX-JP2,JP2L}

ELSE IF {14.011} EQ ASCII(PNG)

THEN 

{14.012} EQ {BPX-PNG}

ELSE

<Provide Warning “Not Tested”>

t-11 Y B-O

RT14.34 -

Field: 

14.013-

8.14.13,

Table 71,

7.7.4.2,

See Section 7.7.4.2 for details. 1 M 14.013-

FGP-Value

{InfoItem: 1 in Subfield: 1 in 14.013} MO [0 to 19, 

33, 36, 40 to 50] AND MO [Integers]

Y B-I <Allows 

255>
194

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

Friction 

Ridge 

Generalized 

Position 

Value

Table 8

RT14.35 -

Field: 

14.014-Print 

Position 

Descriptors 

Value

8.14.14,

Table 71,

7.7.4.3

...described in Section 7.7.4.3 - D 14.014-

[DFP, FIC]-

Value

<See Requirement ID: “Field: SPD,PPD Values”> t-2

RT14.36 -

Field: 

14.014- Print 

Position 

Descriptors 

Conditional

8.14.14,

Table 71

This field shall be present if and only if the 

finger position code “19” appears in Field

14.013: Friction ridge generalized position 

/ FGP.

- D 14.014-

Conditional

<See Requirement ID: “Field: PPD Conditional”> t-2

RT14.37 -

Field: 

14.015-Print 

Position 

Coordinates 

Value

8.14.15,

Table 71,

7.7.4.4

See section 7.7.4.4 - D 14.015-

[FVC, LOS, 

LHC, RHC, 

TVC, BVC]-

Value

<See Requirement IDs: “Field: PPC-Subfield 1”

through

“Field: PPC-SubfieldCount 5,6”.>

t-2

RT14.38 -

Field: 

14.015- Print 

Position 

Coordinates 

Conditional

8.14.15,

Table 71

This field may be present if and only if the 

finger position code “19” appears in Field

14.013: Friction ridge generalized position 

/ FGP.

- D 14.015-

Conditional

<See Requirement ID: “Field: SPD,PPC 

Conditional”>

t-2

RT14.39 -

Field: 

14.016-

Scanned 

Horizontal 

Pixel Scale 

Value

8.14.16,

Table 71,

7.7.8.7

See section 7.7.8 for details. - O 14.016-

Value

<See Requirement IDs: “Field: Image SHPS 

Value”>

t-2

RT14.40 - 8.14.17, See section 7.7.8 for details. - O 14.017- <See Requirement IDs: “Field: Image SVPS t-2
195

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

Field: 

14.017-

Scanned 

Vertical 

Pixel Scale 

Value

Table 71,

7.7.8.8

Value Value”>

RT14.41 -

Field: 

14.018-

Amputated 

Or 

Bandaged 

Value

8.14.18,

Table 71,

Table 72

<Table 71 lists the value constraints for 

AMP.>

1 M

⇑

14.018-

FRAP-Value

ForEach(Subfield in 14.018)

{

{InfoItem:1 in Subfield} MO [1 to 10, 16,17]

}

Y B*-I <Allows 

0 to 19, 33, 

36, 40 to 

50, 255>

1 M

⇑

14.018-

ABC-Value

ForEach(Subfield in 14.018)

{

{InfoItem:2 in Subfield} MO [ASCII( XX,UP)]

}

Y B*-I <Allows 

whitespace

>

RT14.42 -

Field: 

14.019-

Reserved

Table 71 Reserved for future use only by 

ANSI/NIST-ITL.

- - 14.019-

Reserved

<See Requirement ID: “Field: Type14-

CondCode>.

t-2

RT14.43 -

Field: 

14.020-

Comment 

Value

8.14.19,

Table 71,

7.4.4

See section 7.4.4 for details. - O 14.020-

Value

<See Requirement ID: “Field: Comment>. t-2

RT14.44 -

Field: 

14.021-

Fingerprint 

Segment 

Position 

Value

8.14.20,

Table 71,

Table 8

<Table 71 lists the value constraints for 

SEG.>

1 M

⇑

14.021-

FRSP-Value

ForEach(Subfield in 14.021)

{

{InfoItem:1 in Subfield} MO [1 to 10, 16,17] 

}

Y B*-I <Allows 

0 to 19, 33, 

36, 40 to 

50, 255>

1 M

⇑

14.021-

[LHC,RHC,B

VC,TVC]-

Value

Foreach(Subfield in 14.021)

{

{All(InfoItems in Subfield)} MO [0 to 99999] 

}

Y B-O

2 M

⇑

Type14-

14.021-

LHCValueDepe

ndent

IF Present(14.006) THEN

ForEach(Subfield in 14.021)

{

{InfoItem:2 in Subfield} GTE 0 AND LTE {14.006} 

AND MO [Integers]

}

NA T
196

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

2 M

⇑

NIEMType14-

14.021-

LHCValueDepe

ndent

IF 

Present(XElm(ImageHorizontalLineLengthPixelQu

antity) THEN

ForEach(XElm(FingerprintImageSegmentPosition

Square))

{

{XElm(SegmentLeftHorizontalCoordinateValue)} 

GTE 0 AND LTE 

{XElm(ImageHorizontalLineLengthPixelQuantity)} 

AND MO [Integers]

}

Y X-O

2 M

⇑

Type14-

14.021-

RHCValueDepe

ndent

IF Present(14.006) THEN

ForEach(Subfield in 14.021)

{

{InfoItem:3 in Subfield} LTE {14.006} AND GT 

{InfoItem:2 in Subfield} MO [Integers]

}

NA T

2 M

⇑

NIEMType14-

14.021-

RHCValueDepe

ndent

IF 

Present(XElm(ImageHorizontalLineLengthPixelQu

antity) THEN

ForEach(XElm(FingerprintImageSegmentPosition

Square))

{{ 

XElm(SegmentRightHorizontalCoordinateValue)} 

} LTE 

{XElm(ImageHorizontalLineLengthPixelQuantity)} 

AND GT { 

XElm(SegmentLeftHorizontalCoordinateValue)} } 

MO [Integers]

}

Y X-O

2 M

⇑

Type14-

14.021-

TVCValueDepe

ndent

IF Present(14.007) THEN

ForEach(Subfield in 14.021)

{

{InfoItem:4 in Subfield} GTE 0 AND LTE {14.007} 

AND MO [Integers]

}

NA T

2 M NIEM- IF Y X-O
197

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

⇑ Type14-

14.021-

TVCValueDepe

ndent

Present(XElm(ImageVerticalLineLengthPixelQuan

tity) THEN

ForEach(XElm(FingerprintImageSegmentPosition

Square))

{XElm(SegmentTopVerticalCoordinateValue)} 

GTE 0 AND LTE { 

XElm(ImageVerticalLineLengthPixelQuantity)} 

AND MO [Integers]

}

2 M

⇑

Type14-

14.021-

BVCValueDepe

ndent

IF Present(14.007) THEN

ForEach(Subfield in 14.021)

{

{InfoItem:5 in Subfield} LTE {14.007} AND GT 

{InfoItem:4 in Subfield} MO [Integers]

}

NA T

2 M

⇑

NIEMType14-

14.021-

BVC-Value

IF 

Present(XElm(ImageVerticalLineLengthPixelQuan

tity) THEN

ForEach(XElm(FingerprintImageSegmentPosition

Square))

{SegmentBottomVerticalCoordinateValue} LTE {

XElm(ImageVerticalLineLengthPixelQuantity } 

AND GT {

XElm(SegmentTopVerticalCoordinateValue)} } 

MO [Integers]

}

X-O

RT14.45 -

Field: 

14.021-

Fingerprint 

Segment 

Position 

Conditional

8.14.20,

Table 71

This optional field shall contain offsets to 

the locations of image segments 

containing the individual fingers within 

the flat images of simultaneous fingers 

from each hand or the two simultaneous 

thumbs. (FGP = 13, 14, 15 or 40-50 from 

Table 8 as entered in Field 14.013:

Friction ridge generalized position / FGP).

- D 14.021-

Conditional

<See Requirement ID: “Field: 14.021-Finger 

Segment Position Dependent”>

t-2

RT14.46 -

Field: 

14.022-NIST 

8.14.21,

Table 71,

Table 86

<Table 71 lists the value constraints for 

NQM.>

1 M

⇑

14.022-

FRNP-Value

ForEach(Subfield in 14.022)

{

{InfoItem:1 in Subfield} MO [1 to 10, 16,17]

Y B*-I <Allows 

0 to 19, 33, 

36, 40 to 
198

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

Quality 

Metric 

Value

} 50, 255>

1 M

⇑

14.022-IQSValueForEach(Subfield in 14.022)

{

{InfoItem:2 in Subfield} MO [1 to 5, 254, 255] MO 

[Integers]

}

Y B*-O

RT14.47 -

Field: 

14.023-

Segmentatio

n Qualtiy 

Metric 

Value

8.14.22,

Table 71,

Table 68

<Table 71 lists the value constraints for 

SQM.>

- M

⇑

14.023-

[FRQP, 

QVU, QAV, 

QAP]-Value

<See Requirement ID: “Field: Sample Quality 

Occurrences”, “Field: Sample Quality Subfield 1”, 

“Field: Sample Quality Subfield 2”, and “Field: 

Sample Quality Subfield 3”.>

t-2

RT14.48 -

Field: 

14.024-

Finger 

Quality 

Metric 

Value

8.14.23,

Table 71,

Table 8

<Table 71 lists the value constraints for 

FQM.>

- O 14.024-

[FRMP, 

QVU, QAV, 

QAP]-Value

<See Requirement ID: “Field: Sample Quality 

Occurrences”, “Field: Sample Quality Subfield 1”, 

“Field: Sample Quality Subfield 2”, and “Field: 

Sample Quality Subfield 3”.>

t-2

RT14.49 -

Field: 

14.025-

Alternate 

Finger 

Segment 

Position(s) 

Value

8.14.24,

Table 71,

Table 8

<Table 71 lists the value constraints for 

ASEG.>

1 M

⇑

14.025-

FRAS-Value

ForEach(Subfield in 14.025)

{

{InfoItem:1 in Subfield} MO [1 to 10, 16, 17]

}

Y B*-I <Allows 

0 to 19, 33, 

36, 40 to 

50, 255>

1 M

⇑

14.025-

NOP-Value

ForEach(Subfield in 14.025)

{

{InfoItem:2 in Subfield} MO [3 to 99]

}

Y B*-O

1 M

⇑

14.025-

[HPO, 

VPO]-Value 

For(X EQ 3 to {InfoItem:2 in 14.025})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

}

NA T
199

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

1 M

⇑

NIEM14.025-

[HPO, 

VPO]-Value 

{XElm(PositionHorizontalCoordinateValue} GTE 0 

AND LTE 99999

AND

{XElm(PositionVerticalCoordinateValue} GTE 0 

AND LTE 99999

Y X-O

2 M

⇑

14.025-

[HPO, 

VPO]-

ValueDepe

ndent

ForEach(Subfield in 14.025)

{

For(X EQ 3 to {InfoItem:2 in Subfield})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE {14.007} 

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE {14.006} 

AND MO [Integers]

}

}

NA T

2 M

⇑

NIEM14.025-

[HPO, 

VPO]-

ValueDepe

ndent

ForEach(XElmbiom(FingerprintImageSegmentPos

itionPolygon) in 14.025)

{

{All(XElmbiom(PositionVerticalCoordinateValue)} 

GTE 0 AND LTE {14.007} MO [Integers]

AND

{All(XElmbiom(PositionHorizontalCoordinateValu

e)} GTE 0 AND LTE {14.006} MO [Integers]

}

Y B*-O

RT14.50 -

Field: 

14.025-

Alternate 

Finger 

Segment 

Position(s) 

Polygon

8.14.24,

Table 71,

Section 

7.8

No two vertices may occupy the same 

location.

2 O 14.025-

ASEGVertices 

unique

<Each Vertex (X, Y) is unique> Y B*-O

The order of the vertices shall be in their 

consecutive order around the perimeter 

of the polygon, either clockwise or 

counterclockwise.

The polygon side defined by the last 

vertex and the first vertex shall complete 

2 O 14.025-

ASEGPolygon

<Unsupported.> t-14 NA
200

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

the polygon.

The polygon shall be a simple, plane 

figure with no sides crossing and no 

interior holes.

RT14.51 -

Field: 

14.026-

Simultaneou

s Capture 

Value

8.14.25,

Table 71

<Table 71 lists the value constraints for 

SCF.>

1 O 14.026-

Value

{14.026} MO [1 to 255] MO [Integers] Y B-O

RT14.52 -

Field: 

14.027-

Stitched 

Image Flag 

Value

8.14.26,

Table 71

<Table 71 lists the value constraints for 

SCF.>

1 D 14.027-

Value

{14.027} EQ ASCII(Y) Y B-I 

<Requires 

Boolean 

values 

(true, false, 

0, 1>

RT14.53 -

Field: 

14.027-

Stitched 

Image Flag 

Conditional

8.14.26,

Table 71

This field signifies that images captured 

separately were stitched together to form 

a single image. This field is mandatory if 

an image has been stitched, and the value 

shall be set to 'Y'. Otherwise, this field 

shall not appear in the record.

- D 14.027-

Conditional <See Requirement ID: “Field: 14.027-Stitched 

Image Flag Dependent”>

t-2

RT14.54 -

Field: 

14.028, 

14.029-

Reserved

Table 71 Reserved for future useonly by 

ANSI/NIST-ITL.

- - 14.028, 

14.029 

Reserved

<See Requirement ID: “Field: Type14-

CondCode>.

t-2

RT14.55 -

Field: 

14.030-

Device 

Monitoring 

Mode Value

8.14.27,

Table 71

<Table 71 lists the value constraints for 

DMM.>

1 O 14.030-

Value

{14.030} MO ASCII(CONTROLLED, ASSISTED, 

OBSERVED, UNATTENDED, UNKNOWN)

Y B-I <Allows 

whitespace

>

RT14.56 -

Field: 

14.031-

Subject 

8.14.28,

Table 71

<Table 71 lists the value constraints for 

FAP.>

1 O 14.031-

Value

{14.031} MO [10, 20, 30, 40, 45, 50, 60] MO 

[Integers]

Y B-I <Allows 

whitespace, 

plus sign, 

leading 
201

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

Acquisition 

ProfileFingerprint 

Value

zeros>

RT14.57 -

Field: 14.032 

to 14.199-

Reserved

Table 71 Reserved for future useonly by 

ANSI/NIST-ITL.

- - 14.032 to 

14.199 

Reserved

<See Requirement ID: “Field: Type14-

CondCode>.

t-2

RT14.58 -

Field: 14.200 

to 14.900-

User 

Defined

Table 71 User Defined Fields - - 14.200 to 

14.900-

User 

Defined

TRUE Y B-C

RT14.59 -

Field: 

14.901-

Reserved

Table 71 Reserved for future useonly by 

ANSI/NIST-ITL.

- - 14.901-

Reserved

<See Requirement ID: “Field: Type14-

CondCode>.

t-2

RT14.60 -

Field: 

14.902-

Annotated 

Information 

Value

8.14.30,

Table 71

This is an optional field, listing the 

operations performed on the original 

source in order to prepare it for inclusion 

in a biometric record type. See Section 

7.4.1.

- O 14.902-

[GMT, NAV, 

OWN, 

PRO]-Value

<See Requirement ID: “Field: xx.902-ANN” >. t-2

RT14.61 -

Field: 

14.903-

Device 

Unique 

Identifier 

Value

8.14.31,

Table 71

This is an optional field. See Section 

7.7.1.1.

- O 14.903-

DUI-Value

<See Requirement ID: “Field: Device ID” >. t-2

RT14.62 -

Field: 

14.904-

Make/Mode

l/Serial 

Number 

Value

8.14.32,

Table 71

This is an optional field. See Section 

7.7.1.2.

- O 14.904-

[MAK, 

MOD, SER]-

Value

<See Requirement ID: “Field: Make Model” >. t-2
202

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

RT14.63 -

Field: 14.905 

to 14.992-

Reserved

Table 71 Reserved for future useonly by 

ANSI/NIST-ITL.

- - 14.905 to 

14.992-

Reserved

<See Requirement ID: “Field: Type14-

CondCode>.

t-2

RT14.64 -

Field: 

14.993-

Source 

Agency 

Name

8.14.33,

Table 71

This is an optional field. It may contain up 

to 125 Unicode characters. 

- O 14.993-

SAN-Value

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

RT14.65 -

Field: 

14.994-

Reserved

Table 71 Reserved for future use only by 

ANSI/NIST-ITL.

- - 14.994-

Reserved

<See Requirement ID: “Field: Type14-

CondCode>.

t-2

RT14.66 -

Field: 

14.995-

Associated 

Context 

Value

8.14.34,

Table 71

See Section 7.3.3 - O 14.995-

[ACN, ASP]-

Value

<See Requirement IDs: “Field: xx.995-ASC” and 

“Field: xx.995-ASC-ACN” and

“Field: xx.995-ASC-ASP”>.

t-2

RT14.67 -

Field: 

14.996-

Hash Value

8.14.35,

Table 71

See Section 7.5.2 - O 14.996-

Value

<See Requirement ID: “Field: HAS”> t-2

RT14.68 -

Field: 

14.997-

Source 

Representati

on Value

8.14.36,

Table 71

See Section 7.3.2 - O 14.997-

[SRN, RSP]-

Value

<See Requirement IDs: “Field: xx.997-SOR” and 

“Field: xx.997-SOR-SRN” and

“Field: xx.997-SOR-RSP”>.

t-2

RT14.69 -

Field: 

14.998-

Geographic 

Sample 

Acquisition 

Location 

8.14.37,

Table 71

See Section 7.7.3 - O 14.998-

[UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

<See Requirement IDs: “Field: Geographic”, 

“Field: Geographic”, “Field: Geographic-Subfield 

1” through “Field: Geographic-Values-SubField 

15” >.

t-2
203

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

Value GCN, GRT, 

OSI, OCV]-

Value

RT14.70 -

Field: 

14.999-

Image Data 

Valid

8.14.38, 

Table 71

This is a mandatory field contains the 

image.

<The image metadata is checked for 

validity.>

2 M 14.999-

Uncompres

sed Image 

Length

IF {14.011} EQ ASCII(NONE) THEN IF 

Present(14.999, 14.006, 14.007) THEN

Length(14.999) EQ {14.006} * {14.007}

Y B

2 M 14.999-

Valid Image 

Format

IF Present(SOI-JPEGB,JPEGL)

THEN

Present(JFIF, 

SOI-JPEGB,JPEGL,

SOF-JPEGB,JPEGL,

EOI-JPEG, JPEGL)

ELSE IF Present(SigBox)

THEN

Present(SigBox, 

HeadBox, 

ImgBox, EOI-JP2,JP2L)

ELSE IF Present(PNGSig)

THEN

Present(PNGSig,

IHDR,

IDAT,

IEND)

ELSE IF Present(SOI-WSQ)

THEN

Present(SOI-WSQ,SOF-WSQ,SOB-WSQ,EOI-WSQ)

t-11 Y B-O

RT14.71 -

Field: 

14.999-

Image WSQ 

Version 2.0

7.7.9.1 Only version 3.1 or higher shall be used 

for compressing grayscale fingerprint data 

at 500 ppi class with a platen area of 2 

inches or greater in height. WSQ 2.0 or 

higher may be used for 500 ppi class data 

taken from a platen of less than 2 inches 

in height. WSQ shall not be used for 

3 M 14.999-

Valid WSQ 

Specificatio

n Version

<No known method for determining the WSQ 

specification version.>

t-16 NA B-O
204

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B* or X*)

8.14: Record Type-14: Fingerprint image record

other than the 500 ppi class.
205

6.14 Record Type-15: Palm Print Image Record

Table 6.12 - Assertions for Record Type 15 - Palm Print Image Record

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

RT15.1 -

Record: 

Type15-

Palm Print 

Image

8.15 The Type-15 record shall contain and be 

used to exchange palm print image data 

together with fixed and user-defined 

textual information fields pertinent to the 

digitized image. 

The image data shall be acquired directly 

from a subject using a live-scan device, a 

palmprint card, or other media that 

contains the subject using a live-scan 

device, a palmprint card, or other media 

that contains the subject’s palm and / or 

wrist prints.

3 M Type15-

Palm Print 

Image

<Unsupported: It is not feasible to test if the 

image represents a palm print or how the image 

was captured.>

t-1

RT15.2 -

Record: 

Type15-

Palm Print 

Area

8.15 Any method used to acquire the palm 

print images shall be capable of capturing 

a set of images for each hand. This set 

may include the writerl be capable of 

capturing a set ofand the entire area of 

the full palm extending from the wrist 

bracelet to the tips of the fingers as one 

or two scanned images. (See Figure 3)

If two images are used to represent the 

full palm, the lower image shall extend 

from the wrist bracelet to the top of the 

interdigital area (third finger joint) and 

shall include the thenar, and hypothenar 

areas of the palm. The upper image shall 

extend from the bottom of the 

interdigital area to the upper tips of the 

fingers. This provides an adequate 

amount of overlap between the two 

images.

3 M Type15-

Palm Print 

Area

<Unsupported: It is not feasible to test which 

area of the palm is represented in the image.>

t-1
206

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

RT15.3 -

Field: 

Type15-

Subfield 

Occurrence

Table 73 <Table 73 specifies which fields contain 

subfields as well as the number of 

occurrences permitted.>

1 M 15.[001 to

013, 016, 

017, 020, 

030, 903,

904, 993, 

996, 998, 

999]-

SubfieldCo

unt

Count(Subfields in 15.[001 to 013, 016, 017, 020, 

030, 903, 904, 993, 996, 998, 999]) EQ 1

NA T

1 M 15.[001 to

005, 013, 

016, 017, 

020, 030, 

903, 993, 

996, 999]-

InfoItemCo

unt

Count(InfoItems in Subfield:1 in 15.[001 to 005, 

013, 016, 017, 020, 030, 903, 993, 996, 999]) EQ 

1

NA T

1 O 15.018-

SubfieldCo

unt

Count(Subfields in 15.018) MO [1 to 9] NA T

1 O 15.018-

InfoItemCo

unt

ForEach(Subfield in 15.018)

{

Count(InfoItems in Subfield) EQ 2

}

NA T

1 O 15.024-

SubfieldCo

unt

Count(Subfields in 15.024) MO [1 to 9] NA T

1 O 15.024-

InfoItemCo

unt

ForEach(Subfield in 15.024)

{

Count(InfoItems in Subfield) EQ 4

}

NA T

1 O 15.902-

SubfieldCo

unt

Count(Subfields in 15.902) GTE 1 NA T

1 O 15.902-

InfoItemCo

unt

ForEach(Subfield in 15.902)

{

Count(InfoItems in Subfield) EQ 4

NA T
207

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

}

1 O 15.904-

InfoItemCo

unt

Count(InfoItems in 15.904) EQ 3 NA T

1 O 15.995-

SubfieldCo

unt

Count(Subfields in 15.995) MO [1 to 255] NA T

1 O 15.995-

InfoItemCo

unt

ForEach(Subfield in 15.995)

{

Count(InfoItems in Subfield) EQ 1 OR 2

}

NA T

1 O 15.997-

SubfieldCo

unt

Count(Subfields in 15.997) MO [1 to 255] NA T

1 O 15.997-

InfoItemCo

unt

ForEach(Subfield in 15.997)

{

Count(InfoItems in Subfield) EQ 1 OR 2

}

NA T

O 15.998-

Subfields

<See Requirement ID: “Field: Geographic”> t-2

RT15.4 -

Field: 

Type15-

CondCode

Table 73 <Table 73 specifies the Condition Code for 

each field.>

1 - Type15-

Mandatory

CondCode

Present(15.001 to 15.005, 15.013) NA T

1 M NIEMType15-

Mandatory

CondCode

Foreach(XElm in <AnnexG: Type-15 Table> ST 

{Min(Cardinality(XElm))} GTE 1)

{

Present(XElm)

}

Y X-I <Allows 

15.004, 

15.005 to 

be 

optional>

1 - Type15-

Reserved

NOT Present(15.014, 15.015, 15.019, 15.021 to 

15.023, 15.025 to 15.029, 15.031 to 15.199, 

15.901, 15.905 to 15.992, 15.994)

NA T

RT15.5 -

Record: 

15.006 to 

Table 73,

8.15.6 to 

8.15.12

This field is mandatory if an image is 

present in Field 15.999. Otherwise it is 

absent. 

2 D Type15-

[15.006 to 

15.012]-

Present(15.999) IFF

Present(15.006 to 15.012)

Y B-O
208

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

15.012 

Dependent

CondCode 

Dependent

RT15.6 -

Field: 

15.999-

Palmprint 

Image 

Dependent

Table 73, 

8.15.29

This field contains the palmprint image. It 

shall contain an image, unless Field 

15.018: Amputated or bandaged / AMP 

has a value or “UP”. In the latter case, the 

field is optional. 

2 D 15.999-

CondCode 

Dependent

IF {InfoItem:2 in All(Subfield in 15.018)} NEQ 

ASCII(UP) THEN

Present(15.999)

Y B-O

2 D NIEM15.999-

CondCode 

Dependent

IF {All(XElm(PalmMissingAreaReasonCode))} NEQ 

ASCII(UP) THEN

Present(XElm(BinaryBase64Object) in 

XElm(PalmprintImage))

Y X-O

RT15.7 -

Field: 

Type15-

CharType

8.15,

Table 73

<Table 73 specifies the Character Type for 

each field that contains no subfields.>

1 - 15.[001 to 

003, 006 to 

010, 012, 

013, 016, 

017]-

CharType 

Bytes(15.[001 to 003, 006 to 010, 012, 013, 016, 

017]) MO [0x30 to 0x39]

Y B-O

1 - 15.030-

CharType 

Bytes(15.030) [0x20, 0x41 to 0x5A, 0x61 to 0x7A] Y B-I <Allows 

whitespace

>

1 - [15.004, 15.

