A NIST Type 10 Transac

Update Proposal 

PRES

Pau

CTO
The Type 10 Working Group 

Participant Institution Richard Carter AAMVA David Benini Aware Scott Hills Aware Rob Mungovan Aware Joan Vitt AFIX Technologies Rebecca Mills California DoJ Michael Cherry Cherry Biometrics Anne Wang Cogent Systems Alan Viars DoD Tom Hopper FBI Scott Swann FBI Richard Vorder Bruegge FBI 

Participant Paul Griffin (editor) Kirsten Nobel Vincent Hsu Gene Rosendahl Tomas Smith Mike McCabe (editor) John Libert Patrick Grother Charlie Wilson John Mayer-Splain Don D'Amato Martin Werner 

Confidential. © 2005 Identix Inc. All rights reserved. 2 
Introduction 
Introduction 

Discussion • This document contains proposed revis

additions to the Type-10 facial & SMT idescribed in ANSI/NIST-ITL-2000 [1]. 

– Existing records can be converted t

with no loss of data. There are no lost information 

– The revisions maintain the existing 

Confidential. © 2005 Identix Inc. All rights reserved. 4 
Introduction 

Discussion Cont’d 

– The new record format contains co

which serve as application profiles. 

which level of compliance they neeapplications. 

– The new format does not change t

scheme of the record. Fields are stASCII text, and the record separatosame. 

– The new format allows for the inte

with existing face image standards19794-5. 

Confidential. © 2005 Identix Inc. All rights reserved. 5 
More Information 

The sections below, in this document, areither replace existing sections or containew sections. That is, the proposed text 

intended to be placed directly into a new Note however, that for brevity, this docunot contain the text in the existing type-is not to be changed when a new standaIf existing fields included in the existing document are not discussed below, then to include these fields and their descriptiin the new standard. 

Confidential. © 2005 Identix Inc. All rights reserved. 6 
The Record Layout 
The Record Layout 

 Discussion − Table 1 below is the proposed update

Table 9 in ANSI/NIST-ITL 1-2000 [1]highlighted with shaded background. table includes all proposed changes. 

− The existing fields 10.004 and 10.999 

maximum field sizes increased. Existhas revised text in its description. Exi10.011, 10.012, and 10.020 have new additions. The entirely new fields, 10– 10.029 are allocated from previouslcodes. 

Confidential. © 2005 Identix Inc. All rights reserved. 8 
The Record Layout 

Footnotes I. The Subject Acquisition Profile (SAP) is 

ASCII text field when field 10.003 has ctherefore the transaction contains a fac

II. The Condition Code “C2” refers to fields 

mandatory if the SAP (field 10.013) has 40 or above. Otherwise, these fields ar

III. Key for character type: N = Numeric; A 

AN = Alphanumeric; B = Binary 

Confidential. © 2005 Identix Inc. All rights reserved. 9 
Type-10 facial and SMT record layout 

changes in gray 

Ident Cond 

code 

Field 

Number 

Field Name IMG Char 

type 

Field size per 

occurrence 

min max 

LEN M 10.001 LOGICAL RECORD LENGTH N 4 8 

IDC M 10.002 IMAGE DESIGNATION CHARACTER N 2 5 IMT M 10.003 IMAGE TYPE A 5 7 SRC M 10.004 SOURCE AGENCY /ORI AN 10 36 

PHD M 10.005 PHOTO DATE N 9 9 

HLL M 10.006 HORIZONTAL LINE LENGTH N 4 5 

VLL M 10.007 VERTICAL LINE LENGTH N 4 5 

Confidential. © 2005 Identix Inc. All rights reserved. 10 
Type-10 facial and SMT record layout 

Continued 

SLC M 10.008 SCALE UNITS N 2 2 1 

HPS M 10.009 HORIZONTAL PIXEL SCALE N 2 5 1 

VPS M 10.010 VERTICAL PIXEL SCALE N 2 5 1 CGA M 10.011 COMPRESSION ALGORITHM A 4 6 1 

CSP M 10.012 COLOR SPACE A 4 5 1 

SAP C1[1] 10.013 SUBJECT ACQUISITION PROFILE FAC N 2 4 1 

RSV - 10.014 

10.019 

RESERVED FOR FUTURE INCLUSION 

-- -- -- -- 

POS O 10.020 SUBJECT POSE FAC A 2 2 0 

POA O 10.021 POSE OFFSET ANGLE FAC N 2 5 0 

PXS O 10.022 PHOTO DESCRIPTION FAC A 4 21 0 

PAS C2[2] 10.023 PHOTO ACQUISITION SOURCE A 7 15 0 

SQS O 10.024 SUBJECT QUALITY SCORE FAC N 10 35 0 

Confidential. © 2005 Identix Inc. All rights reserved. 11 
Type-10 facial and SMT record layout 