020, 

15.993]-

CharType 

TRUE Y B-C

1 M 15.005-

CharType 

Bytes(15.005) MO [0x30 to 0x39] NA T

1 M NIEM15.005-

CharType 

Bytes(15.005) MO [0x30 to 0x39, 0x2D] Y X-I <Allows 

whitespace, 

plus sign>

1 M 15.011-

CharType 

Bytes(15.011) MO [0x30 to 0x39, 0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

Y B-O

1 O 15.903-

CharType

Bytes{15.903} MO [0x20 to 0x7E] Y B-O

1 O 15.996-

CharType 

Bytes(10.996) MO [0x30 to 0x39,0x41 to 0x46, 

0x61 to 0x66]

Y B-C

1 D 15.999-

CharType

TRUE NA T

1 D NIEM- <Schema tests that the BinaryBase64Object is of Y X-C
209

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

15.999-

CharType

the correct type and length. Report that this is 

tested by the schema.>

RT15.8 -

Field: 

Type15-

Subfield

CharType

8.15,

Table 73

<Table 73 specifies the Character Type for 

each subfield.>

1 O 15.018-

FRAPCharType 

ForEach(Subfield in 15.018)

{

Bytes(InfoItem:1 in Subfield) MO [0x30 to 0x39]

}

Y B*-I <Allows 

whitespace, 

plus sign>

1 O 15.018-

ABCCharType 

ForEach(Subfield in 15.018)

{

Bytes(InfoItem:2 in Subfield)) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

}

Y B*-I <Allows 

whitespace

>

1 O 15.024-

[FRMP, 

QVU, QAP]-

CharType

ForEach(Subfield in 15.024)

{

Bytes(InfoItem:1,2,4 in Subfield) MO [0x30 to 

0x39]

}

Y B*-O

1 O 15.024-

QAVCharType

ForEach(Subfield in 15.024)

{

Bytes(InfoItem:3 in Subfield)) MO [0x30 to 

0x39,0x41 to 0x46, 0x61 to 0x66]

}

Y B*-O

1 O 15.902-

[NAV, 

OWN, 

PRO]-

CharType 

TRUE Y B-C

1 O 15.902-

GMTCharType 

ForEach(Subfield in 15.902)

{

Bytes(InfoItem:1 in Subfield) MO [0x30 to 

0x39,0x5A]

}

NA T

1 O NIEM15.902-

GMTCharType 

Bytes(XElm(biom:ProcessUTCDate) in 15.902) 

MO [0x30 to 0x39, 0x2D, 0x3A, 0x54, 0x5A]

Y X-I <Allows 

whitespace, 

plus and 

negative 

sign>

1 O 15.904- TRUE Y B*-C
210

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

[MAK, 

MOD, SER]-

CharType 

1 O 15.995-

[ACN, ASP]-

CharType 

Bytes(All(InfoItem:1,2 in 15.995)) MO [0x30 to 

0x39]

Y B*-O

1 O 15.997-

[SRN, RSP]-

CharType 

Bytes(All(InfoItem:1,2 in 15.997)) MO [0x30 to 

0x39]

Y B*-O

O 15.998-[

UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

CharType 

<See Requirement ID: “Field: Geographic”> t-2

RT15.9 -

Field: 

Type15-

CharCount

Table 73 <Table 73 specifies the Character Count 

for each field that contains no subfields.>

1 M 15.001-

CharCount

DataLength(15.001) MO [1 to 8] NA T

1 M NIEM15.001-

CharCount

Length(15.001) EQ 2 Y X-O

1 M 15.002-

CharCount

DataLength(15.002) EQ 1 OR 2 Y B-O

1 M 15.003-

CharCount

DataLength(15.003) EQ 2 Y B-O

1 M 15.004-

CharCount

<See Requirement ID: “Field: Source Agency”.> t-2

1 M 15.005-

CharCount

DataLength(15.005) EQ 8 NA T

1 M NIEM15.005-

CharCount

DataLength(15.005) EQ 10 Y X-O

1 M 15.006- DataLength(15.006) MO [2 to 5] Y B-O
211

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

CharCount

1 M 15.007-

CharCount

DataLength(15.007) MO [2 to 5] Y B-O

1 M 15.008-

CharCount

DataLength(15.008) EQ 1 Y B-O

1 M 15.009-

CharCount

DataLength(15.009) MO [1 to 5] Y B-O

1 M 15.010-

CharCount

DataLength(15.010) MO [1 to 5] Y B-O

1 M 15.011-

CharCount

DataLength(15.011) MO [3 to 5] Y B-O

1 M 15.012-

CharCount

DataLength(15.012) EQ 1 OR 2 Y B-O

1 M 15.013-

CharCount

DataLength(15.013) EQ 2 Y B-O

1 O 15.016-

CharCount

DataLength(15.016) MO [1 to 5] Y B-O

1 O 15.017-

CharCount

DataLength(15.017) MO [1 to 5] Y B-O

1 O 15.020-

CharCount

DataLength(15.020) MO [1 to 126] Y B-O

1 O 15.030-

CharCount

DataLength(15.030) MO [7to 10] Y B-O

1 O 15.903-

CharCount

DataLength(15.903) MO [13 to 16] Y B-O

1 O 15.993-

CharCount

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

1 O 15.996-

CharCount

DataLength(15.995) EQ 64 Y B-C

1 M 15.999-

CharCount

DataLength(15.999) GTE 1 Y B-O

RT15.10 -

Field: 

Type15-

Table 73 <Table 73 specifies the Character Count 

for each subfield.>

1 O 15.018-

FRAPCharCount

ForEach(Subfield in 15.018)

{

Length(InfoItem:1 in Subfield) EQ 1 OR 2

Y B*-O
212

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

Subfield 

CharCount

}

1 O 15.018-

ABCCharCount

ForEach(Subfield in 15.018)

{

Length(InfoItem:2 in Subfield) EQ 2

}

Y B*-O

1 O 15.024-

FRMPCharCount

ForEach(Subfield in 15.024)

{

Length(InfoItem:1 in Subfield)) EQ 1 OR 2

}

Y B*-O

1 O 15.024-

QVUCharCount

ForEach(Subfield in 15.024)

{

Length(InfoItem:2 in Subfield)) MO [1 to 3]

}

Y B*-O

1 O 15.024-

QAVCharCount

ForEach(Subfield in 15.024)

{

Length(InfoItem:3 in Subfield)) EQ 4

}

Y B*-O

1 O 15.024-

QAPCharCount

ForEach(Subfield in 15.024)

{

Length(InfoItem:4 in Subfield)) MO [1 to 5]

}

Y B*-O

1 O 15.902-

GMTCharCount

ForEach(Subfield in 15.902)

{

Length(InfoItem:1 in Subfield) EQ 15

}

NA T

1 O 15.902-

[NAV, 

OWN]-

CharCount

ForEach(Subfield in 15.902)

{

Length(InfoItem:2,3 in Subfield) MO [1 to 64]

}

Y B*-O

1 O 15.902-

PROCharCount

ForEach(Subfield in 15.902)

{

Length(InfoItem:4 in Subfield)) MO [1 to 255]

Y B*-O
213

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

}

1 O NIEM15.902-

GMTCharCount

Length(XElm(nc:DateTime) in 15.902) EQ 20 Y X*-O

1 O 15.904-

[MAK, 

MOD, SER]-

CharCount

Length(All(InfoItems in 15.904)) MO [1 to 50] Y B*-O

1 O 15.995-

ACNCharCount

ForEach(Subfield in 15.995)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

Y B*-O

1 O 15.995-

ASPCharCount

ForEach(Subfield in 15.995)

{

Length(InfoItem:2 in Subfield) EQ 1 OR 2

}

Y B*-O

1 O 15.997-

SRNCharCount

ForEach(Subfield in 15.997)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

Y B*-O

1 O 15.997-

RSPCharCount

ForEach(Subfield in 15.997)

{

Length(InfoItem:2 in Subfield) EQ 1 OR 2

}

Y B*-O

O 15.998-[ 

UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS,

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

CharCount

<See Requirement ID: “Field: Geographic”> t-2

RT15.11 -

Field: 

Table 73 <Table 73 specifies the Field Occurrence 

for each field.>

2 M NIEMType15-<The Type-15 table in Annex G of the base 

standard specifies the type and number of sub 

Y X-C
214

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

Type15-Field 

Occurrence

Cardinality elements required for each field.>

1 - Type15-

FieldOccurr

ences

Count(15.[014, 015, 019, 021 to 023, 025 to 029, 

031 to 199,901,905 to 992, 994]) EQ 0

AND

Count(15.[001 to 005, 013]) EQ 1

AND

Count(15.[006 to 012, 016, 017, 018, 020, 024, 

030, 902 to 904, 993, 995 to 999]) LTE 1

NA T

RT15.12 -

Field: 

15.001-

Record 

Header 

Value

8.15.1,

Table 73,

7.1

Field 15.001 Record header. In Traditional 

encoding, this field contains the record 

length in bytes (including all information 

separators)

M 15.001-

Record 

Header

<See Requirement ID “Field: xx.001-Record 

Header”>

t-2

8.15.1,

C.10.13

The XML name for the Type-15 record is 

<itl:PackagePalmpprintImageRecord>, 

and its <biom:RecordCategoryCode> 

element shall

have a value of “15”.

1 M NIEM15.001-

Value

ForEach(XElm(itl:PackagePalmprintImageRecord)

{

{XElm(biom:RecordCategoryCode) EQ ASCII(15)

}

Y X-I <Allows 

leading 

zeros, 

whitespace

>

RT15.13 -

Field: 

15.002-

Information 

Designation 

Character

Value

8.15.2,

Table 73,

7.3.1

This mandatory field shall be the IDC 

assigned to this Type-15 record as listed

in the information item IDC for this record 

in Field 1.003 Transaction content/CNT. 

M 15.002-IDC <See Requirement IDs “Field: xx.002-IDC “and 

“Field: 1.003-Transaction Content Subfield 2 IDC 

Matches” >

t-2

RT15.14 -

Field: 

15.003-

Impression 

Type

Value

8.15.3,

Table 73,

7.7.4.1,

Table 7

This mandatory field shall indicate the 

manner by which the latent print was 

obtained.

See Section 7.7.4.1 for details.

<Table 73 lists the valid values for IMP.>

1 M 15.003-

Value

{15.003} MO [10, 11, 28, 29] Y B-I <Allows 

a larger 

range of 

values>

RT15.15 -

Field: 

15.004-

Source

Agency 

Value

8.15.4,

7.6

This is a mandatory field. See Section 7.6 

for details.

M 15.004-

Value

<See Requirement ID: “Field: Source Agency”.> t-2
215

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

RT15.16 -

Field: 

15.005-

Palmprint 

Capture 

Date Value

8.15.5,

7.7.2.3

This mandatory field shall contain the 

date that the fingerprint data contained 

in the record was captured.

1 M 15.005-

Value

{15.005} MO [ValidLocalDate] t-6 NA T

1 M NIEM15.005-

Value

ForEach(XElm(itl:PackagePalmprintRecord))

{

{XElm(nc:Date) in XElm(biom:CaptureDate)} MO 

[NIEM-ValidLocalDate]

}

t-6 Y X-I

<Allows 

optional 

element 

(nillable>

RT15.17 -

Field: 

15.006-

Horizontal 

Line Length 

Value

8.15.6,

Table 73,

7.7.8.1

The maximum horizontal size is limited to 

65,534 pixels in Record Types-4 and 8, 

and to 99,999 for other record types. The 

minimum value is 10 pixels.

M 15.006-

Value

<See Requirement ID “Field: Image HLL Value” > t-2

RT15.18 -

Field: 

15.006-

Horizontal 

Line Length 

Metadata

8.15.6,

Table 73,

7.7.8.1

<The HLL is verified by checking the image 

metadata if compression is used.>

2 M 15.006-

Matches 

Image 

Metadata

IF {15.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

{15.006} EQ {ImageWidth-JPEGB,JPEGL}

ELSE IF {15.011} EQ ASCII(JP2) OR ASCII(JP2L) 

THEN

{15.006} EQ {ImageWidth-JP2,JP2L}

ELSE IF {15.011} EQ ASCII(PNG) THEN

{15.006} EQ {ImageWidth-PNG}

ELSE IF {15.011} EQ ASCII(WSQ20) THEN

{15.006} EQ {ImageWidth-WSQ}

t-11 Y B-O

RT15.19 -

Field: 

15.007-

Vertical Line 

Length 

Value

8.15.7,

Table 73,

7.7.8.2

The maximum vertical size is limited to 

65,534 pixels in Record Types-4 and 8, 

and to 99,999 for other record types.

The minimum value is 10 pixels.

M 15.007-

Value

<See Requirement ID “Field: Image VLL Value” > t-2

RT15.20 -

Field: 

15.007-

Vertical Line 

Length 

Metadata

8.15.7,

Table 73,

7.7.8.2

<The VLL is verified by checking the image 

metadata if compression is used.>

2 M 15.007-

Matches 

Image 

Metadata

IF {15.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

{15.007} EQ {ImageHeight-JPEGB,JPEGL}

ELSE IF {15.011} EQ ASCII(JP2) OR ASCII(JP2L) 

THEN

{15.007} EQ {ImageHeight-JP2,JP2L}

ELSE IF {15.011} EQ ASCII(PNG) THEN

{15.007} EQ {ImageHeight-PNG}

t-11 Y B-O
216

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

ELSE IF {15.011} EQ ASCII(WSQ20) THEN

{15.007} EQ {ImageHeight-WSQ}

RT15.21 -

Field: 

15.008-Scale 

Units Value

8.15.8,

Table 73,

7.7.8.3

<Table 73 lists the value constraints for 

SLC>

M 15.008-

Value

<See Requirement ID “Field: Image SLC Value” > t-2

RT15.22 -

Field: 

15.008-

Scale Units 

Metadata

8.15.8,

Table 73,

7.7.8.3

A value of “1” shall indicate pixels per 

inch.

A value of “2” shall indicate pixels per 

centimeter. A value of “0” in this field 

indicates that no scale is provided, and 

the quotient of THPS/TVPS shall provide 

the pixel aspect ratio.

<The SLC is verified by checking the image 

metadata if compression is used.>

2 M 15.008-

Matches 

Image 

Metadata

IF {15.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN {15.008} EQ {SamplingUnits-JPEGB,JPEGL}

ELSE IF {15.011} EQ ASCII(JP2) OR ASCII(JP2L) OR 

ASCII(WSQ20) THEN 

<Provide Warning “Not Tested”>

ELSE

IF {15.011} EQ ASCII(PNG) THEN

IF {15.008} EQ 1 OR 2 THEN { SamplingUnitsPNG} EQ 1, ELSE IF {15.008} EQ 0 THEN { 

SamplingUnits-PNG} EQ 0

t-11 Y B-O

RT15.23 -

Field: 

15.009-

Transmitted 

Horizontal 

Pixel Scale 

Value

8.15.9,

Table 73,

7.7.8.4

<Table 73 lists the value constraints for 

THPS.>

M 15.009-

Value

<See Requirement ID “Field: Image THPS Value” 

>

t-2

RT15.24 -

Field: 

15.009-

Transmitted 

Horizontal 

Pixel Scale 

Metadata

8.15.9,

Table 73,

7.7.8.4

This is the integer pixel density used in 

the horizontal direction of the image if 

SLC has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the horizontal component of the 

pixel aspect ratio, up to 5 digits. 

<The THPS is verified by checking the 

image metadata if compression is used.>

2 M 15.009-

Matches 

Image 

Metadata

IF {15.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) AND 

{15.008} EQ 1 OR 2 

THEN {15.009} EQ {HorizontalDensityJPEGB,JPEGL}

ELSE IF {15.011} EQ ASCII(JP2) OR ASCII(JP2L) OR 

ASCII(WSQ20) THEN 

<Provide Warning “Not Tested”>

ELSE IF {15.011} EQ ASCII(PNG) AND {15.008} EQ 

1 

THEN {15.009} EQ {HorizontalDensity-PNG} * 

0.0254 (meters/inch), 

ELSE IF {15.011} EQ ASCII(PNG) AND {15.008} EQ 

2 

t-11, 

t-12

Y B-O
217

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

THEN {15.009} EQ {HorizontalDensity-PNG} * 

0.01 (meters/cm)

2 M 15.009-

Aspect 

Ratio 

Matches 

Image 

Metadata

IF {15.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) AND 

{15.008} NEQ 1 OR 2

THEN {15.009}/{15.010} EQ {HorizontalDensityJPEGB,JPEGL} / {VerticalDensity-JPEGB,JPEGL}

ELSE IF {15.011} EQ ASCII(JP2) OR ASCII(JP2L) OR 

ASCII(WSQ20) THEN 

<Provide Warning “Not Tested”>

ELSE IF {15.011} EQ ASCII(PNG) AND {15.008} 

NEQ 1 OR 2 

THEN {15.009}/{15.010} EQ {HorizontalDensityPNG} / {VerticalDensity-PNG}

t-11 Y B-O

RT15.25 -

Field: 

15.010-

Transmitted 

Vertical 

Pixel Scale 

Value

8.15.10,

Table 73,

7.7.8.5

<Table 73 lists the value constraints for 

TVPS.>

M 15.010-

Value

<See Requirement ID “Field: Image TVPS Value” 

>

t-2

RT15.26 -

Field: 

15.010-

Transmitted 

Vertical 

Pixel Scale 

Metadata

8.15.10,

Table 73,

7.7.8.5

This is the integer pixel density used in 

the Vertical direction of the image if SLC 

has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the Vertical component of the 

pixel aspect ratio, up to 5 digits.

<The TVPS is verified by checking the 

image metadata if compression is used.>

2 M 15.010-

Matches 

Image 

Metadata

IF {15.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) AND 

{15.008} EQ 1 OR 2 

THEN {15.010} EQ {VerticalDensity-JPEGB,JPEGL}

ELSE IF {15.011} EQ ASCII(JP2) OR ASCII(JP2L) OR 

ASCII(WSQ20) THEN 

<Provide Warning “Not Tested”>

ELSE IF {15.011} EQ ASCII(PNG) AND {15.008} EQ 

1 

THEN {15.010} EQ {VerticalDensity-PNG} * 

0.0254 (meters/inch), 

ELSE IF {15.011} EQ ASCII(PNG) AND {15.008} EQ 

2 

THEN {15.010} EQ {VerticalDensity-PNG} * 0.01 

(meters/cm)

t-11, 

t-12

Y B-O
218

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

2 M 15.010-

Aspect 

Ratio 

Matches 

Image 

Metadata

IF {15.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) AND 

{15.008} NEQ 1 OR 2

THEN {15.009}/{15.010} EQ {HorizontalDensityJPEGB,JPEGL} / {VerticalDensity-JPEGB,JPEGL}

ELSE IF {15.011} EQ ASCII(JP2) OR ASCII(JP2L) OR 

ASCII(WSQ20) THEN 

<Provide Warning “Not Tested”>

ELSE IF {15.011} EQ ASCII(PNG) AND {15.008} 

NEQ 1 OR 2

THEN {15.009}/{15.010} EQ { HorizontalDensity -

PNG} / {VerticalDensity-PNG}

t-11 Y B-O

RT15.27 -

Field: 

15.011-

Compressio

n Algorithm 

Value

8.15.11,

Table 73,

7.7.9.1

For each of these fields, the entry 

corresponds to the appropriate Label 

entry in Table 15: Field 15.011: 

Compression algorithm / CGA.

1 M 15.011-

Value

{15.011} MO [ASCII(NONE, JPEGB, JPEGL, JP2, 

JP2L, PNG, WSQ)]

Y B-O

RT15.28 -

Field: 

15.011-

Compressio

n Algorithm 

Metadata

8.15.11,

Table 73

<The CGA is verified by checking the 

image metadata for the compression type 

signature if compression is used.>

2 M 15.011-

Matches 

Image 

Metadata

IF {15.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

Present(SOI -JPEG,JPEGL)

ELSE IF {15.011} EQ ASCII(JP2) OR ASCII(JP2L) 

THEN

Present(SigBox)

ELSE IF {15.011} EQ ASCII(PNG) THEN

Present(PNGSig)

ELSE IF {15.011} EQ ASCII(WSQ20) THEN

Present(SOI-WSQ)

t-11 Y B-O

RT15.29 -

Field: 

15.012-Bits 

Per Pixel 

Value

8.15.12,

Table 73,

7.7.8.6

This field shall contain an entry of “8” for 

normal grayscale values of “0” to “255”. 

Any entry in this field greater than “8” 

shall represent a grayscale pixel with 

increased proportion.

M 15.012-

Value

<See Requirement ID “Field: Image BPX Value” > t-2

RT15.30 -

Field: 

15.012- Bits 

Per Pixel 

Metadata

8.15.12,

Table 73

<The BPX is verified by checking the 

image metadata for the compression type 

signature if compression is used.>

2 M 15.012-

Matches 

Image 

Metadata

IF {15.011} EQ ASCII(JPEGB) OR ASCII(JPEGL) 

THEN

{15.012} EQ {BPX-JPEG, JPEGL}

ELSE IF {15.011} EQ ASCII(JP2) OR ASCII(JP2L) 

THEN

t-11 Y B-O
219

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

15.012} EQ {BPX-JP2,JP2L}

ELSE IF {15.011} EQ ASCII(PNG) THEN

{15.012} EQ {BPX-PNG}

ELSE <Provide Warning “Not Tested”>

RT15.31 -

Field: 

15.013-

Friction 

Ridge 

Generalized 

Position 

Value

8.15.13,

Table 73,

7.7.4.2,

Table 6

See Section 7.7.4.2 for details. 1 M 15.013-

Value

{15.013} MO [20 to 38, 81 to 84] Y B-I <Allows 

whitespace, 

plus sign>

RT15.32 -

Field: 

15.014, 

15.015-

Reserved

Table 73 Reserved for future useonly by 

ANSI/NIST-ITL.

- 15.014, 

15.015 

Reserved

<See Requirement ID: “Field: Type15-

CondCode>.

t-2

RT15.33 -

Field: 

15.016-

Scanned 

Horizontal 

Pixel Scale 

Value

8.15.14,

Table 73,

7.7.8.7

See section 7.7.8 for details. O 15.016-

SHPS Value

<See Requirement IDs: “Field: Image SHPS 

Value”>

t-2

RT15.34 -

Field: 

15.017-

Scanned 

Vertical 

Pixel Scale 

Value

8.15.15,

Table 73,

7.7.8.8

See section 7.7.8 for details. O 15.016-

Value

<See Requirement IDs: “Field: Image SVPS 

Value”>

t-2

RT15.35 -

Field: 

15.018-

Amputated 

or Bandaged 

8.15.16,

Table 8,

Table 72

The first item is ... between 21 and 38 or 

81 through 84 as chosen from Table 8. 

Table 72 is a list of allowable indicators 

for the AMPCD. 

1 M

⇑

15.018-

FRAP-Value

ForEach(Subfield in 15.018)

{

{InfoItem:1 in Subfield} MO [21 to 38, 81 to 84]

}

Y B*-I <Allows 

whitespace, 

plus sign>

1 M 15.018- ForEach(Subfield in 15.018) Y B*-I <Allows 
220

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

Value ⇑ ABC-Value {

{InfoItem:2 in Subfield} MO [ASCII( XX,UP)]

}

whitespace 

>

RT15.36 -

Field: 

15.019-

Reserved

Table 73 Reserved for future useonly by 

ANSI/NIST-ITL.

- 15.019 

Reserved

<See Requirement ID: “Field: Type15-

CondCode>.

t-2

RT15.37 -

Field: 

15.020-

Comment 

Value

8.15.16,

Table 73,

7.4.4

See section 7.4.4 for details. O 15.020-

Value

<See Requirement ID: “Field: Comment>. t-2

RT15.38 -

Field: 15.021 

to 15.023-

Reserved

Table 73 Reserved for future useonly by 

ANSI/NIST-ITL.

- 15.021 to 

15.023 

Reserved

<See Requirement ID: “Field: Type15-

CondCode>.

t-2

RT15.39 -

Field: 

15.024-Palm 

Quality 

Metric 

Value

8.15.17,

Table 73,

Table 6

<Table 73 lists the value constraints for 

PQM.>

O 15.024-

[FRMP, 

QVU, QAV, 

QAP]-Value

<See Requirement IDs: “Field: Sample Quality 

Occurrences”, to “Field: Sample Quality 

Additional Subfield”.>

t-2

RT15.40 -

Field: 15.025 

to 15.029-

Reserved

Table 73 Reserved for future useonly by 

ANSI/NIST-ITL.

- 15.025 to 

15.029 

Reserved

<See Requirement ID: “Field: Type15-

CondCode>.

t-2

RT15.41 -

Field: 

15.030-

Device 

Monitoring 

Mode Value

8.15.27,

Table 73

<Table 73 lists the value constraints for 

DMM.>

1 O 15.030-

Value

{15.030} MO ASCII(CONTROLLED, ASSISTED, 

OBSERVED, UNATTENDED, UNKNOWN)

Y B-I <Allows 

whitespace

>

RT15.42 -

Field: 15.031 

to 15.199-

Reserved

Table 73 Reserved for future useonly by 

ANSI/NIST-ITL.

- 15.031 to 

15.199 

Reserved

<See Requirement ID: “Field: Type15-

CondCode>.

t-2

RT15.43 - Table 73 User Defined Fields - 15.200 to TRUE B-C
221

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

Field: 15.200 

to 15.900-

User 

Defined

15.900-

User 

Defined

RT15.44 -

Field: 

15.901-

Reserved

Table 73 Reserved for future useonly by 

ANSI/NIST-ITL.

- 15.901-

Reserved

<See Requirement ID: “Field: Type15-

CondCode>.

t-2

RT15.45 -

Field:

15.902-

Annotated 

Information 

Value

8.15.20,

Table 73

This is an optional field, listing the 

operations performed on the original 

source in order to prepare it for inclusion 

in a biometric record type. See Section 

7.4.1.

O 15.902-

[GMT, NAV, 

OWN, 

PRO]-Value

<See Requirement ID: “Field: xx.902-ANN” >. t-2

RT15.46 -

Field: 

15.903-

Device 

Unique 

Identifier 

Value

8.15.31,

Table 73

This is an optional field. See Section 

7.7.1.1.

O 15.903-

DUI-Value

<See Requirement ID: “Field: Device ID” >. t-2

RT15.47 -

Field: 

15.904-

Make/Mode

l/Serial 

Number 

Value

8.15.32,

Table 73

This is an optional field. See Section 

7.7.1.2.

O 15.904-

[MAK, 

MOD, SER]-

Value

<See Requirement ID: “Field: Make Model” >. t-2

RT15.48 -

Field: 15.905

to 15.992-

Reserved

Table 73 Reserved for future useonly by 

ANSI/NIST-ITL.

- 15.905, 

15.992-

Reserved

<See Requirement ID: “Field: Type15-

CondCode>.

t-2

RT15.49 -

Field: 

15.993-

Source 

Agency 

8.15.24,

Table 73

This is an optional field. It may contain up 

to 125 Unicode characters. 

O 15.993-

SAN-Value

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2
222

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

Name

RT15.50 -

Field: 

15.994-

Reserved

Table 73 Reserved for future use only by 

ANSI/NIST-ITL.

- 15.994-

Reserved

<See Requirement ID: “Field: Type15-

CondCode>.

t-2

RT15.51 -

Field: 

15.995-

Associated 

Context 

Value

8.15.33,

Table 73

See Section 7.3.3 O 15.995-

[ACN, ASP]-

Value

<See Requirement IDs: “Field: xx.995-ASC” and 

“Field: xx.995-ASC-ACN” and

“Field: xx.995-ASC-ASP”>.

t-2

RT15.52 -

Field: 

15.996-

Hash Value

8.15.34,

Table 73

See Section 7.5.2 O 15.996-

Value

<See Requirement ID: “Field: HAS”> t-2

RT15.53 -

Field: 

15.997-

Source 

Representati

on Value

8.15.35,

Table 73

See Section 7.3.2 O 15.997-

[SRN, RSP]-

Value

<See Requirement IDs: “Field: xx.997-SOR” and 

“Field: xx.997-SOR-SRN” and

“Field: xx.997-SOR-RSP”>.

t-2

RT15.54 -

Field: 

15.998-

Geographic 

Sample 

Acquisition 

Location 

Value

8.15.36,

Table 73

See Section 7.7.3 O 15.998-[ 

UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV ]-

Value

<See Requirement IDs: “Field: Geographic”, 

“Field: Geographic”, “Field: Geographic-Subfield 

1” through “Field: Geographic-Values-SubField 

15” >.

t-2

RT15.55 -

Field: 

15.999-

Image Data 

Valid

8.15.37, 

Table 73

This field contains the palmprint image.

<The image metadata is checked for 

validity.>

2 D 15.999-

Uncompres

sed Image 

Length

IF {15.011} EQ ASCII(NONE) THEN

Length(15.999) EQ 15.006} * {15.007}

Y B-O

2 D 15.999-

Valid Image 

IF Present(SOI-JPEGB,JPEGL)

THEN

t-11 Y B-O
223

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.15: Record Type-15: Palm print image record

Format Present(JFIF, 

SOI-JPEGB,JPEGL,

SOF-JPEGB,JPEGL,

EOI-JPEG, JPEGL)

ELSE IF Present(SigBox)

THEN

Present(SigBox, 

HeadBox, 

ImgBox, EOI-JP2,JP2L)

ELSE IF Present(PNGSig)

THEN

Present(PNGSig,

IHDR,

IDAT,

IEND)

ELSE IF Present(SOI-WSQ)

THEN

Present(SOI-WSQ,SOF-WSQ,SOB-WSQ,EOI-WSQ)

RT15.56 -

Field: 

15.999-

Image WSQ 

Version 3.1

7.7.9.1 Only version 3.1 or higher shall be used 

for compressing grayscale fingerprint data 

at 500 ppi class with a platen area of 2 

inches or greater in height. WSQ 2.0 or 

higher may be used for 500 ppi class data 

taken from a platen of less than 2 inches 

in height. WSQ shall not be used for 

other than the 500 ppi class.

3 D 15.999-

Valid WSQ 

Specificatio

n Version

<No known method for determining the WSQ 

specification version.>

t-16 NA B-O
224

6.15 Record Type-17: Iris Image Record

Table 6.13 - Assertions for Record Type 17 - Iris Image Record

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

RT17.1 -

Field: 

Type17-

Subfield 

Occurrence

Table 75 <Table 75 specifies which fields contain 

subfields as well as the number of 

occurrences permitted.>

1 M 17.[001 to

017, 019 to 

023, 025 to 

028, 030 to 

036, 040, 

041, 993, 

996, 998, 

999]-

SubfieldCo

unt

Count(Subfields in 17.[001 to 017, 019 to 023, 

025 to 028, 030 to 036, 040, 041, 993, 

996,998,999]) EQ 1

NA T

1 M 17.[001 to

005, 015, 

017, 019 to 

023, 025 to 

028, 030 to 

032, 040, 

041, 993, 

996]-

InfoItemCo

unt

Count(InfoItems in Subfield:1 in 17.[001 to 015, 

017, 019 to 023, 025 to 028, 030 to 032, 040, 

041, 993, 996]) EQ 1

NA T

1 O 17.016-

InfoItemCo

unt

Count(InfoItems in 17.016) EQ 3 NA T

1 O 17.019-

InfoItemCo

unt

Count(InfoItems in 17.019) EQ 3 NA T

1 O 17.024-

SubfieldCo

unt

Count(Subfields in 17.024) MO [1 to 9] NA T

1 O 17.024- ForEach(Subfield in 17.024) NA T
225

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

InfoItemCo

unt

{

Count(InfoItems in Subfield) EQ 3

}

1 O 17.027-

InfoItemCo

unt

Count(InfoItems in 17.027) EQ 2 NA T

2 O 17.033-

InfoItemCo

unt

Count(InfoItems in 17.033) EQ 2 + 2*{InfoItem:2 

in 17.033}

NA T

2 O 17.034-

InfoItemCo

unt

Count(InfoItems in 17.034) EQ 2 + 2*{InfoItem:2 

in 17.034}

NA T

2 O 17.035-

InfoItemCo

unt

Count(InfoItems in 17.035) EQ 2 + 2*{ InfoItem:2 

in 17.035}

NA T

2 O 17.036-

InfoItemCo

unt

Count(InfoItems in 17.036) EQ 2 + 2*{ InfoItem:2 

in 17.036}

NA T

2 O 17.037-

SubfieldCo

unt

Count(Subfields in 17.037) GTE 1 NA T

2 O 17.037-

InfoItemCo

unt

Foreach(Subfield in 17.037)

{

Count(InfoItems in Subfield) EQ 3 + 

2*{InfoItem:3 in Subfield)}

}

NA T

1 O 17.902-

SubfieldCo

unt

Count(Subfields in 17.902) GTE 1 NA T

1 O 17.902-

InfoItemCo

unt

ForEach(Subfield in 17.902)

{

Count(InfoItems in Subfield) EQ 4

}

NA T

1 O 17.995-

SubfieldCo

unt

Count(Subfields in 17.995) MO [1 to 255] NA T
226

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

1 O 17.995-

InfoItemCo

unt

ForEach(Subfield in 17.995)

{

Count(InfoItems in Subfield) EQ 1 OR 2

}

NA T

1 O 17.997-

SubfieldCo

unt

Count(Subfields in 17.997) MO [1 to 255] NA T

1 O 17.997-

InfoItemCo

unt

ForEach(Subfield in 17.997)

{

Count(InfoItems in Subfield) EQ 1 OR 2

}

NA T

O 17.998-

Subfields

<See Requirement ID: “Field: Geographic”> t-2

RT17.2 -

Field: 

Type17-

CondCode

Table 75 <Table 75 specifies the Condition Code for 

each field.>

1 - Type17-

Mandatory

CondCode

Present(17.001 to 17.005) NA T

1 M NIEMType17-

Mandatory

CondCode

Foreach(XElm in <AnnexG: Table-17 Table> ST 

{Min(Cardinality(XElm))} GTE 1)

{

Present(XElm)

}

Y X-I <Allows 

17.004 and 

17.005 to 

be 

optional>

1 - Type17-

Reserved

NOT Present(17.018, 17.029, 17.038, 17.039, 

17.042 to 17.199, 17.901, 17.903 to 17.992, 

17.994)

NA T

RT17.3 -

Record: 

17.006 to 

17.012 

Dependent

Table 75,

8.17.6 to 

8.17.12

This field is mandatory if an image is 

present in Field 17.999. Otherwise it is 

absent. 

2 D Type17-

[17.006 to 

17.012]-

CondCode 

Dependent

Present(17.999) IFF

Present(17.006 to 17.012)

Y B-O

RT17.4 -

Field: 

17.015-

Rotation 

Uncertainty 

Dependent

Table 75,

8.17.15

This field is mandatory if Field 17.014: 

Rotation angle of eye / RAE is present.

2 D Type17-

17.015-

CondCode 

Dependent

IF Present(17.014) THEN Present(17.015) Y B-O
227

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

RT17.5 -

Field: 

17.027-

Specified 

Spectrum 

Dependent

Table 75,

8.17.26

This field shall only be present if Field 

17.025: Effective acquisition spectrum / 

EAS has a value of ‘DEFINED’. 

2 D Type17-

17.027-

CondCode 

Dependent

IF Present(17.027) THEN

IF Present(17.025) THEN {17.025} EQ 

ASCII(DEFINED)

NA T

2 D NIEMType17-

17.027-

CondCode 

Dependent

IF 

Present(XElm(AcquisitionLightingSpectrumLower

Measure) OR 

XElm(AcquisitionLightingSpectrumUpperMeasur

e)

THEN

IF 

Present(XElm(AcquisitionLightingSpectrumCode)

) 

THEN { XElm(AcquisitionLightingSpectrumCode) } 

EQ ASCII(DEFINED)

Y X-O

RT17.6 -

Field: 

17.999-Iris 

Image 

Dependent

Table 75, 

8.17.45

This field contains the iris image. It shall 

contain an image, unless ...Field 17.028: 

Damaged or missing eye / DME is in this 

record...in which case DATA is optional. 

2 D Type17-

17.999-

CondCode 

Dependent

IF NOT Present(17.028) THEN

Present(17.999)

Y B-O

RT17.7 -

Field: 

Type17-

CharType

8.17,

Table 75

<Table 75 specifies the Character Type for 

each field that contains no subfields.>

1 - 17.[001,00

2,003, 006

to 010, 012, 

022, 023, 

026, 031, 

032, 040, 

041]-

CharType 

Bytes(17.[001,002,003, 006 to 010, 012, 022, 

023, 026, 031, 032, 040, 041]) MO [0x30 to 0x39]

Y B-I <Allows 

whitespace, 

plus sign, 

except for 

17.002, 

which 

allows any 

string>

1 - 17.[013, 

020, 025,

028, 030]-

CharType 

Bytes(17.[013, 020, 025, 028, 030]) MO [0x20, 

0x41 to 0x5A, 0x61 to 0x7A]

Y B-I <Allows 

whitepace>

1 - 17.011-

CharType 

Bytes(17.011) [0x30 to 0x39, 0x20, 0x41 to 0x5A, 

0x61 to 0x7A]

Y B-O

1 - 17.[014, 

015]-

Bytes(17.[014, 015]) [0x30 to 0x39, 0x41 to 0x46, 

0x61 to 0x66]

Y B-O
228

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

CharType 

1 M 17.004-

CharType 

<See Requirement ID: “Field: Source Agency”.> t-2

1 M 17.005-

CharType 

Bytes(17.005) MO [0x30 to 0x39] NA T

1 M NIEM17.005-

CharType 

Bytes(17.005) MO [0x30 to 0x39, 0x2D] Y X-I <Allows 

whitespace

>

1 O 17.017-

CharType 

Bytes(17.017) MO [0x20 to 0x7E] Y B-O

1 O 17.993-

CharType 

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

1 O 17.996-

CharType 

Bytes(17.996) MO [0x30 to 0x39,0x41 to 0x46, 

0x61 to 0x66]

Y B-C

1 D 17.999-

CharType

TRUE NA T

1 D NIEM17.999-

CharType

<Schema tests that the BinaryBase64Object is of 

the correct type and length. Report that this is 

tested by the schema.>

Y X-C

RT17.8 -

Field: 

Type17-

Subfield

CharType

8.17,

Table 75

<Table 75 specifies the Character Type for 

each subfield.>

1 O 17.016–

[IHO, IVO, 

IST]-

CharType 

Bytes(All(InfoItems in 17.016)) MO [0x30 to 

0x39]

Y B*-I <Allows 

whitespace, 

plus sign>

1 O 17.019-

[MAK, 

MOD, SER]-

CharType 

TRUE Y B*-C

1 O 17.024-

[QVU, 

QAP]-

CharType

ForEach(Subfield in 17.024)

{

Bytes(InfoItem:1,3 in Subfield)) MO [0x30 to 

0x39]

}

Y B*-O

1 O 17.024-

QAVCharType

ForEach(Subfield in 17.024)

{

Bytes(InfoItem:2 in Subfield)) MO [0x30 to 

0x39,0x41 to 0x46, 0x61 to 0x66]

Y B*-O
229

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

}

1 O 17.027-

[LOW, 

HIG]-

CharType 

Bytes(All(InfoItems in 17.027)) MO [0x30 to 

0x39]

Y B*-I <Allows 

whitespace, 

plus sign>

1 M 17.033-

BYCCharType 

Bytes(InfoItem:1 in 17.033)) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]]

Y B*-I <Allows 

whitespace

>

1 M 17.033-

[NOP, HPO, 

VPO]-

CharType 

For(X EQ 2 to Count(InfoItems in 17.033))

{

Bytes(InfoItem:X in 17.033) MO [0x30 to 0x39]

}

Y B*-I <Allows 

whitespace 

>

1 O 17.034–

BYCCharType 

Bytes(InfoItem:1 in 17.034)) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]]

Y B*-I <Allows 

whitespace 

>

1 O 17.034-

[NOP, HPO, 

VPO]-

CharType 

For(X EQ 2 to Count(InfoItems in 17.034))

{

Bytes(InfoItem:X in 17.034) MO [0x30 to 0x39]

}

Y B*-I <Allows 

whitespace 

>

1 O 17.035-

BYCCharType 

Bytes(InfoItem:1 in 17.035)) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]]

Y B*-I <Allows 

whitespace 

>

1 O 17.035-

[NOP, HPO, 

VPO]-

CharType 

For(X EQ 2 to Count(InfoItems in 17.035))

{

Bytes(InfoItem:X in 17.035) MO [0x30 to 0x39]

}

Y B*-I <Allows 

whitespace 

>

1 O 17.036-

BYCCharType 

Bytes(InfoItem:1 in 17.036)) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]]

Y B*-I <Allows 

whitespace 

>

1 O 17.036-

[NOP, HPO, 

VPO]-

CharType 

For(X EQ 2 to Count(InfoItems in 17.036))

{

Bytes(InfoItem:X in 17.036) MO [0x30 to 0x39]

}

Y B*-I <Allows 

whitespace 

>
230

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

1 O 17.037-

[OCY, OCT]-

CharType 

ForEach(Subfield in 17.037)

{

Bytes(InfoItem:1,2 in Subfield)) MO [0x20, 0x41 

to 0x5A, 0x61 to 0x7A]]

}

Y B*-I <Allows 

whitespace 

>

1 O 17.037-

[NOP, HPO. 

VPO]-

CharType 

ForEach(Subfield in 17.037)

{

For(X EQ 3 to Count(InfoItems in Subfield))

{

Bytes(InfoItem:X in Subfield) MO [0x30 to 0x39]

}

}

Y B*-I <Allows 

whitespace 

>

1 O 17.902-

GMTCharType 

ForEach(Subfield in 17.902)

{

Bytes(InfoItem:1 in Subfield) MO [0x30 to 

0x39,0x5A]

}

NA T

1 O 17.902-

[NAV, 

OWN, 

PRO]-

CharType 

TRUE Y B-C

1 O NIEM17.902-

GMTCharType 

Bytes(XElm(biom:ProcessUTCDate) in 17.902) 

MO [0x30 to 0x39, 0x2D, 0x3A, 0x54, 0x5A]

Y X*-I <Allows 

whitespace, 

plus and 

negative 

sign>

1 O 17.995–

[ACN, ASP]-

CharType 

Bytes(All(InfoItem:1,2 in 17.995)) MO [0x30 to 

0x39]

Y B*-O

1 O 17.997-

[SRN, RSP]-

CharType 

Bytes(All(InfoItem:1,2 in 17.997)) MO [0x30 to 

0x39]

Y B*-O
231

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

O 17.998–

[UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV ]-

CharType 

<See Requirement ID: “Field: Geographic”> t-2

RT17.9 -

Field: 

Type17-

CharCount

Table 75 <Table 75 specifies the Character Count 

for each field that contains no subfields.>

1 M 17.001-

CharCount

DataLength(17.001) MO [1 to 8] NA T

1 M NIEM17.001-

CharCount

Length(17.001) EQ 2 Y X-O

1 M 17.002-

CharCount

DataLength(17.002) EQ 1 OR 2 Y B-O

1 M 17.003-

CharCount

DataLength(17.003) EQ 1 Y B-O

1 M 17.004-

CharCount

<See Requirement ID: “Field: Source Agency”.> t-2 Y

1 M 17.005-

CharCount

DataLength(17.005) EQ 8 Y B-O

1 M NIEM17.005-

CharCount

DataLength(17.005) EQ 10 Y X-O

1 M 17.006-

CharCount

DataLength(17.006) MO [2 to 5] Y B-O

1 M 17.007-

CharCount

DataLength(17.007) MO [2 to 5] Y B-O

1 M 17.008-

CharCount

DataLength(17.008) EQ 1 Y B-O

1 M 17.009-

CharCount

DataLength(17.009) MO [1 to 5] Y B-O

1 M 17.010-

CharCount

DataLength(17.010) MO [1 to 5] Y B-O
232

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

1 M 17.011-

CharCount

DataLength(17.011) MO [3 to 4] Y B-O

1 M 17.012-

CharCount

DataLength(17.012) EQ 1 OR 2 Y B-O

1 M 17.013-

CharCount

DataLength(17.013) MO [3 to 4] Y B-O

1 O 17.014-

CharCount

DataLength(17.014) MO [1 to 4] Y B-O

1 D 17.015-

CharCount

DataLength(17.015) MO [1 to 4] Y B-O

1 O 17.017-

CharCount

DataLength(17.017) MO [13 to 16] Y B-O

1 O 17.020-

CharCount

DataLength(17.020) EQ 3 Y B-O

1 O 17.021-

CharCount

DataLength(17.021) MO [1 to 126] Y B-O

1 O 17.022-

CharCount

DataLength(17.022) MO [1 to 5] Y B-O

1 O 17.023-

CharCount

DataLength(17.023) MO [1 to 5] Y B-O

1 O 17.025-

CharCount

DataLength(17.025) MO [3 to 9] Y B-O

1 O 17.026-

CharCount

DataLength(17.026) MO [2 to 4] Y B-O

1 O 17.028-

CharCount

DataLength(17.028) EQ 2 Y B-O

1 O 17.030-

CharCount

DataLength(17.030) MO [7 to 10] Y B-O

1 O 17.031-

CharCount

DataLength(17.031) EQ 2 Y B-O

1 O 17.032-

CharCount

DataLength(17.032) EQ 1 Y B-O

1 O 17.040-

CharCount

DataLength(17.040) MO [1 to 7] Y B-O
233

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

1 O 17.041-

CharCount

DataLength(17.041) EQ 1 OR 2 Y B-O

1 O 17.993-

CharCount

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

1 O 17.996-

CharCount

DataLength(17.995) EQ 64 Y B-C

1 M 17.999-

CharCount

DataLength(17.999) GTE 1 Y B-O

RT17.10 -

Field: 

Type17-

Subfield 

CharCount

Table 75 <Table 75 specifies the Character Count 

for each subfield.>

1 O 17.016-

[IHO, IVO, 

IST]-

CharCount

Length(All(InfoItems in 17.016)) EQ 1 Y B*-O

1 O 17.019–

[MAK, 

MOD, SER]-

CharCount

Length(All(InfoItems in 17.019)) MO [1 to 50] Y B*-O

1 O 17.024–

QVUCharCount

ForEach(Subfield in 17.024)

{

Length(InfoItem:1 in Subfield)) MO [1 to 3]

}

Y B*-O

1 O 17.024-

QAVCharCount

ForEach(Subfield in 17.024)

{

Length(InfoItem:2 in Subfield)) EQ 4

}

Y B*-O

1 O 17.024-

QAPCharCount

ForEach(Subfield in 17.024)

{

Length(InfoItem:3 in Subfield)) MO [1 to 5]

}

Y B*-O

1 O 17.027-

[LOW, 

HIG]-

CharCount

Length(All(InfoItems in 17.027)) EQ 3 OR 4 Y B*-O
234

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

1 O 17.033–

BYCCharCount

ForEach(Subfield in 17.033)

{

Length(InfoItem:1 in Subfield)) EQ 1 

}

Y B*-O

1 O 17.033-

NOPCharCount

ForEach(Subfield in 17.033)

{

Length(InfoItem:2 in Subfield)) EQ 1 OR 2 

}

Y B*-O

1 O 17.033-

[HPO, 

VPO]-

CharCount

ForEach(Subfield in 17.033)

{

ForEach(InfoItem in Subfield ST InfoItem NOT 

InfoItem:1 OR InfoItem:2 in Subfield)

{

Length(InfoItem) MO [1 to 5]

}

}

Y B*-O

1 O 17.034-

BYCCharCount

ForEach(Subfield in 17.034)

{

Length(InfoItem:1 in Subfield)) EQ 1 

}

Y B*-O

1 O 17.034-

NOPCharCount

ForEach(Subfield in 17.034)

{

Length(InfoItem:2 in Subfield)) EQ 1 OR 2 

}

Y B*-O

1 O 17.034-

[HPO, 

VPO]-

CharCount

ForEach(Subfield in 17.034)

{

ForEach(InfoItem in Subfield ST InfoItem NOT 

InfoItem:1 OR InfoItem:2 in Subfield)

{

Length(InfoItem) MO [1 to 5]

}

}

Y B*-O

1 O 17.035-

BYCCharCount

ForEach(Subfield in 17.035)

{

Length(InfoItem:1 in Subfield)) EQ 1 

}

Y B*-O

1 O 17.035- ForEach(Subfield in 17.035) Y B*-O
235

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

NOPCharCount{

Length(InfoItem:2 in Subfield)) EQ 1 OR 2 

}

1 O 17.035-

[HPO, 

VPO]-

CharCount

ForEach(Subfield in 17.035)

{

ForEach(InfoItem in Subfield ST InfoItem NOT 

InfoItem:1 OR InfoItem:2 in Subfield)

{

Length(InfoItem) MO [1 to 5]

}

}

Y B*-O

1 O 17.036-

BYCCharCount

ForEach(Subfield in 17.036)

{

Length(InfoItem:1 in Subfield)) EQ 1 

}

Y B*-O

1 O 17.036-

NOPCharCount

ForEach(Subfield in 17.036)

{

Length(InfoItem:2 in Subfield)) EQ 1 OR 2 

}

Y B*-O

1 O 17.036-

[HPO, 

VPO]-

CharCount

ForEach(Subfield in 17.036)

{

ForEach(InfoItem in Subfield ST InfoItem NOT 

InfoItem:1 OR InfoItem:2 in Subfield)

{

Length(InfoItem) MO [1 to 5]

}

}

Y B*-O

1 O 17.037-

[OCY, OCT]-

CharCount

ForEach(Subfield in 17.037)

{

Length(InfoItem:1,2 in Subfield)) EQ 1 

AND

}

Y B*-O

1 O 17.037-

NOP]-

CharCount

ForEach(Subfield in 17.037)

{

Length(InfoItem:3 in Subfield)) MO [1 to 2] 

}

Y B*-O

1 O 17.037- ForEach(Subfield in 17.037) Y B*-O
236

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

[HPO, 

VPO]-

CharCount

{

ForEach(InfoItem in Subfield ST InfoItem NOT 

InfoItem:1 OR InfoItem:2 in Subfield)

{

Length(InfoItem) MO [1 to 5]

}

}

1 O 17.902-

GMTCharCount

ForEach(Subfield in 17.902)

{

Length(InfoItem:1 in Subfield) EQ 15

}

NA T

1 O 17.902-

[NAV, 

OWN]-

CharCount

ForEach(Subfield in 17.902)

{

Length(InfoItem:2,3 in Subfield) MO [1 to 64]

}

Y B*-O

1 O 17.902-

PROCharCount

ForEach(Subfield in 17.902)

{

Length(InfoItem:4 in Subfield)) MO [1 to 255]

}

Y B*-O

1 O NIEM17.902-

Subfield 

CharCount

Length(XElm(biom:ProcessUTCDate) in 17.902) 

EQ 20

Y X*-O

1 O 17.995-

ACNCharCount

ForEach(Subfield in 17.995)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

Y B*-O

1 O 17.995-

ASPCharCount

ForEach(Subfield in 17.995)

{

Length(InfoItem:2 in Subfield) MO [1,2]

}

Y B*-O

1 O 17.997-

SRNCharCount

ForEach(Subfield in 17.997)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

Y B*-O

1 O 17.997-

RSPForEach(Subfield in 17.997){

Y B*-O
237

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

CharCount Length(InfoItem:2 in Subfield) EQ 1 OR 2

}

O 17.998-[ 

UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

CharCount

<See Requirement ID: “Field: Geographic”> t-2

RT17.11 -

Field: 

Type17-Field 

Occurrence

Table 75 <Table 75 specifies the Field Occurrence 

for each field.>

2 M NIEMType17-

Cardinality

<The Type-17 table in Annex G of the base 

standard specifies the type and number of sub 

elements required for each field.>

Y X-I 

<Allows 

17.024-QAV 

& QAP to be 

optional. 

Allows 2 ore 

more 

instances of 

biom:Image

FeatureVert

ex for 

17.035 & 

17.036, but 

Annex G 

states 

3..99> 

1 - Type17-

FieldOccurr

ences

Count(17.[018 , 029, 038, 039, 042 to 

199,901,903 to 992, 994]) EQ 0

AND

Count(17.[001 to 005]) EQ 1

AND

Count(17.[006 to 017, 019 to 028, 030 to 037, 

040, 041, 902, 993, 995 to 999]) LTE 1

NA T

RT17.12 -

Field: 

8.17.1,

Table 75,

Field 17.001 Record header. In Traditional 

encoding, this field contains the record 

M 17.001-

Record 

<See Requirement ID “Field: xx.001-Record 

Header”>

t-2
238

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

17.001-

Record 

Header 

Value

7.1 length in bytes (including all information 

separators)

Header

8.17.1,

C.10.15

The XML name for the Type-17 record is 

<itl:PackageIrisImageRecord>, and its 

<biom:RecordCategoryCode> element 

shall have a value of “17”.

1 M NIEM17.001-

Value

ForEach(XElm(itl:PackageIrisImageRecord)

{

{XElm(biom:RecordCategoryCode)} EQ ASCII(17)

}

Y X-O

RT17.13 -

Field: 

17.002-

Information 

Designation 

Character

Value

8.17.2,

Table 75,

7.3.1

This mandatory field shall contain the IDC 

assigned to this Type-17 record as listed

in the information item IDC for this record 

in Field 1.003 Transaction content/CNT. 

M 17.002-IDC <See Requirement IDs “Field: xx.002-IDC” and 

“Field: 1.003-Transaction Content Subfield 2 IDC 

Matches” >

t-2

RT17.14 -

Field: 

17.003-Eye 

Label

Value

8.17.3,

Table 75,

7.7.4.1

<Table 75 lists the valid values for ELR.> 1 M 17.003-

Value

{17.003} MO [0 to 2] Y B-I <Allows 

whitespace, 

plus sign>

RT17.15 -

Field: 

17.004-

Source 

Agency 

Value

8.17.4,

7.6

This is a mandatory field. See Section 7.6 

for details.

M 17.004-

Value

<See Requirement ID: “Field: Source Agency”.> t-2

RT17.16 -

Field: 

17.005-Iris 

Capture 

Date Value

8.17.5,

7.7.2.3

This mandatory field shall contain the 

date that the iris biometric data 

contained in the record was captured.

1 M 17.005-

Value

{17.005} MO [ValidLocalDate] t-6 NA T

1 M NIEM17.005-

Value

ForEach(XElm(itl:PackageIrisImageRecord))

{

{XElm(nc:Date) in XElm(biom:CaptureDate)} MO 

[NIEM-ValidLocalDate]

}

t-6 Y X-I

<Allows 

optional 

element 

(nillable).>

RT17.17 -

Field: 

17.006-

Horizontal 

Line Length 

8.17.6,

Table 75,

7.7.8.1

The maximum horizontal size is limited to 

65,534 pixels in Record Types-4 and 8, 

and to 99,999 for other record types. The 

minimum value is 10 pixels.

D 17.006-

Value

<See Requirement ID “Field: Image HLL Value” > t-2
239

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

Value

RT17.18 -

Field: 

17.006-

Horizontal 

Line Length 

Metadata

8.17.6,

Table 75,

7.7.8.1

<The HLL is verified by checking the image 

metadata if compression is used.>

2 D 17.006-

Matches 

Image 

Metadata

IF {17.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

{17.006} EQ {ImageWidth-JP2,JP2L}

ELSE IF {17.011} EQ ASCII(PNG) THEN

{17.006} EQ {ImageWidth-PNG}

t-11 Y B-O

RT17.19 -

Field: 

17.007-

Vertical Line 

Length 

Value

8.17.7,

Table 75,

7.7.8.2

The maximum vertical size is limited to 

65,534 pixels in Record Types-4 and 8, 

and to 99,999 for other record types.

The minimum value is 10 pixels.

D 17.007-

Value

<See Requirement ID “Field: Image VLL Value” > t-2

RT17.20 -

Field: 

17.007-

Vertical Line 

Length 

Metadata

8.17.7,

Table 75,

7.7.8.2

<The VLL is verified by checking the image 

metadata if compression is used.>

2 D 17.007-

Matches 

Image 

Metadata

IF {17.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

{17.007} EQ {ImageHeight-JP2,JP2L}

ELSE IF {17.011} EQ ASCII(PNG) THEN

{17.007} EQ {ImageHeight-PNG}

t-11 Y B-O

RT17.21 -

Field: 

17.008-Scale 

Units Value

8.17.8,

Table 75,

7.7.8.3

<Table 75 lists the value constraints for 

SLC>

D 17.008-

Value

<See Requirement ID “Field: Image SLC Value” > t-2

RT17.22 -

Field: 

17.008-

Scale Units 

Metadata

8.17.8,

Table 75,

7.7.8.3

A value of “1” shall indicate pixels per 

inch.

A value of “2” shall indicate pixels per 

centimeter. A value of “0” in this field 

indicates that no scale is provided, and 

the quotient of THPS/TVPS shall provide 

the pixel aspect ratio.

<The SLC is verified by checking the image 

metadata if compression is used.>

2 D 17.008-

Matches 

Image 

Metadata

IF {17.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

<Provide Warning “Not Tested”>

ELSE IF {17.011} EQ ASCII(PNG) THEN

IF {17.008} EQ 1 OR 2 THEN { SamplingUnitsPNG} EQ 1, ELSE IF {17.008} EQ 0 THEN { 

SamplingUnits-PNG} EQ 0

Y B-O

RT17.23 -

Field: 

17.009-

Transmitted 

8.17.9,

Table 75,

7.7.8.4

<Table 75 lists the value constraints for 

THPS.>

M 17.009-

Value

<See Requirement ID “Field: Image THPS Value” 

>

t-2
240

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

Horizontal 

Pixel Scale 

Value

RT17.24 -

Field: 

17.009-

Transmitted 

Horizontal 

Pixel Scale 

Metadata

8.17.9,

Table 75,

7.7.8.4

This is the integer pixel density used in 

the horizontal direction of the image if 

SLC has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the horizontal component of the 

pixel aspect ratio, up to 5 digits. 

<The THPS is verified by checking the 

image metadata if compression is used.>

2 D 17.009-

Matches 

Image 

Metadata

IF {17.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

<Provide Warning “Not Tested”>

ELSE IF {17.011} EQ ASCII(PNG) AND {17.008} EQ 

1

THEN {17.009} EQ {HorizontalDensity-PNG} * 

0.0254 (meters/inch)

ELSE IF {17.011} EQ ASCII(PNG) AND {17.008} EQ 

2

THEN {17.009} EQ {HorizontalDensity-PNG} * 

0.01 (meters/cm)

t-11, 

t-12

Y B-O

2 D 17.009-

Aspect 

Ratio 

Matches 

Image 

Metadata

IF {17.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

<Provide Warning “Not Tested”>

ELSE IF {17.011} EQ ASCII(PNG) AND {17.008} 

NEQ 1 OR 2 

THEN {17.009}/{17.010} EQ {HorizontalDensityPNG} / {VerticalDensity-PNG}

Y B-O

RT17.25 -

Field: 

17.010-

Transmitted 

Vertical 

Pixel Scale 

Value

8.17.10,

Table 75,

7.7.8.5

<Table 75 lists the value constraints for 

TVPS.>

M 17.010-

Value

<See Requirement ID “Field: Image TVPS Value” 

>

t-2

RT17.26 -

Field: 

17.010-

Transmitted 

Vertical 

Pixel Scale 

Metadata

8.17.10,

Table 75,

7.7.8.5

This is the integer pixel density used in 

the Vertical direction of the image if SLC 

has a value of “1” or “2”. If SLC has a 

value of “0”, this information item shall 

contain the Vertical component of the 

pixel aspect ratio, up to 5 digits.

<The TVPS is verified by checking the 

image metadata if compression is used.>

2 D 17.010-

Matches 

Image 

Metadata

IF {17.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

<Provide Warning “Not Tested”>

ELSE IF {17.011} EQ ASCII(PNG) AND {17.008} EQ 

1

THEN {17.010} EQ {VerticalDensity-PNG} * 

0.0254 (meters/inch), 

ELSE IF {17.011} EQ ASCII(PNG) AND {17.008} EQ

2

t-11, 

t-12

Y B-O
241

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

THEN {17.010} EQ {VerticalDensity-PNG} * 0.01 

(meters/cm)

2 D 17.010-

Aspect 

Ratio 

Matches 

Image 

Metadata

IF {17.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

<Provide Warning “Not Tested”>

ELSE IF {17.011} EQ ASCII(PNG) AND {17.008} 

NEQ 1 OR 2 

THEN {17.009}/{17.010} EQ { HorizontalDensity -

PNG} / {VerticalDensity-PNG}

Y B-O

Field: 

RT17.27 -

17.011-

Compressio

n Algorithm 

Value

8.17.11,

Table 75,

7.7.9.1

For each of these fields, the entry 

corresponds to the appropriate Label 

entry in Table 15: Field 17.011: 

Compression algorithm / CGA.

D 17.011-

Value

<See Requirement ID “Field: Type17 

Compression”.>

t-2

RT17.28 -

Field: 

17.011-

Compressio

n Algorithm 

Metadata

8.17.11,

Table 75

<The CGA is verified by checking the 

image metadata for the compression type 

signature if compression is used.>

2 D 17.011-

Matches 

Image 

Meta Data

IF {17.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

Present(SigBox)

ELSE IF {17.011} EQ ASCII(PNG) THEN

Present(PNGSig)

t-11 Y B-O

RT17.29 -

Field: 

17.012-Bits 

Per Pixel 

Value

8.17.12,

Table 75,

7.7.8.6

This field shall contain an entry of “8” for 

normal grayscale values of “0” to “255”. 

Any entry in this field greater than “8” 

shall represent a grayscale pixel with 

increased proportion.

D 17.012-

Value

<See Requirement ID “Field: Image BPX Value” > t-2

RT17.30 -

Field: 

17.012- Bits 

Per Pixel 

Metadata

8.17.12,

Table 75

<The BPX is verified by checking the 

image metadata for the compression type 

signature if compression is used.>

2 D 17.012-

Matches 

Image 

Metadata

IF {17.011} EQ ASCII(JP2) OR ASCII(JP2L) THEN

{17.012} EQ {BPX-JP2,JP2L}

ELSE IF {17.011} EQ ASCII(PNG) THEN

{17.012} EQ {BPX-PNG}

t-11 Y B-O

RT17.31 -

Field: 

17.013-Color 

Space Value

8.17.13,

Table 75,

7.7.10

Table 16 lists the codes and their 

descriptions for each of the available 

color spaces used within this standard.

All other color spaces are to be marked as 

undefined.

D 17.013-

Value

<See Requirement ID: “Field: Image CSP Value”.> t-2
242

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

RT17.32 -

Field: 

17.014-

Rotation 

Angle of Eye 

Value

8.17.14,

Table 75

The in-plane eye rotation angle shall be 

recorded as angle = round (65535 * angle 

/ 360) modulo 65535. The value “FFFF” 

indicates that rotation angle of eye is 

undefined.

<Table 75 lists the value constraints for 

RAE.>

1 O 17.014-

Value

{17.014} MO [0x0000 to 0xFFFF] Y B-O

RT17.33 -

Field: 

17.015-

Rotation 

Uncertainty 

Value

8.17.15,

Table 75

The rotation uncertainty is non-negative 

and equal to [round (65535* uncertainty / 

180)]. The uncertainty is measured in 

degrees and is the absolute value of 

maximum error. The value “FFFF” 

indicates that uncertainty is undefined.

<Table 75 lists the value constraints for 

RAU.>

1 D 17.015-

Value

{17.015} MO [0x0000 to 0xFFFF] Y B-O

RT17.34 -

Field: 

17.015-

Rotation 

Uncertainty 

Conditional

8.17.15,

Table 75

This optional field shall indicate the 

uncertainty in the in-plane eye rotation 

given in Field 17.014: Rotation angle of 

eye / RAE. This field is mandatory if Field 

17.014: Rotation angle of eye / RAE is 

present.

D 17.015-

Conditional

<See Requirement ID: “Field: 17.015-Rotation 

Uncertainty Dependent”.>

t-2

RT17.35 -

Field: 

17.016-

Image 

Property 

Code Value

8.17.16,

Table 75

<Table 75 lists the value constraints for 

IPC.>

1 O 17.016-

[IHO, IVO]-

Value

{InfoItem:1,2 in 17.016} MO [0 to 2] AMD MO 

[Integers]

Y B*-I <Allows 

whitespace, 

plus sign>

1 O 17.016-ISTValue{InfoItem:3 in 17.016} EQ 0 OR 1 Y B*-I <Allows 

whitespace, 

plus sign>

RT17.36 -

Field: 

17.017-

Device 

Unique 

Value

8.17.17,

Table 75

See Section 7.7.1.1 for details.

<Table 75 lists the value constraints for 

DUI.>

O 17.017-

Value

<See Requirement ID: “Field: Device ID”.> t-2

RT17.37 -

Field: 

Table 75 Deprecated; See ANSI/NIST-ITL 1-2007 for 

a description of this field. Not to be used 

- 17.018-

Deprecated

<See Requirement ID: “Field: Type17-

CondCode>.

t-2
243

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

17.018-

Deprecated

for any new transactions. 

RT17.38 -

Field: 

17.019-

Make/Mode

l/Serial 

Number 

Value

8.17.18,

7.7.1.2, 

Table 75

See Section 7.7.1.2 for details.

<Table 75 lists the value constraints for 

MMS.>

O 17.019-

[MAK, 

MOD, SER]-

Value

<See Requirement ID: “Field: Make Model”.> t-2

RT17.39 -

Field: 

17.020-Eye 

Color Value

8.17.19,

7.7.11,

Table 75, 

Table 17

See Section 7.7.11 and Table 17 for 

details on entering values to this field. 

<Table 75 lists the value constraints for 

ECL.>

O 17.020-

Value

<See Requirement ID: “Field: Image ECL Value”.> t-2

RT17.40 -

Field: 

17.021-

Comment 

Value

8.17.20,

Table 75,

7.4.4

See section 7.4.4 for details. O 17.021-

Value

<See Requirement ID: “Field: Comment>. t-2

RT17.41 -

Field: 

17.022-

Scanned 

Horizontal 

Pixel Scale 

Value

8.17.21,

7.7.8.7, 

7.4.4

See section 7.7.8.7 for details. O 17.022-

Value

<See Requirement ID: “Field: Image SHPS 

Value”.>

t-2

RT17.42 -

Field: 

17.023-

Scanned 

Vertical 

Pixel Scale 

Value

8.17.22,

7.7.8.8,

7.4.4

See section 7.7.8.8 for details. O 17.023-

Value

<See Requirement ID: “Field: Image SVPS 

Value”.>

t-2

RT17.43 -

Field: 

17.024-

Image 

8.17.23,

Table 75

<Table 75 lists the value constraints for 

IQS.>

O 17.024-

[QVU, QAV, 

QAP]-Value

<See Requirement ID: “Field: Sample Quality 

Occurrences”, “Field: Sample Quality Subfield 1”, 

“Field: Sample Quality Subfield 2”’ “Field: Sample 

Quality Subfield 3”.>

t-2
244

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

Quality 

Score Value

RT17.44 -

Field: 

17.025-

Effective 

Acquisition 

Spectrum 

Value

8.17.24,

Table 75,

Table 76

<Table 75 lists the value constraints for 

EAS.>

1 O 17.025-

Value

{17.025} MO [ASCII(NIR, DEFINED, VIS, RED, 

UNDEFINED)]

Y B*-I <Allows 

whitespace

>

RT17.45 -

Field: 

17.026-Iris 

Diameter 

Value

8.17.25,

Table 75,

Table 76

<Table 75 lists the value constraints for 

IRD.>

1 O 17.026-

Value

{17.026} MO [10 to 9999] AND MO [Integers] Y B-O

RT17.46 -

Field: 

17.027-

Specified 

Spectrum 

Value

8.17.26 <Table 75 lists the value constraints for

SSV.>

1 M

⇑

17.027–

LOW-Value

{InfoItem:1 in 17.027} GTE 500 

AND

{InfoItem:1 in 17.027} MOD 10 EQ 0

Y B*-O

1 M

⇑

17.027-

HIG-Value

InfoItem:1 in 17.027} GTE 510

AND

{InfoItem:1 in 17.027} MOD 10 EQ 0

Y B*-O

RT17.47 -

Field: 

17.028-

Damaged or 

Missing Eye 

Value

8.17.27 <Table 75 lists the value constraints for

DME.>

1 O 17.028-

Value

{17.028} MO ASCII(MA, UC) Y B*-I <Allows 

whitespace

>

RT17.48 -

Field: 17.029 

Reserved

Table 75 Reserved for future useonly by 

ANSI/NIST-ITL.

- 17.029 

Reserved

<See Requirement ID: “Field: Type17-

CondCode>.

t-2

RT17.49 -

Field: 

17.030-

Device 

Monitoring 

Mode Value

8.17.28,

7.7.1.3,

Table 75,

Table 5

See Section 7.7.1.3 for details. 

<Table 75 lists the value constraints for 

DMM.>

O 17.030-

Value

<See Requirement ID: “Field: Device Monitoring” 

>.

t-2

RT17.50 -

Field: 

8.17.29 <Table 75 lists the value constraints for 

IAP.>

O 17.031-

Value

<See Requirement ID: “Field: IAP Values” >. t-2
245

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

17.031-

Subject 

Acquisition 

Profile-Iris 

Value

RT17.51 -

Field: 

17.032-Iris 

Storage 

Format 

Value

8.17.30 <Table 75 lists the value constraints for 

ISF.>

1 O 17.032-

Value

{17.032} MO [1 to 3, 7] Y B-I <Allows 

whitespace, 

plus sign>

RT17.52 -

Field: 

17.033-Iris 

Pupil 

Boundary 

Value

8.17.31,

Table 75,

Table 19

<Table 75 lists the value constraints for 

IPB.>

1 M

⇑

17.033-

BYC-Value

{InfoItem:1 in 17.033} MO [ASCII(C,E,P)] Y B*-I <Allows 

whitespace

>

1 M

⇑

17.033-

NOP-Value

{InfoItem:2 in 17.033} MO [2 to 99] AND MO 

[Integers]

Y B*- I 

<Allows 

whitespace, 

plus sign>

1 M

⇑

17.033-

[HPO, 

VPO]-Value

For(X EQ 3 to {InfoItem:2 in 17.033})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

}

NA T

1 M

⇑

NIEM17.033-

[HPO, 

VPO]-Value

{XElm(PositionVerticalCoordinateValue)} GTE 0

AND LTE 99999 AND MO [Integers]

AND

{ XElm(PositionHorizontalCoordinateValue)} GTE 

0 AND LTE 99999 AND MO [Integers]

Y X-O

2 M

⇑

17.033-

[HPO, 

For(X EQ 3 to {InfoItem:2 in 17.033})

{

NA T
246

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

VPO]-

ValueDepe

ndent

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE {17.007}

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE {17.006}

AND MO [Integers]

}

2 M

⇑

NIEM17.033-

[HPO, 

VPO]-

ValueDepe

ndent

{XElm(PositionVerticalCoordinateValue)} GTE 0

AND LTE {17.007}

AND

{XElm(PositionHorizontalCoordinateValue)} GTE 

0 AND LTE {17.006}

Y X-O

RT17.53 -

Field: 

17.034-Iris 

Sclera 

Boundary 

Value

8.17.32,

Table 75,

Table 19

<Table 75 lists the value constraints for 

ISB.>

1 M

⇑

17.034–

BYC-Value

{InfoItem:1 in 17.034} MO [ASCII(C,E,P)] Y B*- I 

<Allows 

whitespace

>

1 M

⇑

17.034—

NOP-Value

{InfoItem:2 in 17.034} MO [2 to 99] AND MO 

[Integers]

Y B*- I 

<Allows 

whitespace, 

plus sign>

1 M

⇑

17.034-

[HPO, 

VPO]-Value

For(X EQ 3 to {InfoItem:2 in 17.034})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0AND LTE 99999 

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

}

NA T

1 M

⇑

NIEM17.034-

[HPO, 

VPO]-Value

{XElm(PositionVerticalCoordinateValue)} GTE 0

AND LTE 99999 AND MO [Integers]

AND

{ XElm(PositionHorizontalCoordinateValue)} GTE 

0 AND LTE 99999 AND MO [Integers]

Y X-O
247

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

2 M

⇑

17.034-

[HPO, 

VPO]-

ValueDepe

ndent

For(X EQ 3 to {InfoItem:2 in 17.034})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0AND LTE {17.007}

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE {17.006}

AND MO [Integers]

}

NA T

2 M

⇑

NIEM17.034-

[HPO, 

VPO]-

ValueDepe

ndent

{XElm(PositionVerticalCoordinateValue)} GTE 0

AND LTE {17.007}

AND

{XElm(PositionHorizontalCoordinateValue)} GTE 

0 AND LTE {17.006}

Y X-O

RT17.54 -

Field: 

17.035-

Upper Eyelid 

Boundary 

Value

8.17.33,

Table 75,

Table 19

<Table 75 lists the value constraints for 

UEB.>

1 M

⇑

17.035-

BYC-Value

{InfoItem:1 in 17.035} EQ [ASCII(P)] Y B*-I <Allows 

whitespace

>

1 M

⇑

17.035-

NOP-Value

{InfoItem:2 in 17.035} MO [2 to 99] AND MO 

[Integers]

Y B*-I <Allows 

whitespace, 

plus sign>

1 M

⇑

17.035-

[HPO, 

VPO]-Value

For(X EQ 3 to {InfoItem:2 in 17.035})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

}

NA T

1 M

⇑

NIEM17.035-

[HPO, 

{XElm(PositionVerticalCoordinateValue)} GTE 0

AND LTE 99999 AND MO [Integers]

AND

Y X-O
248

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

VPO]-Value { XElm(PositionHorizontalCoordinateValue)} GTE 

0 AND LTE 99999 AND MO [Integers]

2 M

⇑

17.035-

[HPO, 

VPO]-Value

For(X EQ 3 to {InfoItem:2 in 17.035})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE {17.007}

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE {17.006}

AND MO [Integers]

}

NA T

2 M

⇑

NIEM17.035-

[HPO, 

VPO]-

ValueDepe

ndent

{XElm(PositionVerticalCoordinateValue)} GTE 0

AND LTE {17.007}

AND

{XElm(PositionHorizontalCoordinateValue)} GTE 

0 AND LTE {17.006}

Y X-O

RT17.55 -

Field: 

17.036-

Lower Eyelid 

Boundary 

Value

8.17.34,

Table 75,

Table 19

<Table 75 lists the value constraints for 

LEB.>

1 M

⇑

17.036-

BYC-Value

{InfoItem:1 in 17.036} EQ [ASCII(P)] Y B*- I 

<Allows 

whitespace

>

1 M

⇑

17.036-

NOP-Value

{InfoItem:2 in 17.036} MO [2 to 99] AND MO 

[Integers]

Y B*- I 

<Allows 

whitespace, 

plus sign>

1 M

⇑

17.036-

[HPO, 

VPO]-Value

For(X EQ 3 to {InfoItem:2 in 17.036})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

}

Y B*-O
249

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

1 M

⇑

NIEM17.036-

[HPO, 

VPO]-Value

{XElm(PositionVerticalCoordinateValue)} GTE 0

AND LTE 99999 AND MO [Integers]

AND

{ XElm(PositionHorizontalCoordinateValue)} GTE 

0 AND LTE 99999 AND MO [Integers]

Y X-O

2 M

⇑

17.036-

[HPO, 

VPO]-Value

For(X EQ 3 to {InfoItem:2 in 17.036})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE {17.007}

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE {17.006}

AND MO [Integers]

}

NA T

2 M

⇑

NIEM17.036-

[HPO, 

VPO]-

ValueDepe

ndent

{XElm(PositionVerticalCoordinateValue)} GTE 0

AND LTE {17.007}

AND

{XElm(PositionHorizontalCoordinateValue)} GTE 

0 AND LTE {17.006}

Y X-O

RT17.56 -

Field: 

17.037-NonEyulid 

Occlusions 

Value

8.17.35,

Table 75,

Table 20, 

Table 21

<Table 75 lists the value constraints for 

NEO.>

1 M

⇑

17.037-

OCY-Value

ForEach(Subfield in 17.037)

{

{InfoItem:1 in Subfield} MO [ASCII(T,I,L,S)]

}

Y B*-I <Allows 

whitespace 

>

1 M

⇑

17.037-

OCT-Value

ForEach(Subfield in 17.037)

{

{InfoItem:2 in Subfield} MO [ASCII(L,S,C,R,O)]

}

Y B*-I <Allows 

whitespace

>

1 M

⇑

17.037-

NOP-Value

ForEach(Subfield in 17.037)

{

{InfoItem:3 in Subfield} MO [3 to 99] AND MO 

[Integers]

Y B*-I <Allows 

whitespace, 

plus sign>
250

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

}

1 M

⇑

17.037-

[HPO, 

VPO]-Value

ForEach(Subfield in 17.037)

{

For(X EQ 4 to {InfoItem:2 in Subfield})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE 99999 

AND MO [Integers]

}

}

Y B*-O

1 M

⇑

NIEM17.037-

[HPO, 

VPO]-Value

{XElm(PositionVerticalCoordinateValue)} GTE 0

AND LTE 99999 AND MO [Integers]

AND

{ XElm(PositionHorizontalCoordinateValue)} GTE 

0 AND LTE 99999 AND MO [Integers]

Y X-O

2 M

⇑

NIEM17.037-

[HPO, 

VPO]-

ValueDepe

ndent

{XElm(PositionVerticalCoordinateValue)} GTE 0

AND LTE {17.007}

AND

{XElm(PositionHorizontalCoordinateValue)} GTE 

0 AND LTE {17.006}

Y X-O

2 M

⇑

17.037-

[HPO, 

VPO]-Value

ForEach(Subfield in 17.037)

{

For(X EQ 4 to {InfoItem:2 in Subfield})

{

IF X MOD 2 EQ 0

{InfoItem:X in Subfield} GTE 0 AND LTE {17.006}

AND MO [Integers]

ELSE

{InfoItem:X in Subfield} GTE 0 AND LTE {17.007}

NA T
251

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

AND MO [Integers]

}

}

RT17.57 -

Field: 

17.038, 

17.039 

Reserved

Table 75 Reserved for future useonly by 

ANSI/NIST-ITL.

- 17.038,17.0

39

Reserved

<See Requirement ID: “Field: Type17-

CondCode>.

t-2

RT17.58 -

Field: 

17.040-

Range Value

8.17.36,

Table 75

<Table 75 lists the value constraints for 

RAN.>

1 O 17.040-

Value

{17.040} MO [1 to 9999999] t-19 Y B- I <Allows 

whitespace, 

leading 

zeros>

RT17.59 -

Field: 

17.041-

Frontal Gaze 

Value

8.17.37,

Table 75

<Table 75 lists the value constraints for 

GAZ.>

1 O 17.041-

Value

{17.041} MO [0 to 90] AND MO [Integers] Y B-O

RT17.60 -

Field: 17.042 

to 17.199 

Reserved

Table 75 Reserved for future useonly by 

ANSI/NIST-ITL.

- 17.042 to 

17.199 

Reserved

<See Requirement ID: “Field: Type17-

CondCode>.

t-2

RT17.61 -

Field: 17.200 

to 17.900-

User 

Defined

Table 75 User Defined Fields - 17.200 to 

17.900-

User 

Defined

TRUE Y B-C

RT17.62 -

Field: 17.901 

Reserved

Table 75 Reserved for future useonly by 

ANSI/NIST-ITL.

- 17.901 

Reserved

<See Requirement ID: “Field: Type17-

CondCode>.

t-2

RT17.63 -

Field: 

17.902-

Annotated 

Information 

Value

8.17.39,

Table 75,

7.4.1

This is an optional field, listing the 

operations performed on the original 

source in order to prepare it for inclusion 

in a biometric record type. See Section 

7.4.1.

O 17.902-

[GMT, NAV, 

OWN, 

PRO]-Value

<See Requirement ID: “Field: xx.902-ANN” >. t-2

RT17.64 - Table 75 Reserved for future useonly by - 17.903 to <See Requirement ID: “Field: Type17- t-2
252

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

Field: 17.903 

to 17.992 

Reserved

ANSI/NIST-ITL. 17.992

Reserved

CondCode>.

RT17.65 -

Field: 

17.993-

Source 

Agency 

Name

8.17.40,

Table 75

This is an optional field. It may contain up 

to 125 Unicode characters. 

O 17.993-

Value

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

RT17.66 -

Field: 17.994 

Reserved

Table 75 Reserved for future useonly by 

ANSI/NIST-ITL.

- 17.994 

Reserved

<See Requirement ID: “Field: Type17-

CondCode>.

t-2

RT17.67 -

Field: 

17.995-

Associated 

Context 

Value

8.17.41,

Table 75

See Section 7.3.3 O 17.995-

[ACN, ASP]-

Value

<See Requirement IDs: “Field: xx.995-ASC” and 

“Field: xx.995-ASC-ACN” and

“Field: xx.995-ASC-ASP”>.

t-2

RT17.68 -

Field: 

17.996-

Hash Value

8.17.42,

Table 75

See Section 7.5.2 O 17.996-

Value

<See Requirement ID: “Field: HAS”> t-2

RT17.69 -

Field: 

17.997-

Source 

Representati

on Value

8.17.43,

Table 75

See Section 7.3.2 O 17.997-

[SRN, RSP]-

Value

<See Requirement IDs: “Field: xx.997-SOR” and 

“Field: xx.997-SOR-SRN” and

“Field: xx.997-SOR-RSP”>.

t-2

RT17.70 -

Field: 

17.998-

Geographic 

Sample 

Acquisition 

Location 

Value

8.17.44,

Table 75

See Section 7.7.3 O 17.998–

[UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

<See Requirement IDs: “Field: Geographic”, 

“Field: Geographic”, “Field: Geographic-Subfield 

1” through “Field: Geographic-Values-SubField 

15” >.

t-2
253

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.17: Record Type-17: Iris image record

Value

RT17.71 -

Field: 

17.999-

Image Data 

Valid

8.17.45, 

Table 75

This field contains the iris image.

<The image metadata is checked for 

validity.>

2 D 17.999-

Uncompres

sed Image 

Length

IF {17.011} EQ ASCII(NONE) THEN

Length(17.999) EQ 17.006} * {17.007}

Y B-O

2 D 17.999-

Valid Image 

Format

IF Present(SigBox)

THEN

Present(SigBox, 

HeadBox, 

ImgBox, EOI-JP2,JP2L)

ELSE IF Present(PNGSig)

THEN

Present(PNGSig,

IHDR,

IDAT,

IEND)

t-11 Y B-O
254

6.16 Record Type-18: DNA Record

Table 6.14 - Assertions for Record Type 18 - DNA Record

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

RT18.1 -

Field: 

Type18-

Subfield 

Occurrence

Table 79 <Table 79 specifies which fields contain 

subfields as well as the number of 

occurrences permitted.>

1 M NIEMType18-

CardinalitySubElemen

ts

<The Type-18 table in Annex G of the base 

standard specifies the type and number of sub 

elements required for each field.>

X

1 M 18.[001 to

010, 012 to 

015, 017, 

020, 022, 

993, 998]-

SubfieldCo

unt

Count(Subfields in 18.[001 to 010, 012 to 015, 

017, 020, 022, 993, 998]) EQ 1

T

1 M 18.[001, 

002, 004, 

005, 007, 

008, 012 to 

014, 020, 

022, 993]-

InfoItemCo

unt

Count(InfoItems in Subfield:1 in 18.[ 001, 002, 

004, 005, 007, 008, 012 to 014, 020, 022, 993]) 

EQ 1

T

1 M 18.003-

InfoItemCo

unt

Count(InfoItems in 18.003) MO [1 to 7] T

1 M 18.006-

InfoItemCo

unt

Count(InfoItems in 18.006) MO [1 to 8] T

1 O 18.009-

InfoItemCo

unt

Count(InfoItems in 18.009) MO [4 to 7] T
255

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

1 M 18.010-

InfoItemCo

unt

Count(InfoItems in 18.010) MO [1, 2] T

1 M 18.011-

InfoItemCo

unt

Foreach(Subfield in 18.011)

{

Count(InfoItems in Subfield) EQ 1

}

T

1 M 18.015-

InfoItemCo

unt

Count(InfoItems in 18.015) MO [2 to 5] T

1 D 18.016-

SubfieldCo

unt

Count(Subfields in 18.016) GTE 1 T

1 D 18.016-

InfoItemCo

unt

ForEach(Subfield in 18.016)

{

Count(InfoItems in Subfield) MO [6 to 15]

}

T

1 D 18.017-

InfoItemCo

unt

Count(InfoItems in 18.017) EQ 8 T

1 D 18.018-

SubfieldCo

unt

Count(Subfields in 18.018) GTE 1 T

1 D 18.018-

InfoItemCo

unt

Foreach(Subfield in 18.018)

{

Count(InfoItems in Subfield) GTE 1

}

T

1 D 18.019-

SubfieldCo

unt

Count(Subfields in 18.019) GTE 1 T

1 D 18.019-

InfoItemCo

unt

Foreach(Subfield in 18.019)

{

Count(InfoItems in Subfield) MO [4 to 5]

}

T

1 D 18.021-

SubfieldCo

Count(Subfields in 18.021) GTE 1 T
256

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

unt

1 D 18.021-

InfoItemCo

unt

Foreach(Subfield in 18.021)

{

Count(InfoItems in Subfield) EQ 3

}

T

1 D 18.023-

SubfieldCo

unt

Count(Subfields in 18.023) GTE 1 T

1 D 18.023-

InfoItemCo

unt

Foreach(Subfield in 18.023)

{

Count(InfoItems in Subfield) MO [4 to 5]

}

T

1 O 18.902-

SubfieldCo

unt

Count(Subfields in 18.902) GTE 1 T

1 O 18.902-

InfoItemCo

unt

ForEach(Subfield in 18.902)

{

Count(InfoItems in Subfield) EQ 4

}

T

1 O 18.995-

SubfieldCo

unt

Count(Subfields in 17.995) MO [1 to 255] T

1 O 18.995-

InfoItemCo

unt

ForEach(Subfield in 17.995)

{

Count(InfoItems in Subfield) MO [1,2]

}

T

- O 18.998-

Subfields

<See Requirement ID: “Field: Geographic”> t-2

RT18.2 -

Field: 

Type18-

CondCode

Table 79 <Table 79 specifies the Condition Code for 

each field.>

1 - [18.001 to

18.006, 

18.010, 

18.011, 

18.013 to 

18.015]-

Mandatory 

CondCode

Present(18.001 to 18.006, 18.010, 18.011, 

18.013 to 18.015)

B
257

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

1 - [18.024 to 

18.199,

18.901, 

18.903 to 

18.992, 

18.994, 

18.996, 

18.997, 

18.999]-

Reserved

NOT Present(18.024 to 18.199, 18.901, 18.903 

to 18.992, 18.994, 18.996, 18.997, 18.999)

B

RT18.3 -

Record: 

18.007 

Dependent

Table 79,

8.18.7

This field is mandatory if the value of DSD 

is equal to 1. 

2 D 18.007-

CondCode 

Dependent

IF {InfoItem:1 in 18.005} EQ 1 

THEN Present(18.007)

B

RT18.4 -

Record: 

18.008 

Dependent

Table 79,

8.18.8

This field is optional and ... is only filled in 

if DSD = 1. 

2 D 18.008-

CondCode 

Dependent

IF Present(18.008), 

THEN {InfoItem:1 in 18.005} EQ 1 

B

RT18.5 -

Record: 

18.016 

Dependent

Table 79,

8.18.16

This optional field ... is only present if 

Field 18.011: Sample typing information / 

STI has a subfield with the value 0. 

2 D 18.016-

CondCode 

Dependent

IF Present(18.016), 

THEN Present(Subfield in 18.011 ST {InfoItem:1 

in Subfield} EQ 0)

B

RT18.6 -

Record: 

18.017 

Dependent

Table 79,

8.18.17

This is an optional field...This field is only 

present if Field 18.011: Sample typing 

information / STI has a subfield with the 

value 1.

2 D 18.017-

CondCode 

Dependent

IF Present(18.017), 

THEN Present(Subfield in 18.011 ST {InfoItem:1 

in Subfield} EQ 1)

B

RT18.7 -

Record: 

18.018 

Dependent

Table 79,

8.18.18

This optional field ... is only present if

Field 18.011: Sample typing information / 

STI has a subfield with the value 4.

2 D 18.018-

CondCode 

Dependent

IF Present(18.018), 

THEN Present(Subfield in 18.011 ST {InfoItem:1 

in Subfield} EQ 4)

B

RT18.8 -

Record: 

18.019 

Dependent

Table 79,

8.18.19

This optional field ... is only present if

Field 18.011: Sample typing information / 

STI has a subfield with the value 2.

2 D 18.019-

CondCode 

Dependent

IF Present(18.019), 

THEN Present(Subfield in 18.011 ST {InfoItem:1 

in Subfield} EQ 2)

B

RT18.9 -

Record: 

18.021 

Table 79,

8.18.21

This field is only present if Field 18.020: 

DNA genotype distribution / DGD has a

Value.

2 D 18.021-

CondCode 

Dependent

IF Present(18.021)

THEN Present(18.020} AND DataLength(18.020) 

GT 0

B
258

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

Dependent

RT18.10 -

Record: 

18.023 

Dependent

Table 79,

8.18.23

This optional field ... is only present if

Field 18.011: Sample typing information / 

STI has a subfield with the value 3.

2 D 18.023-

CondCode 

Dependent

IF Present(18.023), 

THEN Present(Subfield in 18.011 ST {InfoItem:1 

in Subfield} EQ 3)

B

RT18.11 -

Field: 

Type18-

CharType

8.18,

Table 79

<Table 79 specifies the Character Type for 

each field that contains no subfields.>

1 - 18.[001, 

002,005,

007, 008, 

020]-

CharType 

Bytes(18.[001, 002, 005, 007, 008, 020]) MO 

[0x30 to 0x39]

B

1 - 18.[012, 

022]-

CharType

TRUE B

1 M 18.004-

CharType 

<See Requirement ID: “Field: Source Agency”.> t-2

1 M 18.013-

CharType

Bytes(18.013) MO [0x30 to 0x39] T

1 M NIEM18.013-

CharType

Bytes(18.013) MO [0x30 to 0x39, 0x2D] X

1 M 18.014-

CharType

Bytes(18.014) MO [0x30 to 0x39] T

1 M NIEM18.014-

CharType

Bytes(18.014) MO [0x30 to 0x39, 0x2D] X

1 O 18.993-

CharType 

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

RT18.12 -

Field: 

Type17-

Subfield

CharType

8.17,

Table 75

<Table 75 specifies the Character Type for 

each subfield.>

1 M 18.003-

UTYCharType

Bytes(InfoItem:1 in 18.003) MO [0x30 to 0x39] B*

1 D 18.003-LTYCharTypeBytes(InfoItem:2 in 18.003) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

B*

1 D 18.003-

ACCCharType

Bytes(InfoItem:3 in 18.003) MO [0x30 to 0x39, 

0x44, 0x4D, 0x4E, 0x4F, 0x2C]

T

1 D NIEM- Bytes(XElm(biom:DNALaboratoryAccreditationLe B*
259

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

18.003-

ACCCharType

velCode) MO [0x30 to 0x39]

OR

Bytes(XElm(biom:DNALaboratoryAccreditationSc

opeCode) MO

[0x44, 0x4D, 0x4E, 0x4F, 0x2C]

1 O 18.003-

[NOO, POC, 

ION]-

CharType

TRUE B*

1 O 18.003-

CSCCharType

Bytes(InfoItem:6 in 18.003) MO [0x20, 0x30 to 

0x39, 0x41 to 0x5A, 0x61 to 0x7A]

T

1 O NIEM18.003-

CSCCharType

Bytes(XElm(biom:DNALaboratoryProcessingCoun

tryISO3166Alpha2Code)) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

OR

Bytes(XElm(biom:DNALaboratoryProcessingCoun

tryISO3166Alpha3Code)) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

OR

Bytes(XElm(biom:DNALaboratoryProcessingCoun

tryISO3166NumericCode)) MO [0x30 to 0x39]

X

1 - 18.006-

[DSD,DRA, 

SDS]-

CharType

Bytes(InfoItem:1, 7, 8 in 18.006) MO [0x30 to 

0x39]

B*

1 O 18.006-

[EGP, LLC]-

CharTYpe

TRUE B*

1 O 18.006-

GIDCharType

Bytes(InfoItem:2 in 18.006) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

B*

1 O 18.006-

[DLC,DOB]-

CharType 

Bytes(InfoItem:3,4 in 18.006) MO [0x30 to 0x39] T

1 O NIEM18.006-Bytes(XElm(nc:PersonBirthDate), XElm

biom:DNADonorLastContactDate)) MO [0x30 to 

X
260

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

[DLC,DOB]-

CharType 

0x39, 0x2D]

1 - 18.009-

[PID, PMI, 

SID, PCM]-

CharType

TRUE B*

1 M 18.009-

PMSCharType

Bytes(InfoItem:3 in 18.009) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

B*

1 O 18.009-

[FID,MID]-

CharType

Bytes(InfoItem:5, 6 in 18.009) MO [0x30 to 0x39] B*

1 M 18.010-

SCTCharType

Bytes(InfoItem:1 in 18.010) MO [0x30 to 0x39] B*

1 O 18.010-

SMOCharType

Bytes(InfoItem:2 in 18.010) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A]

B*

1 M 18.011-

CharType

ForEach(SubField in 18.011)

{

Bytes(InfoItem:1 in SubField) MO [0x30 to 0x39]

} 

B*

1 - 18.015-

[PTP, RES]-

CharType

Bytes(InfoItem:1, 2 in 18.015) MO [0x30 to 0x39] B*

1 - 18.015-

[PRF, SUP, 

DPC]-

CharType

TRUE B*

1 M 18.016-

[DST, DLR, 

ALL, LAI, 

PCDT, KID]-

CharType

ForEach(SubField in 18.016)

{

Bytes(InfoItem: 1 to 5, 12 in SubField) MO [0x30 

to 0x39)

}

B*

1 D 18.016-

[AL1, AL2, 

ForEach(SubField in 18.016)

{

B*
261

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

AL3]-

CharType

Bytes(InfoItem: 6 to 8 in SubField) MO [0x30 to 

0x39, 0x2E)

}

1 - 18.016-

[BID, ECR, 

LCR, KNM, 

KMF, KDS]-

CharType

TRUE B*

1 M 18.017-

[MT1, 

MT2]-

CharType

Bytes(InfoItem: 1, 2 in 18.017) MO [0x20, 0x41 to 

0x5A, 0x61 to 0x7A, 0x2D)

B*

1 M 18.017-

[BSP, BEP, 

BCA, BCG, 

BCC, BCT]-

CharType

Bytes(InfoItem: 3 to 8 in 18.017) MO [0x30 to 

0x39)

B*

1 M 18.018-

CharType

TRUE B*

1 M 18.019-

[EIR, EST, 

IDD]-

CharType

TRUE B*

1 - 18.019-

[ELPD, 

EPS]-

CharType

ForEach(SubField in 18.019) 

{

Bytes(InfoItem: 4,5 in SubField) MO [0x30 to 

0x39, 0x41 to 0x5A, 0x61 to 0x7A, 0x2B, 0x2F, 

0x3D]

}

B*

1 M 18.021-

GLRCharType

ForEach(SubField in 18.021)

{

Bytes(InfoItem:1 in SubField) MO [0x30 to 0x39]

}

B*

1 M 18.021-

ALPCharType

ForEach(SubField in 18.021)

{

Bytes(InfoItem:2 in SubField) MO [0x2C, 0x2E, 

0x30 to 0x39]

B*
262

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

}

1 M 18.021-

GNWCharType

ForEach(SubField in 18.021)

{

Bytes(InfoItem:3 in SubField) MO [0x2E, 0x30 to

0x39]

}

B*

1 M 18.023-

[LIR, LST, 

LDD]-

CharType

TRUE B*

1 - 18.023-

[LEPD, LES]-

CharType

ForEach(SubField in 18.023) 

{

Bytes(InfoItem: 4,5 in SubField) MO [0x30 to 

0x39, 0x41 to 0x5A, 0x61 to 0x7A, 0x2B, 0x2F, 

0x3D]

}

B*

1 M 18.902-

[NAV, 

OWN, 

PRO]-

CharType 

TRUE B*

1 M 18.902-

GMTCharType 

ForEach(Subfield in 18.902)

{

Bytes(InfoItem:1 in Subfield) MO [0x30 to 

0x39,0x5A]

}

T

1 M NIEM18.902-

GMTCharType 

Bytes(XElm(biom:ProcessUTCDate) in 18.902) 

MO [0x30 to 0x39, 0x3A, 0x54, 0x5A]

X

1 - 18.995–

[ACN, ASP]-

CharType 

Bytes(All(InfoItem:1,2 in 18.995)) MO [0x30 to 

0x39]

B*

- - 18.998–

[UTE, 

LTD,LTM, 

LTS, LGD, 

<See Requirement ID: “Field: Geographic”> t-2
263

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV ]-

CharType 

RT18.13 -

Field: 

Type18-

CharCount

Table 79 <Table 79 specifies the Character Count 

for each field that contains no subfields.>

1 M 18.001-

CharCount

DataLength(18.001) MO [1 to 8] T

1 M NIEM18.001-

CharCount

Length(18.001) EQ 2 X

1 M 18.002-

CharCount

DataLength(18.002) EQ 1 OR 2 B

1 M 18.004-

CharCount

<See Requirement ID: “Field: Source Agency”.> t-2

1 M 18.005-

CharCount

DataLength(18.005) EQ 1 B

1 D 18.007-

CharCount

DataLength(18.007) EQ 1 B

1 D 18.008-

CharCount

DataLength(18.008) EQ 1 B

1 O 18.012-

CharCount

DataLegnth(18.012) MO [1 to 255] B

1 M 18.013-

CharCount

DataLegnth(18.013) EQ 8 B

1 M NIEM18.013-

CharCount

DataLegnth(18.013) EQ 10 B

1 M 18.014-

CharCount

DataLegnth(18.014) EQ 8 B

1 M NIEM18.014-

CharCount

DataLegnth(18.014) EQ 10 B

1 O 18.020-

CharCount

DataLegnth(18.020) EQ 1 B

1 O 18.022- DataLegnth(18.022) MO [1 to 126] B
264

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

CharCount

1 O 18.993-

CharCount

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

RT18.14 -

Field: 

Type19-

Subfield 

CharCount

Table 79 <Table 79 specifies the Character Count 

for each subfield.>

1 - 18.003-

[UTY, LTY]-

CharCount

Length(InfoItem:1,2 in 18.003) EQ 1 B*

1 D 18.003-

ACCCharCount

Length(InfoItem:3 in 18.003) MO [1 to 35] T

1 D NIEM18.003-

ACCCharCount

Length(XElm(biom:DNALaboratoryAccreditationL

evelCode) MO [1 to 3]

AND

Length(XElm(biom:DNALaboratoryAccreditationS

copeCode) EQ 1

X

1 O 18.003-

NOOCharCount

Length(InfoItem:4 in 18.003)) GTE 1 B*

1 O 18.003-

POCCharCount

Length(InfoItem:5 in 18.003)) MO [1 to 200] B*

1 O 18.003-

CSCCharCount

Length(InfoItem:6 in 18.003)) MO [2, 3] T

1 O 18.003-

CSCCharCount

Length(XElm(biom:DNALaboratoryProcessingCou

ntryISO3166Alpha2Code)) EQ 2

OR

Length(XElm(biom:DNALaboratoryProcessingCou

ntryISO3166Alpha3Code)) EQ 3

OR

Length(XElm(biom:DNALaboratoryProcessingCou

ntryISO3166NumericCode)) EQ 3

X

1 O 18.003-

IONCharCount

Length(InfoItem:7 in 18.003)) MO [1 to 100] B*

1 - 18.006-

[DSD,GID,D

Length(InfoItem:1,2,6,8 in 18.006) EQ 1 B*
265

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

RA, SDS]-

CharCount

1 - 18.006-

[DLC, DLB]-

CharCount

Length(InfoItem:3,4 in 18.006) EQ 8 t-6 T

1 O NIEM18.006-

[DLC, DLB]-

CharCount

Length(XElm(nc:PersonBirthDate), 

XElm(biom:DNADonorLastContactDate) in 

18.006) EQ 10

t-6 X

1 O 18.006-

EGPCharCount

Length(InfoItem:5 in 18.006) MO [1 to 50] B*

1 O 18.006-LLCCharCountLength(InfoItem:7 in 18.006) MO [1 to 4000] B*

1 M 18.009-

[PID,SID]-

CharCount

Legnth(InfoItem:1, 4 in 18.009) MO [1 to 24] B*

1 M 18.009-

PMICharCount

Legnth(InfoItem:2 in 18.009) MO [1 to 6] B*

1 M 18.009-

PMSCharCount

Legnth(InfoItem:3 in 18.009) EQ 1 B*

1 O 18.009-

[FID,MID]-

CharCount

Legnth(InfoItem:5,6 in 18.009) MO [1 to 3] B*

1 O 18.009-

PCMCharCount

Legnth(InfoItem:7 in 18.009) MO [1 to 2000] B*

1 M 18.010-

SCTCharCount

Legnth(InfoItem:1 in 18.010) MO [1 to 2] B*

1 O 18.010-

SMOCharCount

Legnth(InfoItem:2 in 18.010) EQ 2 B*

1 M 18.011- Legnth(All(InfoItems in 18.011)) EQ 1 B*
266

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

CharCount

1 M 18.015-

PTPCharCount

Legnth(InfoItem:1 in 18.015) EQ 1 B*

1 O 18.015-

RESCharCount

Legnth(InfoItem:2 in 18.015) MO [1,2] B*

1 M 18.015-

PRFCharCount

Legnth(InfoItem:3 in 18.015) MO [1 to 64] B*

1 O 18.015-

[SUP,DPC]-

CharCount

Legnth(InfoItem:5,6 in 18.015) MO [1 to 100] B*

1 M 18.016-

[DST,ALL,LA

I,PCDT]-

CharCount

ForEach(SubField in 18.016)

{

Legnth(InfoItem:1,3,4,5 in SubField) EQ 1

}

B*

1 M 18.016-

[DLR, KID]-

CharCount

ForEach(SubField in 18.016)

{

Legnth(InfoItem:2,12 in SubField) MO [1 to 3]

}

B*

1 D 18.016-

[AL1, AL2, 

AL3]-

CharCount

ForEach(SubField in 18.016)

{

Legnth(InfoItem:6,7,8 in SubField) MO [1 to 4]

}

B*

1 - 18.016-

[BID, KNM, 

KMF]-

CharCount

ForEach(SubField in 18.016)

{

Legnth(InfoItem:9,13,14 in SubField) MO [1 to 

32]

}

B*

1 O 18.016-

[ECR,LCR]-

CharCount

ForEach(SubField in 18.016)

{

Legnth(InfoItem:10,11 in SubField) MO [1 to 8]

}

B*

1 D 18.016-

KDSForEach(SubField in 18.016){

B*
267

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

CharCount Legnth(InfoItem:15 in SubField) MO [1 to 128]

}

1 M 18.017-

MT1-

CharCount

Legnth(InfoItem:1 in 18.017) MO [546 to 646] B*

1 M 18.017-

MT1-

CharCount

Legnth(InfoItem:2 in 18.017) MO [576 to 976] B*

1 M 18.017-

[BSP, BEP]-

CharCount

Legnth(InfoItem:3,4 in 18.017) MO [1 to 5] B*

1 M 18.017-

[BCA, BCG, 

BCC, BCT]-

CharCount

Legnth(InfoItem:5,6,7,8 in 18.017) MO [1,2] B*

1 M 18.018-

CharCount

TRUE B*

1 M 18.019-EIRCharCountForEach(SubField in 18.019)

{

Legnth(InfoItem:1 in SubField) MO [1 to 8]

}

B*

1 M 18.019-ESTCharCountForEach(SubField in 18.019)

{

Legnth(InfoItem:2 in SubField) MO [1 to 4]

}

B*

1 M 18.019-

IDDCharCount

ForEach(SubField in 18.019)

{

Legnth(InfoItem:3 in SubField) MO [1 to 200]

}

B*

1 - 18.019-

[ELPD,EPS]-

CharCount

ForEach(SubField in 18.019)

{

Legnth(InfoItem:4,5 in SubField) GTE 2

}

B*

1 M 18.021-

GLRCharCount

ForEach(SubField in 18.021)

{

Legnth(InfoItem:1 in SubField) MO [1 to3]

B*
268

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

}

1 M 18.021-

ALPCharCount

ForEach(SubField in 18.021)

{

Legnth(InfoItem:2 in SubField) MO [3 to 9]

}

B*

1 M 18.021-

GNWCharCount

ForEach(SubField in 18.021)

{

Legnth(InfoItem:3 in SubField) MO [1 to5]

}

B*

1 M 18.023-LIRCharCountForEach(SubField in 18.023)

{

Legnth(InfoItem:1 in SubField) MO [1 to 8]

}

B*

1 M 18.023-LSTCharCountForEach(SubField in 18.023)

{

Legnth(InfoItem:2 in SubField) MO [1 to 4]

}

B*

1 M 18.023-

LDDCharCount

ForEach(SubField in 18.023)

{

Legnth(InfoItem:3 in SubField) MO [1 to 200]

}

B*

1 - 18.023-

[LEPD,LES]-

CharCount

ForEach(SubField in 18.023)

{

Legnth(InfoItem:4,5 in SubField) GTE 2

}

B*

1 M 18.902-

[NAV, 

OWN]-

CharCount

ForEach(Subfield in 18.902)

{

Length(InfoItem:2,3 in Subfield) MO [1 to 64]

}

T

1 M 18.902-

PROCharCount

ForEach(Subfield in 18.902)

{

Length(InfoItem:4 in Subfield)) MO [1 to 255]

}

T

1 M 18.902-

GMTCharCount

ForEach(SubField in 18.902)

{

Length(InfoItem:1 in SubField) EQ 15

t-6 T
269

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

}

1 M NIEM18.902-

GMTCharCount

Length(XElm(biom:ProcessUTCDate) in 18.902) 

EQ 20

t-6 X

1 M 18.995-

ACNCharCount

ForEach(Subfield in 18.995)

{

Length(InfoItem:1 in Subfield) MO [1 to 3]

}

B*

1 O 18.995-

ASPCharCount

ForEach(Subfield in 18.995)

{

Length(InfoItem:2 in Subfield) MO [1,2]

}

B*

- O 18.998-[ 

UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

CharCount

<See Requirement ID: “Field: Geographic”> t-2

RT18.15 -

Field: 

Type18-Field 

Occurrence

Table 79 <Table 79 specifies the Field Occurrence 

for each field.>

1 - 18.[024 to 

199,901,90

3 to 992, 

994, 996, 

997, 999]-

Occurrence

Count(18.[ 024 to 199,901,903 to 992, 994, 996, 

997, 999]) EQ 0

B

1 M 87.[001 to 

006, 010, 

011, 013 to 

015])-

Occurrence

Count(18.[ 001 to 006, 010, 011, 013 to 015]) EQ 

1

B

1 - 18.[007 to 

009, 012, 

016 to 023, 

Count(18.[ 007 to 009, 012, 016 to 023, 902, 

993, 995, 998]) LTE 1

B
270

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

902, 993, 

995, 998]--

Occurrence

RT18.16 -

Field: 

18.001-

Record 

Header 

Value

8.18.1,

Table 79

Field 18.001 Record header. In Traditional 

encoding, this field contains the record 

length in bytes (including all information 

separators)

M 18.001-

Record 

Header

<See Requirement ID “Field: xx.001-Record 

Header”>

t-2

8.18.1,

C.10.16

The XML name for the Type-18 record is 

<itl:PackageDNARecord>, and its 

<biom:RecordCategoryCode> element 

shall have a value of “18”.

1 M NIEM18.001-

Value

ForEach(XElm(itl:PackageDNARecord)

{

{XElm(biom:RecordCategoryCode)} EQ ASCII(18)

}

X

RT18.17 -

Field: 

18.002-

Information 

Designation 

Character

Value

8.18.2,

Table 79,

7.3.1

This mandatory field shall contain the IDC 

assigned to this Type-18 record as listed

in the information item IDC for this record 

in Field 1.003 Transaction content/CNT. 

M 18.002-IDC <See Requirement IDs “Field: xx.002-IDC” and 

“Field: 1.003-Transaction Content Subfield 2 IDC 

Matches” >

t-2

RT18.18 -

Field: 

18.003-DNA 

Laboratory 

Setting

Value

8.18.3,

Table 79

<Table 79 lists the valid values for DLS.> 1 M 18.003-

UTY-Value

{InfoItem:1 in 18.003} MO [1 to 4] B*

1 D 18.003-LTYValue{InfoItem:2 in 18.003} MO [ASCII(G,I,O,U)] B*

1 D 18.003-

ACC-Value

<Parse InfoItem:3 in 18.003 into strings 

separated by commas.>

Count(<strings>) MO [1 to 6] 

AND

ForEach(<string>) 

{

<Number at start of string> MO [0 to 6, 255]

AND

IF <Number at start of string> EQ 255

THEN Length(string) EQ 3 

ELSE IF <Number at start of string> EQ 0

THEN Length(string) EQ 1 

ELSE 

<Number at start of string followed by string of 

T
271

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

N,M,D,O (non-repeating, length 1 to 4)>

}

1 D NIEM18.003-

ACC-Value

ForEach(XElm(biom:DNALaboratoryAccreditation

))

{

{XElm(biom:DNALaboratoryAccreditationLevelCo

de)} MO [0 to 6, 255]

AND

IF 

{XElm(biom:DNALaboratoryAccreditationLevelCo

de)} EQ 0 OR 255

THEN 

Count(XElm(biom:DNALaboratoryAccreditationSc

opeCode)) EQ 0

ELSE 

Bytes in 

{XElm(biom:DNALaboratoryAccreditationScopeC

ode)} MO ASCII(N,M,D,O)

}

X

1 O 18.003-

[NOO,POC, 

ION]-Value

TRUE B*

1 O 18.003-

CSC-Value

{InfoItem:6 in 18.003} 

MO <Alpha2, Alpha3, and Numeric Values from 

ISO-3166-1.>

T

1 O NIEM18.003-

CSC-Value

{XElm(biom:DNALaboratoryProcessingCountryIS

O3166Alpha2Code)} 

MO <Alpha2 Values from ISO-3166-1.>

OR

{XElm(biom:DNALaboratoryProcessingCountryIS

O3166Alpha3Code)} 

MO <Alpha3 Values from ISO-3166-1.>

OR

{XElm(biom:DNALaboratoryProcessingCountryIS

O3166NumericCode)} 

MO <Numeric Values from ISO-3166-1.>

X

RT18.19 - 8.18.3 The second information item is the lab 1 D 18.003- Present(InfoItem:2 in 18.003) IFF B*
272

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

Field: 

18.003-DNA 

Laboratory 

Setting

Dependent 

Values

type / LTY. It is mandatory if the value

for UTY is 1 or 2. It is not entered 

otherwise.

The third information item is the 

accreditation information / ACC. It is

mandatory if the value for UTY is 1 or 2. It 

shall not be entered otherwise.

Dependent 

LTY

{InfoItem:1 in 18.003} MO [1,2]

1 D 18.003-

Dependent 

ACC

Present(InfoItem:3 in 18.003) IFF

{InfoItem:1 in 18.003} MO [1,2]

B*

RT18.20 -

Field: 

18.004-

Source 

Agency 

Value

8.18.4 This is a mandatory field. See Section 7.6 

for details.

1 M 18.004-

Value

<See Requirement ID: “Field: Source Agency”.> t-2

RT18.21 -

Field: 

18.005-

Number Of 

Analyses 

Flag Value

8.18.5 <Table 79 lists the valid values for NAL.> 1 M 18.005-

Value

{18.005} EQ 0 OR 1 B

RT18.22 -

Field: 

18.006-

Sample 

Donor 

Information 

Value

8.18.6 <Table 79 lists valid values for SDI.> 1 M 18.006-

DSD-Value

{InfoItem:1 in 18.006} MO [0 to 2] B*

1 O 18.006-

GID-Value

{InfoItem:2 in 18.006} MO [ASCII(M,F,U)] B*

1 O 18.006-

[DLC,DOB]-

Value

{InfoItem:3,4 in 18.006} MO [ValidLocalDate] t-6 T

1 O NIEM18.006-

[DLC,DOB]-

Value

{XElm(nc:PersonBirthDate,

biom:DNADonorLastContactDate)}MO [NIEMValidLocalDate]

t-6 X

1 O 18.006-

[EGP, LLC]-

Value

TRUE B*

1 D 18.006-

DRA-Value

{InfoItem:6 in 18.006} MO [0 to 2] B*

1 O 18.006- {InfoItem:8 in 18.006} MO [0 to 2] B*
273

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

SDS-Value

RT18.23 -

Field: 

18.006-

Sample 

Donor 

Information 

Dependent 

Value

8.18.6 This information item shall be

entered only if DSD=0. 

1 D 18.006-

DependentDSD

Present(InfoItem:6 in 18.006) IFF {InfoItem:1 in 

18.006} EQ 0

B*

RT18.24 -

Field: 

18.007-

Claimed Or 

Purported 

Relationship 

Value

8.18.7 <Table 79 lists valid values for COPR.> 1 D 18.007-

Value

{18.007} MO [1 to 7] B

RT18.25 -

Field: 

18.007-

Claimed Or 

Purported 

Relationship

Dependent 

Value

8.18.7 This field is mandatory if the value for 

DSD is equal to 1.

1 D 18.007-

Dependent

IF {InfoItem:1 in 18.006} EQ 1, Then Present 

(18.007)

B

RT18.26 -

Field: 

18.008-

Validated 

Relationship 

Value

8.18.8 <Table 79 lists valid values for VRS.> 1 D 18.008-

Value

{18.008} MO [1 to 7] B

RT18.27 -

Field: 

18.008-

Validated 

Relationship

Dependent 

Value

8.18.8 This field is optional and...is only filled in if 

DSD = 1. 

1 D 18.008-

Dependent

IF Present (18.008), Then {InfoItem:1 in 18.006} 

EQ 1

B
274

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

RT18.28 -

Field: 

18.009-

Pedigree 

Information 

Value

8.18.9 <Table 79 lists valid values for PED.> 1 - 18.009-

[PID, PMI, 

SID, FID, 

MID, PCM]-

Value

TRUE B*

1 M 18.009-

PMS-Value

{InfoItem:3 in 18.009} MO [ASCII(K, U)] B*

RT18.29 -

Field: 

18.010-

Sample Type 

Value

8.18.10 <Table 79 lists valid values for STY.> 1 M 18.010-

SCT-Value

{InfoItem:1 in 18.010} MO [0 to 11] B*

1 O 18.010-

SMO-Value

{InfoItem:2 in 18.010} MO [ASCII(NS, WB, BP)] B*

RT18.30 -

Field: 

18.011-

Sample 

Typing 

Information 

Value

8.18.11 <Table 79 lists valid values for STI.> 1 M 18.011-

Value

ForEach(SubField in 18.011)

{

{InfoItem:1 in SubField} MO [0 to 4]

}

B*

RT18.31 -

Field: 

18.012-

Sample 

Collection 

Method 

Value

8.18.12 <Table 79 lists valid values for SCM.> 1 O 18.012-

Value

TRUE B

RT18.32 -

Field: 

18.013-

Sample 

Collection 

Date Value

8.18.13 <Table 79 lists valid values for SCD.> 1 M 18.013-

Value

{18.013} MO [ValidUTC/GMT] t-6 T

1 M NIEM18.013-

Value

{18.013} MO [NIEM-ValidUTC/GMT] t-6 X

RT18.33 -

Field: 

18.014-

Profile 

Storage Date 

8.18.14 <Table 79 lists valid values for PSD.> 1 M 18.014-

Value

{18.014} MO [ValidUTC/GMT] t-6 T

1 M NIEM18.014-

Value

{18.014} MO [NIEM-ValidUTC/GMT] t-6 X
275

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

Value

RT18.34 -

Field: 

18.015-DNA 

Profile Data 

Value

8.18.15 <Table 79 lists valid values for DPD.> 1 M 18.015-

PTP-Value

{InfoItem:1 in 18.015} MO [0,1] B*

1 O 18.015-

RES-Value

{InfoItem:2 in 18.015} MO [0,10] B*

1 - 18.015-

[PRF,SUP,D

PC]-Value

TRUE B*

RT18.35 -

Field: 

18.016-

Autosomal 

STR, X-STR 

and Y-STR 

Value

8.18.16 <Table 79 lists the value constraints for 

STR.>

1 M 18.016-

DST-Value

ForEach(SubField in 18.016)

{

{InfoItem:1 in SubField} MO [0,1,2]

}

B*

1 M 18.016-

DLR-Value

ForEach(SubField in 18.016)

{

{InfoItem:2 in SubField} MO [1 to 200]

}

B*

1 M 18.016-

[ALL, LAI, 

PCDT]-

Value

ForEach(SubField in 18.016)

{

{InfoItem:3,4,5 in SubField} MO [0,1]

}

B*

1 D 18.016-

[AL1,AL2,AL

3]-Value

ForEach(SubField in 18.016)

{

{InfoItem:6,7,8 in SubField} GTE 0 

AND

IF Present(ASCII(.) in InfoItem: 6,7,8 in SubField)

Then Count(<number digits following> ASCII(.) in 

InfoItem: 6,7,8 in SubField) EQ 1 

}

t-18 B*

1 - 18.016-

[BID,ECR,LC

R,KNM,KM

F,KDS]-

Value

TRUE B*
276

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

1 M 18.016-KIDValueForEach(SubField in 18.016)

{

{InfoItem:12 in SubField} MO [0 to 999]

}

B*

RT18.36 -

Field: 

18.016-

Autosomal 

STR, X-STR 

and Y-STR 

Dependent 

Value

“The sixth information item shall have a 

value if ALL is 1. It shall be empty if

ALL is 0.“

“The seventh information item is 

conditional upon the value of ALL being 1. 

It may appear only if AL1 is used. “

“The eighth information item is optional 

but shall not appear unless ALL = 1. The 

information item allele call 3 / AL3

shall only appear if information items AL1 

and AL2 are present”

“KNM shall be entered if KID = 0”

“KMF shall be entered if KID = 0”

“KDS shall be entered if KID = 0”

1 D 18.016-

DependentAL1

ForEach(SubField in 18.016)

{

IF {InfoItem:3 in SubField} EQ 1, Then 

Present(InfoItem:6 in SubField)

AND

IF {InfoItem:3 in SubField} EQ 0, Then NOT 

Present(InfoItem:6 in SubField)

}

B*

1 D 18.016-

DependentAL2

ForEach(SubField in 18.016)

{

IF NOT Present(InfoItem:6 in SubField) Then NOT 

Present(InfoItem:7 in SubField)

ELSE 

IF {InfoItem:3 in SubField} EQ 1, Then 

Present(InfoItem:7 in SubField)

AND

IF {InfoItem:3 in SubField} EQ 0, Then NOT 

Present(InfoItem:7 in SubField)

}

B*

1 D 18.016-

DependentAL3

ForEach(SubField in 18.016)

{

IF NOT Present(InfoItem:6,7 in SubField) Then 

NOT Present(InfoItem:8 in SubField)

ELSE 

IF {InfoItem:3 in SubField} EQ 1, Then 

Present(InfoItem:8 in SubField)

AND

IF {InfoItem:3 in SubField} EQ 0, Then NOT

Present(InfoItem:8 in SubField)

}

B*

1 D 18.016-

Dependent-

[KNM, 

ForEach(SubField in 18.016)

{

IF {InfoItem:12 in SubField} EQ 0 Then 

B*
277

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

KMF, KDS] Present(InfoItem:13,14,15 in SubField)

}

RT18.37 -

Field: 

18.017-

Mitochondri

al DNA Data 

Value

8.18.17 <Table 79 lists the value constraints for 

DMD.>

1 M 18.017-

[MT1,MT2]

-Value

All(Bytes(InfoItem:1,2 in 18.017)) 

MO [ASCII(R,Y,M,K,S,W,H,B,V,D,N,-,A,G,C,T)]

B*

1 M 18.017-

[BSP,BCA,B

CG,BCC,BCT

]-Value

{InfoItem:3,5,6,7,8 in 18.017} GTE 0 AND MO

[Integers]

B*

2 M 18.017-

BEP-Value

{InfoItem:4 in 18.017} GT {InfoItem:3 in 18.017} 

GT 0 AND MO[Integers]

B*

RT18.38 -

Field: 

18.018-DNA 

UserDefined 

Profile Data 

Value

8.18.18 <Table 79 lists the value constraints for 

UDP.>

1 M 18.018-

Value

TRUE B

RT18.39 -

Field: 

18.019-

Electrophero

gram 

Description 

Value

8.18.19 <Table 79 lists the value constraints for 

EPD.>

1 - 18.019-

Value

TRUE B*

RT18.40 -

Field: 

18.020-DNA 

Genotype 

Distribution 

Value

8.18.20 <Table 79 lists the value constraints for 

DGD.>

1 O 18.020-

Value

{18.020} EQ 0 OR 1 B

RT18.41 -

Field: 

18.021- DNA 

Genotype 

Allele Pair 

Value

8.18.21 <Table 79 lists the value constraints for 

GAP.>

1 M 18.021-

GLR-Value

ForEach(SubField in 18.021)

{

{InfoItem:1 in SubField} MO [1 to 200]

}

B*

1 M 18.021-

ALP-Value

ForEach(SubField in 18.021)

{

B*
278

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

Count(<numbers separated by commas> in 

InfoItem:2 in SubField) EQ 2 AND 

ForEach (<number separated by comma in 

InfoItem:2 in SubField>)

{

<number> GTE 0 AND IF Present(ASCII(.) in 

<number>) Then Count(<digits after> ASCII(.) in 

<number>) EQ 1

} 

1 M 18.021-

GNW-Value

ForEach(SubField in 18.021)

{

{InfoItem:3 in SubField} GTE 0 AND LTE 1

AND

IF Present(ASCII(.) in InfoItem:3 in SubField) Then 

Count(<digits after> ASCII(.) in InfoItem:3 in 

SubField) MO [1 to 3]

} 

B*

RT18.42 -

Field: 

18.022-

Comment 

Value

8.18.22 <Table 79 lists the value constraints for 

COM.>

1 O 18.022-

Value

TRUE B

RT18.43 -

Field: 18.023 

Electrophero

gram Ladder 

Value

8.18.23 <Table 79 lists the value constraints for 

EPL.>

1 M 18.023-

Value

TRUE B*

RT18.44 -

Field: 18.200 

to 18.900-

User 

Defined 

Value

8.18.24 User Defined Fields - - 18.200 to 

18.900-

Value

TRUE B

RT18.45 -

Field: 

18.902-

Annotated 

8.18.25 This is an optional field, listing the 

operations performed on the original 

source in order to prepare it for inclusion 

in a biometric record type. See Section 

O 18.902-

[GMT, NAV, 

OWN, 

PRO]-Value

<See Requirement ID: “Field: xx.902-ANN” >. t-2
279

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

8.18: Record Type-18: DNA record

Information 

Value

7.4.1.

RT18.46 -

Field: 

18.993-

Source 

Agency 

Name

Value

8.18.26 This is an optional field. It may contain up 

to 125 Unicode characters. 

O 18.993-

Value

<See Requirment ID: “Field: Source Agency 

Name”.>

t-2

RT18.47 -

Field: 

18.995-

Associated 

Context 

Value

8.18.27 See Section 7.3.3 O 18.995-

[ACN, ASP]-

Value

<See Requirement IDs: “Field: xx.995-ASC” and 

“Field: xx.995-ASC-ACN” and

“Field: xx.995-ASC-ASP”>.

t-2

RT18.48 -

Field: 

18.998-

Geographic 

Sample 

Acquisition 

Location 

Value

8.18.28 See Section 7.7.3 O 18.998–

[UTE, 

LTD,LTM, 

LTS, LGD, 

LGM, LGS, 

ELE, GDC, 

GCM, GCE, 

GCN, GRT, 

OSI, OCV]-

Value

<See Requirement IDs: “Field: Geographic”, 

“Field: Geographic”, “Field: Geographic-Subfield 

1” through “Field: Geographic-Values-SubField 

15” >.

t-2
280

6.17 Annex B: Traditional Encoding

Table 6.15 - Assertions for Annex B - Traditional Encoding

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex B: Traditional Encoding

ANB.1 -

TraditionalField: 

xx.001-

Length, First 

Annex B The first field in all records shall contain 

the length in bytes of the record. For all 

ASCII or ASCII/Binary records the first 

field shall also be labeled as field ”1:”. 

M Traditional: 

xx.001-

Length, 

First

<See Requirement ID: “Field: xx.001-Record 

Header”.>

t-2 NA T

ANB.2 -

TraditionalField: 

xx.002-IDC

Annex B With the exception of the Type-1 record 

(See Section 8.1), the second field shall be 

labeled as field ”2” and contain the 

information designation character / IDC.

M Traditional: 

xx.002-IDC

<See Requirement ID: “Field: xx.002-IDC”.> t-2 NA T

ANB.3 -

TraditionalRecord: 

Type1-7-bit 

ASCII

Annex B The data in the Type-1 record shall always 

be recorded in variable length fields using 

the 7-bit American Standard Code for 

Information Interchange (ASCII) as 

described in ISO/IEC 64656. For purposes 

of compatibility, the eighth (leftmost) bit 

shall contain a value of zero. All field 

numbers and information separators shall 

be recorded in 7-bit ASCII as described in 

ISO/IEC 646.

M Traditional: 

Type-1-

ASCII

<See Requirement ID: “Record: Type1-ASCII”> t-2 NA T

ANB.4 -

TraditionalField: 

xx.001, 

xx.002, 

xx.999 

Ordered

Annex B Textual fields in Record Types 2 and 9-99 

may occur in any order after the first two 

fields and contain the information as 

described for that particular numbered 

field, except for field 999, which shall be 

the concluding field, when it is included in 

a record.

M Traditional: 

xx.001-First

<See Requirement ID: “Field: xx.001-Record 

Header”.>

t-2 NA T

M Traditional: 

xx.002-

Second

<See Requirement ID: “Field: xx.002-IDC”.> t-2 NA T

1 M Traditional: 

xx.999-Last

ForEach(Record in Transaction ST Type(Record) 

MO [1,2,9 to 99])

{

IF(Present(Field in Record ST FieldNumber(Field) 

EQ 999)

THEN

Field EQ Last(Field in Record)

NA T
281

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex B: Traditional Encoding

}

ANB.5 -

TraditionalTransaction: 

Separators

Annex B,

Table 93

In the Type-1, Type-2, Type-9 through 

Type-99 records, information is delimited 

by the four ASCII information separators. 

The delimited information may be items 

within a field or subfield, fields within a 

logical record, or multiple occurrences of 

subfields.

1 M Traditional:

Separators 

FS

ForEach(Record in Transaction ST Type(Record) 

MO [1,2,9 to 99])

{

Last(Byte in Record) EQ 0x1C

}

NA T

1 M Traditional:

Separators 

GS

<Use the GS separator as an identifier for the 

separation of fields during parsing.>

t-13 NA T

1 M Traditional:

Separators 

RS,US

<Use the RS and US separators as identifiers for 

separating subfields and information items

respectively during parsing.>

t-13 NA T

ANB.6 -

TraditionalTransaction: 

FS Separator

Annex B Multiple records within a transaction are 

separated by the “FS” character, which 

signals the end of a logical record.

M Traditional: 

FS 

Separator

<See Requirement ID: “Traditional-Transaction: 

Separators”.>

t-2 NA T

ANB.7 -

TraditionalTransaction: 

US, RS, GS, 

Separators

Annex B The “US” separator shall separate 

multiple items within a field or subfield; 

the “RS” separator shall separate multiple 

subfields, and the “GS” separator shall 

separate information fields. 

M Traditional: 

US, RS, GS 

Separators

<See Requirement ID: “Traditional-Transaction: 

Separators”.>

t-2 NA T

ANB.8 -

TraditionalTransaction: 

US 

Separator 

Present

Annex B In general, if one or more mandatory or 

optional information items are 

unavailable for a field or subfield, then 

the appropriate number of separator 

characters should be inserted. It is 

possible to have side-by-side 

combinations of two or more of the four 

available separator characters. When 

data are missing or unavailable for 

information items, subfields, or fields, 

there shall be one fewer separator 

characters present than the number of 

data items, subfields, or fields required.

1 M Traditional: 

US Present

<All Information Items, Mandatory and Optional, 

defined in the standard are separated by the US 

character—even if the value is missing. All 

“Presence” and “Count” tests for Information 

Items first check for the US separator, and then 

that there is data. For Information Items, 

presence is defined by the presence of data and 

the US separator. For Optional Information 

Items, the US separator is required, but not the 

data, since their presence is not required.>

NA T

ANB.9 -

TraditionalTransaction: 

B.1 Each information item, subfield, field, and 

logical record shall contain one or more 

bytes of data

1 M Traditional:

Data 

Length 

<This assertion is tested during the Character 

Count and Byte Length testing for each Record 

Type, which test for 1 byte of data at a 

t-2 NA T
282

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex B: Traditional Encoding

Data Length 

Minimum

Minimum minimum. See the following Type-10 

Requirement ID’s as an example: 

Field: Type10-CharCount and 

Field: Type10-Subfield CharCount .>

ANB.10 -

TraditionalTransaction: 

Big-Endian

B.1.1 Within a file, the order for transmission of 

both the ASCII and the binary 

representations of bytes shall be most 

significant byte first and least significant 

byte last otherwise referred to as BigEndian format. Within a byte, the order of 

transmission shall be the most significant 

bit first and the least significant bit last.

2 M Traditional:

Data BigEndian

<Use Big-Endian format when processing 

transactions. Also, provide warning if LittleEndian format is discovered.>

t-13 NA T

ANB.11 -

TraditionalTransaction: 

Date Format

B.1.2 Dates shall appear as eight digits in the 

format YYYYMMDD. The YYYY characters 

shall represent the year of the 

transaction; the MM characters shall be 

the tens and units values of the month; 

and the DD characters shall be the day in 

the month.

1 M Traditional: 

Date 

Format

<This assertion is tested for each field or subfield 

that requires a date entry. For example, see 

Requirement ID “Field: 1.005-Local Date Value”.>

t-2 NA T

ANB.12 -

TraditionalField: 

Agency Code 

Subfield 2

B.1.3 The 2007 version of the standard included 

only agency identifier fields (See Section 

7.6). The 2008 added the option of 

entering an organization name. This 

capability of the 2008 version is retained 

in this version of the standard by adding 

new fields (Field 1.017 Agency names / 

ANM and Fields xx.993 Source agency 

name / SAN)

M Traditional: 

Agency 

Code 

Subfield 2

<See Requirement ID: “Field: Agency Codes”.> NA T

ANB.13 -

TraditionalTransaction: 

GMT/UTC

B.1.4 GMT/UTC shall be represented as 

YYYYMMDDHHMMSSZ, a 15-character 

string that is the concatenation of the 

date with the time and concludes with 

the character nal enco

YYYY characters shall represent the year 

of the transaction. The MM characters 

shall be the tens and units values of the 

M Traditional: 

GMT/UTC

<This assertion is tested for each field or subfield 

that requires a GMT/UTC entry. For example, see 

Requirement ID “Field: Geographic-Subfield 1”.>

t-2 NA T
283

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex B: Traditional Encoding

month. The DD characters shall be the 

tens and units values of the day of the 

month. The HH characters represent the 

hour; the MM the minute; and the SS 

represents the second.

ANB.14 -

TraditionalTransaction: 

Field 

Numbering

B.1.5 For the Type-1, Type-2, Type-9 through 

Type-99 records, each information field 

that is used shall be numbered in 

accordance with this standard. The

format for each field shall consist of the 

logical record type number followed by a 

period “.”, a field number followed by a 

colon “:”, followed by the information 

appropriate to that field. The field

number may be any one to nine-digit 

number occurring between the period “.” 

and the colon “:”. It shall be interpreted 

as an unsigned integer field number. This 

implies that a field number of “2.123:” is 

equivalent to and shall be interpreted in 

the same manner as a field number of 

“2.000000123:”.

1 M Traditional: 

Field 

Numbering

<When parsing the fields, the record type 

number is the information before the period. 

The field number (up to 9 digits) comes after the 

period and before the colon. >

t-13 NA T

ANB.15 -

TraditionalRecord: 

Types 1,2,9 

ASCII

B.1.5 Logical Type-1, Type-2, and Type-9 

records contain only ASCII textual data 

fields. The ASCII File Separator “FS” 

control character (signifying the end of 

the logical record or transaction) shall 

follow the last byte of ASCII information 

and shall be included in the length of the 

record.

M Traditional: 

Type1-ASCII

<See Requirement ID: “Record: Type1-ASCII”.> t-2 NA T

1 M Traditional: 

Types 2,9-

ASCII

ForEach(Field in Record ST Type(Record) EQ 2 OR 

9)

{

{Bytes(Field)} MO [0x02, 0x03, 0x1C to 0x7E]

}

NA T

M Traditional: 

Types 

1,2,9-FS 

Separator

<See Requirement ID: “Traditional-Transaction: 

Separators”.>

t-2 NA T

ANB.16 -

TraditionalRecord: 

Types 4,8 

B.1.5 The Record Type-4: Grayscale fingerprint 

image, the Record Type-7: User-defined 

image record and the Record Type-8: 

Signature image record contain only 

M Traditional: 

Type4-

Binary

<See Requirement ID: “Field: Type4-CharType”.> t-2 NA T

M Traditional: <The test assertions for this type may not be t-2 NA T
284

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex B: Traditional Encoding

Binary binary data recorded as ordered fixedlength binary fields. The entire length of 

the record shall be recorded in the first 

four-byte binary field of each record. For 

these binary records, neither the record 

number with its period, nor the field

identifier number and its following colon, 

shall be recorded. Furthermore, as all the 

field lengths of these three records are 

either fixed and specified, none of the 

four separato characters (“US”, “RS”,” 

GS”, or “FS”) shall be interpreted as 

anything other than binary data. For 

these binary records, the ”FS” character 

shall not be used as a record separator or 

transaction terminating character.

Type8-

Binary

supported in this version of the CTM. If they are 

supported, they are included under assertions

for Record Type-8: Signature image record.>

ANB.17 -

TraditionalRecord: 

Types 10 to 

99 Format

B.1.5 The Type-10 through Type-99 records 

combine ASCII fields with a single binary 

sample field. Each ASCII field contains a 

numeric field identifier and its descriptive 

data. When Field 999 is present in a 

record it shall appear as the last entry in 

the record and shall contain the data 

placed immediately following the colon 

(er and its descriptive data. When record 

length field shall contain the length of the 

record. The ASCII File Separator 

“FS”control character shall follow the last 

byte of the compressed or uncompressed 

sample data. The “FS” character shall 

signify the end of the logical record or 

transaction and shall be included as part 

of the record length.

M Traditional: 

Types 10 to 

99, xx.999 

last

<See Requirement ID: “Traditional-Field: xx.001, 

xx.002, xx.999 Ordered” .>

t-2 NA T

M Traditional: 

Types 10 to 

99, Record 

Length

<See Requirement ID: “Field: xx.001-Record 

Header”.>

t-2 NA T

M Traditional: 

Types 10 to 

99, FS 

Separator

<See Requirement ID: “Traditional-Transaction: 

Separators”.>

t-2 NA T

ANB.18 -

TraditionalTransaction: 

Base 64

B.1.5 The Base-64 encoding scheme (See Annex 

A: Character encoding information) shall

be used for converting non-ASCII text into 

ASCII form. The field number including 

Traditional: 

Base 64

<Unsupported.> t-4 NA T
285

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex B: Traditional Encoding

the period and colon, for example 

“2.001:”, in addition to the “US”, “RS”, 

“GS”, and “FS” information separators 

shall appear in the transaction as 7-bit 

ASCII characters without conversion to 

Base-64 encoding.

ANB.19 -

TraditionalTransaction: 

Encoding 

Sets

B.1.6 In order to effect data and transaction 

interchanges between non-English 

speaking or foreign-based agencies, a 

technique is available to encode 

information using character encoding sets

other than 7-bit ASCII.

Traditional:

Additional 

Encoding 

Sets

<Unsupported.> t-4 NA T

ANB.20 -

TraditionalField: 1.001 

Record 

Header

B.2.1 Field 1.001 Record header shall begin 

with d header ecordode is renamed UTF16, a

record including every character of every 

field contained in the record and the

information separators. The cter of every 

field contained in the record and theng 

setsField 1.001 from the next field.

M Traditional: 

1.001-

Record 

Length

<See Requirement ID “Field: xx.001-Record 

Header”>

t-2 NA T

M Traditional: 

1.001-GS

Separator

<See Requirement ID: “Traditional-Transaction: 

Separators”.>

t-2 NA T

ANB.21 -

TraditionalField: 1.005 

Date Format

B.2.1 The year, month, and day values in Field 

1.005 Date / DAT are concatenated

“YYYYMMDD”

M Traditional: 

1.005-Date 

Format

<See Requirement ID “Field: 1.005-Local Date 

Value”.>

t-2 NA T

ANB.22 -

TraditionalField: 1.013 

DOM

B.2.1 In Field 1.013 Domain name / DOM, the 

default is “1.013:NORAM‘US’‘GS’”

Traditional: 

1.013-DOM

<Unsupported.> t-3 NA T

ANB.23 -

TraditionalTransaction: 

FS Separator 

Replaces GS

B.2.1 Immediately following the last 

information item in the Type-1 record 

(See Section 8.1), an tFSFSn 8.1 following 

the last information item in the from the 

next logical record. This “FS” character 

shall replace the “GS” character that is 

normally used between information

fields. This is the case with all Record 

Types.

M Traditional: 

FS Replaces 

GS

<See Requirement ID: “Traditional-Transaction: 

Separators”.>

t-2 NA T
286

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex B: Traditional Encoding

ANB.24 -

TraditionalRecord: 

Type4-Fields 

Fixed

B.2.2 The order of fields for Type-4 records is 

fixed. All fields and data in this record 

type shall be recorded as binary 

information.

2 M Traditional: 

Type4 

Fields Fixed

<Parse Type 4 as unnumbered binary data in the 

order presented in Table 24>.

t-13 NA T

ANB.25 -

TraditionalRecord: 

Type7-

Requiremen

ts TBD

B.2.3 <This section contains requirements 

regarding Type-7 records. If this type is 

supported by the CTM, the requirements 

will be added.>

- Traditional: 

Type7 

Assertions 

TBD

<This section contains requirements regarding 

Type-7 records. If this type is supported by the 

CTM, the assertions will be added.>

t-15 NA T

ANB.26 -

TraditionalRecord: 

Type8-

Requiremen

ts TBD

B.2.4 <This section contains requirements 

regarding Type-8 records. If this type is 

supported by the CTM, the requirements 

will be added.>

- Traditional: 

Type8

Assertions 

TBD

<This section contains requirements regarding 

Type-8 records. If this type is supported by the 

CTM, the assertions will be added.>

t-15 NA T

ANB.27 -

TraditionalRecord: 

Type9-

Requiremen

ts TBD

B.2.5 <This section contains requirements 

regarding Type-9 records. If this type is 

supported by the CTM, the requirements 

will be added.>

- Traditional: 

Type9

Assertions 

TBD

<This section contains requirements regarding 

Type-9 records. If this type is supported by the 

CTM, the assertions will be added.>

t-15 NA T

ANB.28 -

TraditionalTransaction: 

Type11-

Reserved

B.2.7 This Record Type is reserved for future 

use as Voice data.

M Traditional: 

Type11-

Reserved

<See Requirement ID: “Transaction: Reserved 

Records”.>

t-2 NA T

ANB.29 -

TraditionalTransaction: 

Type12-

Reserved

B.2.8 This Record Type is reserved for future 

use as Dental data.

M Traditional: 

Type12-

Reserved

<See Requirement ID: “Transaction: Reserved 

Records”.>

t-2 NA T

ANB.30 -

TraditionalField: 13.014 

RS 

B.2.9 For Field 13.014: Search position 

descriptors / SPD, multiple portions of the 

EJI may be listed and separated by the 

”RS” character. 

M Traditional: 

13.014-RS 

Separated

<See Requirement ID: 

“Field: SPD,PPD Values .>

t-2 NA T
287

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex B: Traditional Encoding

Separated

ANB.31 -

TraditionalField: 13.015 

Subfields

B.2.9 For Field Field 13.015: Print position 

coordinates / PPC, the six information 

items within the field are separated by 

five sUS PPCDDental data.SUblock shall 

belowed by tedal definitions may be 

repeated as subfields separated by the 

dRSblock shall 

M Traditional: 

13.015-

Subfields

<See Requirement ID: 

“Field: PPC-Subfield Occurrences”.>

t-2 NA T

ANB.32 -

TraditionalField: 13.024 

Subfields

B.2.9 Field Field 13.024: Latent quality metric / 

LQM may contain one or more subfields,

each consisting of four information items 

separated by the”US” character. The 

subfield may be repeated for each latent 

image and quality algorithm used, 

separated by the “RS” character.

M Traditional: 

13.024-

Subfields

<See Requirement IDs: “Field: Sample Quality 

Occurrences” to 

“Field: Sample Quality Additional Subfield”.>

t-2 NA T
288

6.18 Annex C: NIEM-conformant Encoding Rules

Table 6.15 - Assertions for Annex C – NIEM-conformant Encoding

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex C: NIEM-conformant Encoding

ANC.1 -

NIEMTransaction: 

Schema 

Validation

C.2, C.4, 

C.5.1

The XML schema referenced for this 

encoding define the structure and order 

of the elements in the information 

exchange package. To the extent possible, 

the schema define data types and 

constraints that enforce the allowable 

content rules of the base standard.

Nevertheless, the XML schema may not 

strictly enforce the allowable content. 

The base standard defines allowable 

content, and its requirements shall be 

met by implementers regardless of 

encoding method.

All of this standard’s required elements 

shall be present in a conforming instance

document even if the schema referenced 

by this annex do not strictly enforce the

requirement.

The base standard defines allowable 

content, and its requirements shall be 

met by implementers regardless of 

encoding method.

2 M NIEMSchema 

Valdiation

<Perform and report Schema validation. Note 

that the schema does not strictly enforce the 

standard, so the conformance of a transaction 

cannot be claimed from the result of schema 

validation.>

Y X-O

ANC.2 -

NIEMElement 

Presence

C.3 All of this standard’s required elements 

shall be present in a conforming instance

document even if the schema referenced 

by this annex do not strictly enforce the

requirement.

1 M NIEMElement 

Presence

<The validation of the schema is not enough to 

test for requirements for element presence. Test 

the presence of the elements independently.>

Y X-O

ANC.3 - C.4.1 Each XML information element, tags and 1 M NIEM- XML <Encoding specified in XML Declaration> MO Y X-O
289

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex C: NIEM-conformant Encoding

NIEMTransaction: 

XML 

Encoding

data content, shall be represented by a

character set that is a subset of Unicode 

and that is allowable by W3C XML. 

Characters shall be transmitted using a 

Unicode encoding.

Encoding [“UTF-8”, “UTF-16”, “UTF-32”]

ANC.4 -

NIEMTransaction: 

XML 

Declaration

C.4.1 XML packages shall include an XML 

declaration that specifies the encoding.

1 M NIEM- XML 

Declaration

First(XElm in Transaction) EQ <XML Declaration> Y X-O

ANC.5 -

NIEMTransaction: 

Image Base64

C.4.2, 

C.4.3, 

C.5.8

Binary data so constructed as to 

represent a grayscale image shall be 

converted to ASCII characters prior to 

transmission using Base-64 encoding.

Binary image data may be constructed in 

either compressed or uncompressed

form, then shall be converted to ASCII 

characters prior to transmission using 

Base-64 encoding.

Image data shall be converted to ASCII 

characters using the Base-64 encoding

algorithm.

1 M NIEMImage 

Base-64

<Interpret all images as Base-64> NA X-O

ANC.6 -

NIEMTransaction 

Required 

Record 

Types

C.5.1, 

C.6.3

An exchange package shall consist of two 

or more logical records. This exchange 

package shall contain two or more logical 

records. One of those records shall be 

the Type-1 

“<itl:PackageInformationRecord>”.

1 M NIEMRequired 

Record 

Types

<See Transaction: Required Record Types> t-2 X-O

ANC.7 -

NIEMTransaction 

WellFormed XML

C.5.2, 

C.5.3

All separators are defined by the W3C 

XML recommendations. The characters 

“<” and “>” are reserved exclusively for 

enclosing XML element names. Every 

element with a start tag <Name> shall 

have an end tag of format </Name>. For 

all logical records – including Types 4, 7, 

and 8 that do not have field tags in the

traditional encoding -- data elements are 

1 M NIEMWellFormed 

XML

<Test that the XML is well-formed according to 

W3C XML recommendations. This includes 

record types that do not have field tags in 

Traditional Encoding (4, 7, 8).>

Y X-O
290

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex C: NIEM-conformant Encoding

tagged according to XML rules. The 

format for each element shall consist of a

start tag enclosed in angle brackets 

followed by data

followed by an end tag.

ANC.8 -

NIEMTransaction 

Element 

Hierarchy

C.5.3 The ordering of elements is strict. The 

schema referenced by this annex define 

the order and nesting structure of 

elements. The schema also provide a W3C 

representation of the order and 

hierarchical structure of the XML content.

2 M NIEMElement 

Hierarchy

<Use the schema validation to test for XML 

element hierarchy and ordering.>

Schema X-C

ANC.9 -

NIEMTransaction 

Common 

Date

C.5.4 Common dates (other than GMT) shall be 

represented in the form YYY-MM-DD, 

YYYY-MM, or YYYY. 

1 M NIEMCommon 

Date

<This assertion is addressed on a per-field basis>. t-2, t6X-I <The 

schema 

allows 

UTC/GMT 

formats for 

common 

dates.>

ANC.10 -

NIEMTransaction 

UTC/GMT 

Date

C.5.5 GMT date/time values shall be 

represented in the form YYYY-MMDDThh:mm:ssZ

1 M NIEMUTC/GMT 

Date

<This assertion is addressed on a per-field basis>. t-2, t6X-I <The 

schema 

allows 

common 

date format 

for 

UTC/GMT 

dates.>

ANC.11 -

NIEMTransaction 

Abstract 

Elements

C.5.6 The abstract elements listed in Section 

C.3 Scope, purpose, and conformance 

allow

implementers to extend the specification 

by supplying substitution elements of 

their own design. Implementers shall 

define, in an extension schema, a 

substitution element containing

user-defined child elements.

2 O NIEMAbstract 

Elements

<The user-defined schema shall be used to 

validate elements substituted for abstract 

elements. Note: Conformance for user-defined 

elements are not part of the scope of this CTM.>

t-3 X-P

ANC.12 -

NIEMC.6 If the base specification and schema define an element as optional, it should 

1 M NIEMOptional <All elements present in a transaction shall be 

tested for conformance, even optional 

Y X-O
291

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex C: NIEM-conformant Encoding

Transaction 

Optional 

Elements

be omitted altogether rather than 

transmitting the element tags without 

any data content. 

Elements elements.>

ANC.13 -

NIEMTransaction 

Optional 

Element

Tags

C.6 If the base specification and schema 

define an element as optional, it should 

be omitted altogether rather than 

transmitting the element tags without 

any data content. 

1 M NIEMOptional 

Elements

<Optional element tags shall be present only 

when they contain data. For missing optional 

data, the element tags are not present.>

Y X-O

ANC.14 -

NIEMTransaction 

Mandatory 

Element

Tags

C.6 For mandatory elements, in all cases, the 

element tags shall appear in the instance 

package.

1 M NIEMMandatory 

Elements

<Mandatory element tags shall always be 

present.>

Y X-P < 

Schema 

allows some 

mandatory 

elements to 

be optional 

(and vica 

versa)>

ANC.15 -

NIEMTransaction 

Mandatory 

Values

C.6 When there is no information to be 

transmitted for a mandatory element, 

prior agreement shall be made with the 

recipient agency or organization before 

constructing and transmitting an instance 

package. For cases where an agreement is 

made to accept records with missing 

mandatory data, the following 

recommendations are made.

1 M NIEMMandatory 

Values

<It is outside the scope of the CTM to test for 

special cases for omitted mandatory data. In all 

cases, when mandatory elements are present, 

those elements’ values shall be tested for 

conformance based upon the requirements in 

the base standard per the statement in Section 

C.5.1: The base standard defines allowable 

content, and its requirements shall be met by 

implementers regardless of encoding method. >

X-P

ANC.16 -

NIEMTransaction 

Domains 

and Profiles

C.6.3, C.8 Certain portions of the exchange package, 

such as Record Type-2, shall be in 

accordance

with definitions set according to the 

implementation domain or application 

profile.

Each user-defined XML element shall also 

have a definition and data type associated 

with it. Each domain or application profile 

created shall have a point of contact 

responsible for keeping the

1 O NIEMDomains 

and Profiles

<Not supported: outside the scope of the CTM.> t-3 X-P
292

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex C: NIEM-conformant Encoding

documentation on the content of the 

user-defined data blocks within their 

domain. The contact shall serve as a 

registrar and maintain a repository 

including documentation for all the 

common and user-specific Type-2 content 

contained within the substitution block

for <itl:DomainDefinedDescriptiveDetail>.

ANC.17 -

NIEMTransaction 

Contents

C.6.3 All of the logical records

belonging to a single package shall be 

contained within a single

<itl:NISTBiometricInformationExchangePa

ckage>

3 M NIEMContents<Not able to test that all records are present in 

the transaction.>

t-1 X-O

ANC.18 -

NIEMRecord 

Category 

Code

C.7 The first element in all XML encoded 

records shall be labeled

<biom:RecordCategoryCode> and contain 

the type (category) number of the record.

1 M NIEMRecord 

Category 

Code

<Test that the first element in each Record is the 

Record Category Code element during parsing. 

The value tests are handled on a per assertion 

basis.>

t-2 X-P

ANC.19 -

NIEMInformation 

Designation 

Character

C.7 The second element in every record other 

than the Type-1 record,

shall be labeled 

<biom:ImageReferenceIdentification> and 

contain the Information

designation character / IDC.

1 M NIEMInformation 

Designation 

Character

<Test that thesecond element in each Record 

other than Type-1 is the Infomration Designation 

Character element during parsing. The value 

tests are handled on a per assertion basis.>

t-2 X-P

ANC.20 -

NIEMRecord 

Elements

C.7 The remaining XML elements in each 

record shall be present in the order 

defined by the schema and contain data 

described in the base standard for that 

particular element.

1 M NIEMRecord 

Elements

<Use the schema validation to check for errors in 

ordering of the elements and test for this order 

during parsing. The data contraints defined by 

the base standard are addressed on a perassertion basis in the CTM.>

t-2 X-P

ANC.21 -

NIEMElements 

Value 

Format

Schema <The Schema defines Niem Core (nc) 

elements that are sometimes used to 

contain values such as:

nc:Date, nc:DateTime, nc:IdentificationID, 

nc:MeasurePointValue, nc:Year, and 

nc:YearMonth

These elements are not listed in Annex G, 

and therefore do not have a listed 

1 M NIEMValuePrese

nt

Foreach(Xelm in Transaction ST Xelm <is 

required to contain a value>)

{

Count(<Child Elements> in Xelm) EQ 1

AND

Y X-P
293

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex C: NIEM-conformant Encoding

cardinality. However, these elements 

must be present (cardinality is 1...1) to 

avoid omitting required values. 

In addition, any element that is required 

to contain a value must have only one 

child element—the value expected, or 

one of the Niem Core elements defined 

by the Schema.>

If <Schema defines Niem Core element> THEN 

<Child Element> in Xelm EQ <defined Niem Core 

Element> AND Count(<Child Elements> in <Niem 

Core Element>) EQ 1 AND <Is Text>

ELSE

<Child Element Is Text>

}

ANC.22 -

NIEMWhiteSpace

NONE <The nature of XML allows leading and 

trailing whitespace due to formatting 

preferences. This whitepace (including 

spaces, linefeeds, newline characters, etc) 

should not be tested as data unless it 

occurs in a field marked with Character 

Type ANS or U.

Also, for Image data 

(BinaryBase64Object), it is common for 

whitespace to be present in the data for 

formatting. This whitespace should be 

ignored.

1 M NIEMWhitespaceIF <CharacterType of XElm> NOT EQ “ANS” OR 

“U”

THEN 

<Provide Warning if leading or trailing 

whitespace present and ignore the whitespace 

for all other assertions.>

<Whitespace for Base64 is handled by the 

Schema.>

Y X

ANC.23 -

NIEMLeadingZero

s

NONE <XML Values representing numbers shall 

not have leading zeros unless indicated by 

the standard.>

1 M NIEMLeadingZer

os

IF <CharacterType of XElm> EQ “N” OR “NS”

THEN 

NOT Present <Leading Zeros in XElm>

Y X
294

6.19 Annex G: Mapping to the NIEM IEPD

Table 6.15 - Assertions for Annex G – Mapping to the NIEM IEPD

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex G: Mapping to the NIEM IEPD 

ANG.1 -

NIEMCardinality

Annex G 

Tables

<The tables in Annex G list Cardinality 

values for each element.>

1 M NIEMCardinality<These assertions are addressed on a per-record 

basis. See assertions in the Record-specific 

assertion tables.>

t-2 X-P

1 M NIEMMandatory 

Elements

<These assertions are addressed on a per-record 

basis. See assertions in the Record-specific 

assertion tables.>

t-2 X-P

ANG.2 -

NIEMUndefined 

Elements

Annex G 

Tables

<Annex G defines the allowable elements 

for the XML transaction. Note that NiemCore (nc) such as nc:IdentificationID and 

nc:Date are not listed in Annex G.>

1 M NIEMUndefinedElementUn

defined

<If an element is not defined in Annex G (with 

the exception of the Niem-Core elements that 

contain values as child elements) report an 

error>.

Y

ANG.3 -

NIEMTransaction

MajorVersio

nValue

Annex G 

Note 77

This element contains the first 2 

characters of Field 1.002 Version number 

/ VER

1 M NIEMMajorVersi

onValue

<See NIEM-1.001-Value> t-2 X-O

ANG.4 -

NIEMTransaction

MinorVersio

nValue

Annex G 

Note 78

This element contains the last 2 

characters of Field 1.002 Version number 

/ VER

1 M NIEMMinorVersi

onValue

<See NIEM-1.001-Value> t-2 X-O

ANG.5 -

NIEMTransactionC

ategory

Annex G 

Foot 

Note 79

This element is abstract and must be 

substituted either with

biom:TransactionCategoryCode or a userdefined element that is in the substitution 

group of biom:TransactionCategory

1 M NIEMTransaction

Category

<It is outside the scope of this CTM to define 

assertions for user-defined data. To conform to 

the base standard and original Schema, the 

transaction must use 

biom:TransactionCategoryCode>

Y X-P

ANG.6 -

NIEMUserDefined

Annex G 

Foot 

Notes 81, 

95, 107, 

114, 

115,116,

This element is abstract and must be 

substituted with a user-defined element.

1 M NIEMUserDefine

d

<It is outside the scope of this CTM to define 

assertions for user-defined data. >

t-3 X-P
295

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex G: Mapping to the NIEM IEPD 

117,118, 

123, 124, 

130, 132

ANG.7 -

NIEMFaceImageD

ependent

Annex G

Foot 

Note 96

If the IMT field contains the value "FACE", 

this element is mandatory; otherwise it

shall not appear.

2 M NIEMType10-

FaceImage

Dependent

Present (XElm(biom:FaceImage))

IFF {XElm(biom:ImageCategoryCode)} EQ 

ASCII(FACE)

Y X-O

ANG.8 -

NIEMFaceOrPhysi

calImageOnl

y

Annex G

Foot 

Note 97

One and only one of biom:FaceImage or 

biom:PhysicalFeatureImage must appear.

2 M NIEMType10-

FaceOrPhys

icalFeatureI

mage

Present (XElm(biom:FaceImage))

XOR

Present (XElm(biom:PhysicalFeatureImage))

Y X-O

ANG.9 -

NIEMPhysicalFeat

ureImageDe

pendent

Annex G

Foot 

Note 98

If the IMT field does not contain the value 

"FACE", this element is mandatory;

otherwise it shall not appear.

2 M NIEMPhysicalFea

tureImageD

ependent

Present (XElm(biom:PhysicalFeatureImage))

IFF {XElm(biom:ImageCategoryCode)} NEQ 

ASCII(FACE)

Y X-O

ANG.10 -

NIEMGeodeticDat

umSystemC

ode

Annex G

Foot 

Note 99

Used for specific values in Table 6. 1 M NIEMGeodeticDa

tumSystem

Code

<See NIEM-xx.998-GDC-Value> t-2 Y X-O

ANG.11 -

NIEMGeodeticDat

umSystemN

ame

Annex G

Foot 

Note 100

Used for user-defined "other" values 

(entries up to 6 characters).

1 M NIEMGeodeticDa

tumSystem

Name

<See NIEM-xx.998-GDC-Value> t-2 Y X-O

ANG.12 -

NIEMFaceImageAt

tributeLegacy

Annex G

Foot 

Note 101

For legacy use only. 1 M NIEMFaceImage

AttributeLegacy

<See 10.022-PXS-Legacy > t-2 Y X-O

ANG.13 -

NIEMFaceImageD

escriptionCo

Annex G 

Foot 

Note 102

Use this element when the value is 

explicitly specified in Table 62 Subject 

facial description codes , or is a physical 

characteristic from Annex D: NCIC code 

1 M NIEMFaceImage

Description

Code

< See NIEM-10.026-SXS-Value> t-2 Y X-O
296

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex G: Mapping to the NIEM IEPD 

de table.

ANG.14 -

NIEMFaceImageD

escriptionTe

xt

Annex G 

Foot 

Note 103

Use this element when the value is 

unformatted text (identified as "Other

characteristics" in Table 62 Subject facial 

description codes.

1 M NIEMFaceImage

Description

Text

<See NIEM-10.026-SXS-Value> t-2 Y X-O

ANG.15 -

NIEMFaceImageFeaturePoint

TierCode

Annex G 

Foot 

Note 104

Use this element when the value is 

explicitly listed in Table 66 Tiered markup

collections (frontal) .

1 M NIEMFaceImageFeaturePoi

ntTierCode

<See NIEM-10.031-Value > t-2 Y X-O

ANG.16 -

NIEMFaceImageFeaturePoint

TierNumeric

Annex G 

Foot 

Note 105

Use this element for user-defined values. 1 M NIEMFaceImageFeaturePoi

ntTierNum

eric

<See NIEM-10.031-Value > t-2 Y X-O

ANG.17 -

NIEMFingerImpre

ssionImageD

ependent

Annex G 

Foot 

Note 108

This element is used if the IMP field 

contains one of the values 4 through 7, 28 

or 29

2 M NIEMType13-

FingerImpr

essionImag

eDependen

t

IF Present(XElm(biom:FingerImpressionImage)) 

THEN 

{XElm(biom:FingerprintImageImpressionCapture

CategoryCode)} MO [4 to 7, 28, 29]

Y X-O

ANG.18 -

NIEMOnlyOneLat

entImageTy

pe

Annex G 

Foot 

Note 109

One and only one of 

biom:FingerImpressionImage, 

biom:PalmprintImage,

biom:PlantarImage or 

biom:FrictionRidgeImage must appear.

2 M NIEMType13-

OnlyOneLat

entImageTy

pe

Present (XElm(biom:FingerImpressionImage))

XOR

Present (XElm(biom:PalmprintImage))

XOR

Present (XElm(biom:PlantarImage))

XOR

Present (XElm(biom:FrictionRidgeImage)) 

Y

ANG.19 -

NIEMPalmprintIm

ageDepende

nt

Annex G 

Foot 

Note 110

This element is used if the IMP field 

contains one of the values 12 through 15, 

28 or 29

2 M NIEMType13-

PalmprintI

mageDepe

ndent

IF Present(XElm(biom: biom:PalmprintImage)) 

THEN 

{XElm(biom:FingerprintImageImpressionCapture

CategoryCode)} MO [12 to 15, 28, 29]

Y X-O

ANG.20 -

NIEMAnnex G Foot 

This element is used if the IMP field 

contains one of the values 32 through 35, 

2 M NIEMType13-IF Present(XElm(biom:PlantarImage)) THEN 

{XElm(biom:FingerprintImageImpressionCapture

Y X-O
297

Req. # - ID Ref. in 

Base 

Std.

Requirement

Summary

L

e

v

e

l

S

t

a

t

u

s

Assertion

ID

Test

Assertion

Test

Note

Imp. 

Support

Supported 

Range

Test 

Result

Applicable 

to (T, X, B, 

B*, or X*)

Annex G: Mapping to the NIEM IEPD 

PlantarImag

eDependent

Note 111 28 or 29 PlantarIma

geDepende

nt

CategoryCode)} MO [32 to 35, 28, 29]

ANG.21 -

NIEMFrictionRidg

eImage 

Dependent

Annex G 

Foot 

Note 112

This element is used if the IMP field 

contains one of the values 4 through 7, 12

through 15, 28, 29, or 32 through 39.

2 M NIEMType13-

FrictionRidg

eImage 

Dependent

IF Present(XElm(biom: FrictionRidgeImage)) 

THEN 

{XElm(biom:FingerprintImageImpressionCapture

CategoryCode)} MO [4 to 7,12 to 15, 28, 29, 32 

to 39]

Y X-O
298

6.20 Test notes

The following test notes provide clarification of the assertion text provided in the Test Assertion column. The test notes contain various 

types of information including:

 Additional information to help clarify complex assertions such as image metadata and IDC comparisons. 

 Explanations of decisions made when the base standard is not clear or contains possible discrepancies. 

 “Exception” which refers to any AN-2011 requirement that does not have an associated assertion defined in this document.

t-1. Semantic (Level 3) assertions are not included in the tables except to intentionally clarify that the assertion is L3. An explanation 

may be given regarding the assertion’s categorization as L3. 

t-2. The assertions for this requirement are listed in another section of the table as described in the “Test Assertion” column.

t-3. Assertions related to Domain Names, Application Profile Specifications, and other user-defined types are outside the scope of this 

CTM. 

t-4. Assertions related to Character Sets other than 7-bit ASCII or binary are not addressed in the tables.

t-5. For fields with matching IDC’s, refer to the tables below to determine the test result based upon the biometric sample types being 

compared. For matching IDC’s that belong to record types not listed below, the test reports a warning.

Table 6-16 - IDC ID Location Comparison

IDC: ID Location Comparison

Record Type Biometric Field For Comparison ID

4 FINGER {Byte:1 in 4.004}

9 MINUTIAE NA

10 {10.003}

<SCAR, MARK, 

TATTOO, or FACE>

IF {10.003} MO [ASCII(SCAR,MARK, 

TATTOO)] THEN 

{InfoItem:1 in 10.040}

13 FRICTIONRIDGE {InfoItem:1 in SubField:1 in 13.013}
299

14 FINGER {InfoItem:1 in SubField:1 in 14.013}

15 PALM {15.013}

17 IRIS {17.003}

19 PLANTAR {19.013}

Table 6-17 - IDC Comparison Results

IDC: Comparison Results

First Record Second Record Comparison IDs Notes Result

FINGER FINGER Same Ok

FINGER FINGER Different Error

FINGER MINUTIAE NA Ok

FINGER FRICTIONRIDGE Same Ok

FINGER FRICTIONRIDGE Different Error

FINGER PALM All EQ 33 OR All 

EQ 36

33 and 36 are 

hypothenar codes 

(palm) but are part 

of the extended 

fingerprint set

Ok

FINGER PALM Any NEQ 33 OR 

Any NEQ 36

33 and 36 are 

hypothenar codes 

(palm) but are part 

of the extended 

fingerprint set

Error

FINGER NOT MO[ FINGER, 

MINUTIAE, 

FRICTIONRIDGE, PALM]

NA Error

FACE FACE NA Ok

FACE NEQ FACE NA Error
300

FRICTIONRIDGE FRICTIONRIDGE, FINGER, 

PALM, or PLANTAR

Same Ok

FRICTIONRIDGE FRICTIONRIDGE, FINGER, 

PALM, or PLANTAR

Different Error

FRICTIONRIDGE MINUTIAE NA Ok

FRICTIONRIDGE NEQ FRICTIONRIDGE, 

FINGER, PALM, PLANTAR, 

MINUTIAE

NA Error

IRIS IRIS Same Ok

IRIS IRIS Different Error

IRIS NEQ IRIS NA Error

SCAR SCAR Same Ok

SCAR SCAR Different Warning

SCAR MARK or TATTOO Same or 

Different

Warning

SCAR NEQ SCAR, MARK, or 

TATTOO

NA Error

MARK MARK Same Ok

MARK MARK Different Warning

MARK SCAR Or TATTOO Same or 

Different

Warning

MARK NEQ SCAR, MARK, or 

TATTOO

NA Error

MINUTIAE MINUTIAE NA Ok

MINUTIAE FINGER, PALM, or 

PLANTAR and optional 

FRICTIONRIDGE

NA Ok

MINUTIAE NEQ MINUTIAE, FINGER, 

FRICTIONRIDGE, PALM, or 

PLANTAR

NA Error

TATTOO TATTOO Same Ok

TATTOO TATTOO Different Warning

TATTOO SCAR Or MARK Same or 

Different

Warning

TATTOO NEQ SCAR, MARK, or NA Error
301

TATTOO

PALM PALM Same Ok

PALM PALM Different Error

PALM FRICTIONRIDGE Same Ok

PALM FRICTIONRIDGE Different Error

PALM MINUTIAE NA Ok

PALM FINGER Same AND Both 

EQ 33 OR 36

33 and 36 are 

hypothenar codes 

(palm) but are part 

of the extended 

fingerprint set

Ok

PALM FINGER Different OR 

Both NEQ 33 OR 

36

33 and 36 are 

hypothenar codes 

(palm) but are part 

of the extended 

fingerprint set

Error

PALM NEQ PALM, MINUTIAE, 

FRICTIONRIDGE, OR 

FINGER

NA Error

PLANTAR PLANTAR Same Ok

PLANTAR PLANTAR Different Error

PLANTAR FRICTIONRIDGE Same Ok

PLANTAR FRICTIONRIDGE Different Error

PLANTAR MINUTIAE NA Ok

PLANTAR NOT MO [PLANTAR, 

FRICTION RIDGE, 

MINUTIAE]

NA Error

UNKNOWN ANY NA UNKNOWN

represents any types 

that are currently 

not supported.

Warning

ANY UNKNOWN NA UNKNOWN 

represents any types 

that are currently 

not supported.

Warning
302

t-6. UTC has replaced GMT. Date and time are defined in section 7.7.2 of the standard. The set of values ValidUTC/GMT is 

described in section 7.7.2.2 of the standard and is always less than the current date and time. ValidUTC/GMT is in the form 

YYYYMMDDHHMMSSZ; NIEM-ValidUTC/GMT is in the form YYYY-MM-DDThh:mm:ssZ. The ValidLocalDate is in 

the form YYYYMMDD; NIEM-ValidLocalDate is in the form YYYY-MM-DD, YYYY-MM, or YYYY.

t-7. Assertions for alternate coordinate systems are not included in the tables. 

t-8. Refer to http://earth-info.nga.mil/GandG/coordsys/grids/utm.html to determine valid values for the band of latitude and grid 

zone.

t-9. L2 and L3 assertions associated with SAP, FAP, and IAP are not included in the tables. Some of the assertions, such as 

determining the conditions under which the samples were collected to ensure the SAP, FAP, or IAP levels, are not feasible to 

test. 

t-10. IBIA Vendor Registry is a registry that maps the QAV value to a registered CBEFF Biometric Organization. Since the 

standard does not require that the value be registered with IBIA, the test assertions will accept any values for QAV.

t-11. All assertions associated with compressed image types use the image metadata and not the image data itself. Metadata 

features from each image type are defined in the “Image Metadata” table below. Combining the “Term” with the “Image 

Type” provides the specific implementation. For example, {Image Height-PNG} is equivalent to “2nd parameter of the IHDR 

chunk”. Note that for NIEM encoding, the image data must first be converted from Base-64. 

Table 6-18 - Image Metadata

Image Metadata 

Term Image Type(s) Implementation

Image Width

JPEG, JPEGL 4

th parameter of the Frame Header not counting the SOF marker

JP2, JP2L 2

nd parameter of Image Header box

PNG 1

st parameter of IHDR chunk

WSQ 5

th parameter of SOF not counting the SOF marker

Image Height

JPEG, JPEGL 3

rd

 parameter of the Frame Header not counting the SOF marker

JP2, JP2L 1

st

 parameter of Image Header box

PNG 2

nd parameter of IHDR chunk

WSQ 4

th parameter of SOF not counting the SOF marker
303

Sampling Units

JPEG, JPEGL 4

th parameter in JFIF Header not counting the APP0 Marker

JP2, JP2L Undefined

PNG 3

rd parameter of PHYS chunk

WSQ Undefined

Horizontal Density

JPEG, JPEGL 5

th parameter in JFIF Header not counting the APP0 Marker

JP2, JP2L Undefined

PNG 1

st parameter in PHYS Chunk

WSQ Undefined

Vertical Density

JPEG, JPEGL 6

th parameter in JFIF Header not counting the APP0 Marker

JP2, JP2L Undefined

PNG 2

nd

 parameter in PHYS Chunk

WSQ Undefined

BPX

JPEG, JPEGL 2nd parameter of the Frame Header not counting the SOF marker

JP2, JP2L 7 LSB of 4th parameter of ImgBox + 1 if 4

th parameter of ImgBox is not 255

PNG 3

rd parameter of IHDR chunk

WSQ Undefined

CSP

JPEG, JPEGL Undefined

JP2, JP2L 4

th parameter of Colour Specification box

PNG 4

th

 parameter of IHDR chunk

WSQ Undefined

SOI

JPEG, JPEGL Start of JPEG type image. 

WSQ Start of WSQ image.

SOF

JPEG, JPEGL Start of frame in a JPEG type image. 

WSQ Start of WSQ image.

EOI

JPEG, JPEGL End of a JPEG image. 

JP2, JP2L End of JP2 image.

WSQ End of WSQ image.

SOB WSQ Start of block in a WSQ image.

SigBox JP2,JP2L Signature Box that marks the start of a JP2 type image.

HeadBox JP2,JP2L Header Box in a JP2 type image.

ImgBox JP2, JP2L Image Header Box in a JP2 type image.

PNGSig PNG Signature of a PNG image.

IHDR PNG Image Header Chunk in a PNG image.

IDAT PNG Image Data Chunk in a PNG image.

IEND PNG Image End Chunk in a PNG image.
304

JFIF Header JPEG, JPEGL Frame for specifying JPEG type image metadata. Its inclusion is required by the standard.

PHYS Chunk PNG An optional Chunk in a PNG image that may be used if present to verify image attributes.

t-12. Some image formats (such as PNG) use scale units other than pixels per inch (ppi) or pixels per centimeter (ppc), which are the 

measurements used in the requirements of the base standards. For those image formats, the use of a conversion factor is necessary 

to convert the pixel scale to the correct units (either ppi or ppc). This conversion may result in a decimal value that cannot be held 

in the THPS or TVPS fields, which hold Integer values only. In all such cases, the AN-2011 standard does not state which method 

should be used to round the result. The CTM suggests using both the mathematical floor and ceiling functions of the converted 

value as acceptable values for comparison to the field value to account for various rounding methods.

t-13. The assertion is addressed during parsing. 

t-14. Further research is needed to determine the feasibility of testing for ASEG requirements related to the polygon structure. 

t-15. These requirements are related to record types currently not supported. 

t-16. WSQ specification version 2.0 or higher is required, but there is no known method for determining the specification version 

of a WSQ image. Therefore, this is a level 3 requirement. The Ev field specifies the encoder version, but there is no 

requirement for WSQ specification versions to contain certain encoder versions (other than 3.1 containing an Ev of 2).

t-17. The NCIC codes are available at http://oregon.gov/OSP/CJIS/NCIC.shtml. Any values found in Annex E of NIST SP 500-271 

are also valid. 

t-18. Table 79 in NIST SP 500-290 lists possible values as “integer > 0; or real number with one digit to the right of the decimal”. 

Negative integer values are a subset of real numbers and would conflict with the requirement “integer > 0”, so negative values 

are not allowed by this conformance testing methodology.

t-19. Some Value Constraints in the record layout tables in NIST SP 500-290 list “positive integer” or “integer” but do not define the 

minimum value for these terms. In this case, the CTM assumes the minimum value to be 1. 

t-20. The term “sequentially assigned” has several interpretations. The first version (Release 1.0) of this CTM indicated that the values 

must be in sequential order within the Transaction. The CTM now clarifies that order within the Transaction is not important. 

However, when rearranged and viewed in numeric order, the values must be sequential and incremented by 1. 

6.21 Test assertions exceptions table

An “exception” refers to any AN-2011 requirement that does not have an associated assertion defined in this document. Table 6.19

identifies and provides justification for all exceptions present in the tables. 
305

Table 6.19 - Exceptions Table

Exception Section Requirement Summary Justification

Domain 

Names / 

Application 

Profile 

Specification

s

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 Type2 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 means that 

the requirements are not 

defined in the base standard.1

6 An implementation domain, coded in Field 1.013 Domain name / DOM of a Type1 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 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 

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.1

 

1 Requirements related to user, profile, or domain-specific information are not within the scope of this CTM.
306

have the same definition for fields, subfields and information items that are 

contained in the transaction.

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, UTF-16, UTF8, and UTF-32 as possible 

encodings. However, the table 

also allows “User-defined” 

character encoding sets. 1

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 CTM to 

define conformance to 

coordinate systems listed by the 

user under “Other”.1 The CTM 

lists requirements for 

conformance to WGS84 because 

it is the default coordinate 

system used in the base 

standard.

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 of other 

coordinate systems are listed in 

the standard (MGRS, USNG, 

GARS, GEOREF, LANDMARK),

those values are not all-inclusive, 

and the user may indicate other 

coordinate systems that are not 

listed.1
307

Subject 

Acquisition 

Profiles

SAP/FAP/IA

P

7.7.5,

Table 8, 

Table 9,

Table 10

A subject acquisition profile is used to describe a set of characteristics concerning 

the capture of the biometric sample. These profiles have mnemonics SAP for 

face, FAP for fingerprints and IAP for iris records.

It is not feasible to test if the 

image was captured under the 

conditions specified by the SAP, 

FAP or IAP level as defined in 

Tables 10 through 13. However, 

the fields will be tested for valid 

level values (with the exception 

of Type 10 Compression values, 

which are dependent upon the 

SAP level and are not currently 

tested).

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
308

Annex A: Support for AN-2011 Record Types and Interrelated Field

A.1 Support for Record Types 

The following table outlines the conformance testing support for each of the record types defined by the AN-2011 standard. 

Table A.1 - AN-2011 Record Type Support

Support for AN-2011 Record Types

Number Record Contents Support

1 Transaction Information Full Support. See Record Type-1: Transaction information record.

2 User-defined descriptive text None.

3 Low-resolution grayscale fingerprint image (Deprecated) Deprecated requirement only. See Record Type-3: DEPRECATED.

4 High-resolution grayscale fingerprint image Full Support. See Record Type-4: Grayscale fingerprint image.

5 Low-resolution binary fingerprint image (Deprecated) Deprecated requirement only. See Record Type-5: DEPRECATED.

6 High-resolution binary fingerprint image (Deprecated) Deprecated requirement only. See Record Type-6: DEPRECATED.

7 User-defined image None.

8 Signature image None.

9 Minutiae data None.

10 Face, other body part, or scar, mark tattoo (SMT) image Full Support. See Record Type-10: Facial, other body part and SMT image 

record.

11 Voice Data (future addition to the standard) Reserved requirement only. See Reserved Record Types.

12 Dental record data (future addition to the standard) Reserved requirement only. See Reserved Record Types.

13 Variable-resolution latent friction ridge image Full Support. See Record Type-13: Friction-ridge latent image record.

14 Variable-resolution fingerprint image Full Support. See Record Type-14: Fingerprint image record.

15 Variable-resolution palmprint image Full Support. See Record Type-15: Palm print image record.

16 User-defined variable-resolution testing image None.

17 Iris Image Full Support. See Record Type-17: Iris image record.

18 DNA data Full Support. See Record Type-18: DNA record.

19 Variable-resolution plantar image None.

20 Source representation None.

21 Associated context None.

22-97 Reserved for future use Reserved requirement only. See Reserved Record Types.

98 Information assurance None.

99 CBEFF biometric data record None.
309
310

It is necessary to provide support for some fields contained in unsupported record types because of structural requirements and relationships 

to supported record types. These fields are outlined in the table below.

A.2 Interrelated Field Support

Table A.2 - AN-2011 Interrelated Field Support

Support for AN-2011 Interrelated Fields

Number Field Contents Support 

xx.001 Record header All Record Types. See Field: xx.001-Record Header

xx.002 Information designation character / IDC All Record Types except Record Type-1. See Field: xx.002-IDC

xx.995 Associated Context / ASC Record Types 10 and above, not including 21 and 98. See Field: xx.995-ASC through Field: 

xx.995-ASC-ASP

xx.997 Source Representation / SOR Record Types 10 and above, not including 18, 21, and 98. See Field: xx.997-SOR through 

Field: xx.997-SOR-RSP

xx.016 Segments / SEG Record Types 20 and 21. See Field: xx.997-SOR-RSP and Field: xx.995-ASC-ASP

xx.021 SRN, ACN Record Types 20 and 21. See Field: xx.997-SOR-SRN and Field: xx.995-ASC-ACN
311

Annex B: Version History

B.1 Release 1.0, August 2012

 Initial version of the conformance testing methodology which specified requirements and test assertions for the following 

sections and Record Types of the AN-2011 standard:

• Section 5: Data Conventions

• Section 7: Information Common to Several Record Types 

• Section 8.1 Record Type-1: Transaction information record

• Section 8.4 Record Type-4: Grayscale fingerprint image

• Section 8.10 Record Type-10: Facial, other body part and SMT image record

• Section 8.13 Record Type-13: Friction-ridge latent image record

• Section 8.14 Record Type-14: Fingerprint image record

• Section 8.15 Record Type-15: Palm print image record

• Section 8.17 Record Type-17: Iris image record

• Annex B: Traditional Encoding

B.2 Release 1.1, October 2013

 Specified requirements and test assertions for the following sections and Record Types of the AN-2011 standard that were not 

included in Release 1.0:

• Section 8.18 Record Type-18: DNA record

• Annex C: NIEM Conformant encoding

• Annex G: Mapping to the NIEM IEPD

 For all assertions named “Valid WSQ Encoder Version”:

• Changed assertion name to “Valid WSQ Specification Version”

• Changed test level to 3

• Modified test note t-16 to describe the reason for the changes

 Name changes for all assertions: 

• The prefix Transaction denotes that the data is referenced from multiple Record Types (and/or entities within several 

Record Types) to determine the result of the assertion. 
312

• The prefix TypeXX, where XX is a Record Type, denotes that data is referenced from multiple entities within the 

Record Type to determin the result of the assertion.

 Added test note t-20 to describe a change related to “sequentially assigned” values (IDC, SRN, ACN). The order of the values 

in the Transaction is no longer important, but the sequential nature of the values after being viewed in numeric order is still 

important.

 Added “Notes” column to table in test note t-5 to explain comparisons of matching IDC values.

 Reformatted Section 6 to facilitate navigation of the tables of requirements and assertions:

• Repeated the table headers for the Tables of requirements and assertions on each page

• Placed each table of requirements and assertions into its own section. An entry for each table was added to the table of 

contents

 The Assertion ID description in section 5.6 was modified to provide more information on the formatting of Assertion ID’s.

 Added Cardinality(X) the Table 5.3 (Test Assertion Syntax Operands) for use with XML cardinality values in Annex G or the 

base standard.

 Added XOR to “Table 5.1 - Assertion Syntax: Operator Definitions”.

 Added Element to “Table 5.2 - Assertion Syntax: Terms”.

 Added test note t-19 to address undefined terms “positive integer” and “integer”

 Added “Type10-10.031-10.029-CondCode Dependent” with assertion text “IF Present(10.031), THEN Present(10.029)”

 Modifications of test assertions

• Reviewed all Level-2 assertions to determine whether or not the presence of the entity (field, XML Elements, etc.) is 

required before assessing the assertion. In all such cases, the presence conditions were added. For example, “10.025-

YAW- 10.021- Opposite” was modified to include “IF Present(10.021)” so that the assertion is only tested if field 

10.021 is present.

• Split “Type13-13.008-Conditional” into two separate assertions: “Type13-13.008-Conditional-SHPS” and “Type13-

13.008-Conditional-SVPS”

• Renamed “Transaction-IDCsRelate” to “Transaction- MatchingIDCValues-ComparableBiometricTypes”

• Added NIEM-xx.999-CharType and NIEM-4.009-CharType assertions.

• Removed WSQ20 from “13.011-Value” allowable values because WSQ20 is not a lossless type.

• Table 6-17 - IDC Comparison Results: added support for allowing Type-9: Minutiae data records to share IDC values 

with Type-4, Type-13, Type-14, Type-15, and Type-19 records (Finger, Palm, Plantar, and Friction Ridge). Also added 

support for Friction Ridge (Type-13) to share IDC values with Type-4, Type-9, Type-14, Type-15, and Type-19.

• “17.995-InfoItemCount”: Changed to allow 1 or 2 information items per subfield, not 2 or 3 as stated in the previous 

version

• “[17.001 to 17.005, 17.013]- Mandatory CondCode”: changed name to “[17.001 to 17.005]- Mandatory CondCode”
313

• “Field: Originating Agencey”: changed name to “Field: Source Agency” and added assertion “[10,13 to 21, 98, 

99].004-CharType”. 

• “Field: Source Agency Name”: added assertion “xx.993-CharType”

• “NIEM-xx.902- Subfield CharType” (where xx is 10, 13, 14, 15, 17) name changed to “NIEM-xx.902-GMTCharType” and assertion text changed to: “Bytes(XElm(biom:ProcessUTCDate) in xx.902) MO [0x30 to 0x39, 0x2D, 

0x3A, 0x54, 0x5A]”

• “NIEM-xx.998- Subfield CharType” name changed to “NIEM-xx.998-UTE- CharType” and assertion text changed to: 

“Bytes(XElm(biom:CaptureUTCDateTime) in xx.998) MO [0x30 to 0x39, 0x2D, 0x3A, 0x54, 0x5A]”

• “NIEM-xx.998-UTE-Value” assertion text changed to: “{XElm(biom:CaptureUTCDateTime) in xx.998} MO [NIEMValidUTC/GMT]”

• “NIEM-xx.998-Subfield CharCount” name changed to “NIEM-xx.998-UTE- CharCount” and assertion text changed 

to: “Length(XElm(biom:CaptureUTCDateTime) in xx.998) EQ 20”.

• “xx.998-[UTE, LTD, LTM, LTS, LGD, LGM, LGS, ELE, GDC, GCM, GCE, GCN, GRT, OSI, OCV]” removed UTE, 

added separate assertion: “xx.998-UTE- CharCount”

• “NIEM-17.902- Subfield CharCount” name changed to “NIEM-17.902- GMT- CharCount” and assertion text changed 

to: “Length(XElm(biom:ProcessUTCDate) in 17.902) EQ 20”

• “17.995-ASP-CharCount” changed to test for range 1 to 2, not 1 to 3 as stated in the previous version.

• “17.995-ACN-CharCount” changed to test for range 1 to 3, not 1 to 2 as stated in the previous version.

• Occurrence assertions for Type-10, Type-15, and Type-17 were updated to allow field xx.993 to occur one or fewer 

times.

• RecordCategoryCode value restrictions for Type-1, Type-2, and Type-4 were changed from “01”, “02” and “04” to 

“1”, “2”, and “4”.

• Added “Schema Coverage” to the “Applicability” column of the tables of requirements and assertions found in section 

6.3.

• In Requirement “Field:xx.002-IDC”, assertion “NIEM- IDCSeqValues” level was changed from 1 to 2. 

• In Requirement “Field:xx.002-IDC”, assertion “xx.002-Value” changed to address all record types except Type-1. 

• “13.024-FRMP-Value” updated to allow any value from Table 8.

• “NIEM-T10-DiffDC” changed to "NIEM-T10-DiffIDC” and the assertion was altered to state that the IDC values are 

NEQ.

• “NIEM-xx.902-ANN-GMT” changed to “NIEM-xx.902-GMT-Value” and assertion text changed to test for valid 

GMT/UTC value.

• “18.902- GMT- CharCount” changed to T (Traditional) and “NIEM-18.902- GMT- CharCount” changed to X (XML).
314

• “NIEM-xx.996-RecordTypes” and “xx.996-RecordTypes” changed to allow record type to be “MO [10, 13 to 

17,19,20,21,99]” instead of “GTE 10”

• All record, field, subfield, and information item count assertions changed to T rather than X or B. 

• All record, field, subfield, and information item count assertions: added cardinality for XML elements based on Annex 

G.

• “14.031- Values” Added value 45.

• “Type10-10.031-10.033-CondCode Dependent” assertion changed from “{10.031} EQ 5 IFF Present(10.33)” to “IF 

{10.031} EQ 5, THEN Present(10.033)”

• “13.024-FRMP-Value” removed values 60 to 79, 81 to 84.

• “[xx.008,xx.016, xx.017]-Conditional” changed to level 2.

• “[20.008, 20.017, 20.018]-Conditional” and “[17.008, 17.022, 17.023]-Conditional” changed to level 2.

• “10.011-Value” changed to level 2.

• Added “NIEM-xx.998-GDC-Value” assertion.

• Text added to the end of Section 6.2: “Unless otherwise stated, the tables of requirements and assertions express all 

field structures using the Traditional notation of record type and field number (eg. 1.001) as well as subfield and 

information item indices when appropriate. However, the NIEM-XML encoding has no concept of subfields or 

information items. Instead, the XML encoding uses subelements. Annex G of the base standard can be used to translate 

the listed values for Traditional structures to the XML equivalent. In some cases the tables of requirements and 

assertions us the XML element names when necessary for clarifying an assertion.”

• “10.019-CharCount” changed from “MO [1 to 3]” to “EQ 1”

• “Transaction: Encoding-Base64” changed text to “<These assertions are addressed in the record type tables where 

Base-64 encoding is required.>” instead of “<unsupported>”

• Changed “10.023-Value” to “10.023-PAC-Value”, added “10.023-VSD-Value”.

• Changed “[13.004, 13.020, 13.993]- CharType” to TRUE.

• Removed “15.025-CharType”. 

• Requirements and assertions table added for Annex C

• Modified test note t-6 to include YYYY-MM and YYYY for NIEM-ValidLocalDate.

• All UTC/GMT values were modified to allow the “-“ character (ASCII value 0x2D).

• Assertions for Requirement ID “Field: xx.999-Reserved” changed from Level 1 to Level 2.

• “17.040-Value” was changed to allow value 1 to 9999999 instead of 0 to 9999999

• The following assertions changed from Level 1 to Level 2:

 xx.995-RecordTypes

 xx.996-RecordTypes
315

 xx.997-RecordTypes

 xx.998-RecordTypes

 xx.999-RecordTypes

• Assertion “NIEM-ImageRecordCategoryCode” renamed to “NIEM-xx.999-RecordType” and changed from Level 1 to 

Level 2

• Assertion “NIEM-SOR-RecordTypes” renamed to “NIEM-xx.997-RecordType” and changed from Level 1 to Level 2

• Assertion “NIEM-ASC-RecordTypes” renamed to “NIEM-xx.995-RecordType” and changed from Level 1 to Level 2

• Assertion “NIEM-HAS-RecordTypes” renamed to “NIEM-xx.996-RecordType” and changed from Level 1 to Level 2

• Assertion “NIEM-GEO-RecordTypes” renamed to “NIEM-xx.998-RecordType” and changed from Level 1 to Level 2

• Changed name and assertion text:

 xx.995-RecordTypes to Type[ActualRecordType]-Field995NotPresent

 xx.996-RecordTypes to Type[ActualRecordType]-Field996NotPresent

 xx.997-RecordTypes to Type[ActualRecordType]-Field997NotPresent

 xx.998-RecordTypes to Type[ActualRecordType]-Field998NotPresent

 xx.999-RecordTypes to Type[ActualRecordType]-Field999NotPresent

• Applicability changed from B to T, and new XML-versions were created for each of the following assertions: 

 “[1.001,1.012]-Conditional Applicability”

 “1.011-NSR-Length”

 “1.011-NSR-Value”

 “1.012-CharCount” -RecordTypes

 “1.012-Value”

• Assertion ID “1.013-DOM-Value” changed to “1.013-[DVM, DVN]-Value”

• Assertion ID “1.015-DCS-CSI-Value” changed to “1.015-CSI-Value”

• Assertion ID “1.015-DCS-CSN-Value” changed to “1.015-CSN-Depedent”. In addition, the Test Assertion text was 

modified to use If/Else statements and to allow user-defined values.

• New Assertion “1.015-CSN-Value” added.

• Assertion ID “1.015-DCS-CSV-Value” changed to “1.015-CSV-Value”

• Assertion ID “1.016-APS-Value” changed to “1.016-[APO, APN, APV]-Value”

• Assertion ID “1.017-ANM” changed to “1.017-[DAN,OAN]-Value” 

• Assertion IDs “NIEM-4.[001 to 009]-ByteCount” renamed to “NIEM-4.[001 to 009]-CharCount”. 

• Added Assertion “NIEM-4.004-Occurrence”. 

• Added Assertion “4.009-DATA-Value”

• Modified Test Assertion text in Assertion “NIEM-Transaction-Required Records”.
316

• Modified “NIEM-1.005-CharType”, “NIEM-1.005-CharCount”, and “NIEM-1.005-Value” to account for Date, 

YearMonth, or Year format allowed in NIEM encoding.

• Changed Assertion “1.003-REC-Matches Records” to Level 2

• Changed Assertions “NIEM-Records Reserved” and “Records-Reserved” to “Transaction-NIEM-Records Reserved” 

and “Transaction-Records Reserved” respectively.

• Split assertion “Reserved Character Types” into one Assertion for Traditional and one for XML to provide clarification 

for XML encoding, now found in “NIEM-Reserved Character Types”.

• Appended “TypeX-” to the beginning of Record-level assertions for consistent naming.

• Changed the following assertion names for consistency:

 “NIEM- IDCExists” to “NIEM-Typexx-Field002-Exists”

 “NIEM-RecordCategory First” to “NIEM-Typexx-Field001-First”

 “NIEM-IDC-Second” to “NIEM-Typexx-Field002-Second”

 “IDCSequentialValues” to “Transaction-IDCSequentialValues” 

 xx.002-IDCRelate to Transaction-IDCsRelate

 xx.002-SameDimension to Transaction-MatchingIDCSameImageDimension

 xx.995-ASC-ACN to Transaction-ASC-ACN-Match

 xx.995-ASC-ASP to Transaction-ASC-ASP-Match

 xx.995-ASC-ACN-SeqValues to Transaction-ASC-ACN-SequentialValues

 xx.997-SOR-SRN to Transaction-SOR-SRN-Match

 xx.997-SOR-RSP to Transaction-SOR-RSP-Match

 Type1-Occur Once to Transaction-Type1-OccursOnce

 Type1-First to Transaction-Type1-First

 Type3-Zero Occurrences to Transaction-Type3-ZeroOccurrences

 Type5-Zero Occurrences to Transaction-Type5-ZeroOccurrences

 Type6-Zero Occurrences to Transaction-Type6-ZeroOccurrences

 10.039-T10-DiffIDC to Transaction-SameT10-DiffIDC

 1.003-CRC-Transaction Record Count to Transaction-CRCEqualsRecordCount

 xx.001-Record Header to Typexx-Field001EqualsRecordLength

 xx.001-First to Typexx-Field001First

 xx.002-Exists to Typexx-Field002Exists

 xx.002-Second to Typexx-Field002Second

 1.xxx-Mandatory CondCode to Typexx-MandatoryCondCode (and added NIEM-Typexx-MandatoryCondCode

based on cardinality in Annex G)
317

 1.xxx-Occurrence to Typexx-FieldOccurrences 

 Assertions 1.001 to 1.017-Occurrence were condensed and named Type1-FieldOccurrences

 10.022-Occurrence Legacy to 10.022-PXS-Legacy

 4.004-Occurrence to Type4-Field004Occurrence

 Field Record Type to xx.xxx-FieldNumberMatchesRecordType

 10.011-Value to 10.011-ValueDependent

 14.011-Value to 14.011-ValueDependent

 Added new Level 1 10.011-Value and 14.011-Value assertions

 Changed “xx.997-SRN-OneTo255” to “xx.997-SRN-Value”

 Changed “xx.997-RSP-OneTo99” to “xx.997-RSP-Value”

 Modified “10.042-TSC-Value” to test only Level 1 values

 Added “10.042-TSC-ValueDependent” to test Level 2 previously found in 10.042-TSC-Value
318

Acknowledgements

Draft Revision 1 of NIST Special Publication 500-295 documents the test assertions implemented in BioCTS for ANSI/NIST-ITL 1-

2011 Traditional and NIEM XML Encoding confomance test tools which was released in August 2013: 

http://www.nist.gov/itl/csd/biometrics/ansi-nist.cfm

This publication was the result of work sponsored, in part, by the Department of Homeland Security/Office of Biometric Identity 

Management (OBIM).

The Information Technology Laboratory (ITL) of the National Institute of Standards and Technology (NIST) sponsored the 

development of the initial version NIST SP 500-295 under the Conformance Testing Methodology Working Group (WG) comprised 

of members from NIST, other US Government agencies, and industry. Elham Tabassi of the NIST/ITL Information Access Division 

(IAD) led that effort.

NIST/ITL CSD’s staff Fernando L. Podio, Dylan Yaga, and Christofer J. McGinnis who were the editors of NIST SP 500-295 

and developed the initial version of an ANSI/NIST-ITL 1-2011 conformance test tool contributed the test assertions implemented in 

that test tool for use in NIST SP 500-295.

The following individuals participated in the Conformance Testing Methodology Working Group and contributed to the development 

of the initial version of NIST SP 500-295:

Name Organization

Anne Wang 3M Cogent

Scott Hills Aware

Chris White Booz Allen Hamilton

Matthew Young Booz Allen Hamilton

Kim Woods CTR Biometric Image Management Agency

William R. Graves DHS
319

Ryan L. Triplett DoD

Jennifer Stathakis FBI

B. Swann FBI

Charles Schaeffer Florida Dept. of Law Enforcement (FDLE)

Christofer J. McGinnis ID Technology Partners

Mike McCabe ID Technology Partners

Kaustubh Deshpande L1

Adam Rosefsky MaxVision

Michael D. Garris NIST

Patrick J. Grother NIST

Michael D. Hogan NIST

Kevin C. Mangold NIST

Fernando L. Podio NIST

Elham Tabassi NIST

Bradford Wing NIST

Dylan Yaga NIST

Brian Finegold Noblis

Austin Hicklin Noblis

John Mayer-Splain Noblis

Bonny Scheier SABER

C. J. Lee SAIC
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Sudhi Umarji Trusted Federal

Cindy Wengert Trusted Federal