End of table 

SPA C2 10.025 SUBJECT POSE ANGLES FAC N 9 23 

SXS C 10.026 SUBJECT FACIAL DESCRIPTION FAC A 6 21 

SEC C2 10.027 SUBJECT EYE COLOR FAC A 5 14 

SHC C2 10.028 SUBJECT HAIR COLOR FAC A 5 12 

SFP O 10.029 SUBJECT FEATURE POINTS FAC N 10 18 

RSV - 10.030 

10.039 

RESERVED FOR FUTURE INCLUSION -- -- -- 

SMT M 10.040 NCIC DESIGNATION CODE SMT A 4 11 

SMS O 10.041 SCAR/MARK TATTO SIZE SMT N 4 6 SMD O 10.042 SMT DESCRIPTORS SMT AN 16 51 

COL O 10.043 COLORS PRESENT SMT A 4 21 

RSV - 10.044 

10.199 

RESERVED FOR FUTURE INCLUSION -- -- -- 

UDF O 10.200 

10.998 

USER-DEFINED FIELDS -- -- -- 

DAT M 10.999 IMAGE DATA B 2 6*HLL*VL

+1[

Confidential. © 2005 Identix Inc. All rights reserved. 12 
Modified Field 10.011

Compression Algorith[Rob Mungovan, Awa
Modified Field 10.011: Compression A

 Introduction − This mandatory ASCII field shall spec

used to compress the color or grayscaentry of "NONE" in this field indicates 

contained in this record is uncompres

− For those images that are to be comp

method for the compression of facial is specified by the baseline mode of talgorithm or JPEG2000. 

− An entry of "JPEGB" indicates that the 

captured image was compressed usin

− An entry of "JPEGL" indicates that the 

the JPEG algorithm was used to comp

Confidential. © 2005 Identix Inc. All rights reserved. 14 
Modified Field 10.011: Compression A

 Introduction Cont’d − An entry of "JP2" indicates that the sc

captured image was compressed usin

− An entry of "JP2L" indicates that the 

the JPEG 2000 algorithm was used to image. For JPEG 2000, the data shalcompliance with JP2 format as descri15444-1 [11]. 

Confidential. © 2005 Identix Inc. All rights reserved. 15 
Modified Field 10.011: JPEG2000 

Where JPEG2000 is used, the follow

specifications/options of the compreshall be supported 

• Filters: The 9-7 irreversible filters [11] sh

lossy mode; however for handheld deviceprocessors), the 5-3 reversible filters may The 5-3 reversible filters shall be used focompliant decoder shall be able to decodcreated through both filters. 

• Number of resolution levels: The image s

using enough resolution levels to ensure with max (width, height) <= 64 is availabExample: a 640x480 image shall be encoresolution levels, which enables sub-reso320x240, 160x120, 80x60, and 40x30 

Confidential. © 2005 Identix Inc. All rights reserved. 16 
Modified Field 10.011: JPEG2000 

• Resolution as the dominant progression

five progression orders - LRCP, RLCP, RCPRL. The RLCP progression order (resocomponent, position) shall be used sincdecode and display of lower resolution dby remote networked devices. Through progression order, the code stream shathat the resolution information of the imdata made available to a decoder in a soperation. 

• Bits per Channel: The number of bits pe

encoders and decoders shall be 8-16 bit

Confidential. © 2005 Identix Inc. All rights reserved. 17 
Modified Field 10.011: JPEG2000 

• Single tile images: Facial images shall b

only single tile to avoid tiling artefacts. 

• JPEG2000 quality layers: The image sha

using at least 10 quality layers to enable progressive decoding or sub-quality ima

• Region of Interest Encoding is allowed: 

method is a useful way to compress a fasmall size, while retaining sufficient imathe specified ROI to perform either humidentification. 

Confidential. © 2005 Identix Inc. All rights reserved. 18 
Discussion/Vo
Modified Field 10.012: Co

(CSP) [Don D'Amato, Mitretek] 
Color Gamut for sRGB and 

an Epson 3200 Scanner 

Epson 

3200 

sRGB 

y

x

Confidential. © 2005 Identix Inc. All rights reserved. 21 
N.B. The prin

well within th

Printer Gamut vs. Scanner G

N.B. The prinwell within th

Confidential. © 2005 Identix Inc. All rights reserved. 22 
Modified field 10.012: Color space (CS

Introduction and backwards compa− This mandatory ASCII field shall contain 

used to exchange the image data. 

− In previous versions of this standard [1], 

space” referred to device-dependent colowith a particular sequence and range for channels. The choice was either RGB or derivative space known as YCC. Neither an objective definition of a particular colothe way in which humans perceive color. 

Confidential. © 2005 Identix Inc. All rights reserved. 23 
Modified field 10.012: Color spac

• Moreover, in the previous version of this 

was stated that “the preferred color spacimages using baseline JPEG and JFIF is Yas 

‛YCC’,” while the color space for uncom

images was to be labeled RGB. 

• Therefore, for backwards compatibility p

systems must accommodate JPEG imagelabeled in Field 10.012 as using the YCC Specifically, systems compliant with this accept an entry of YCC and interpret it a(device-dependent) RGB color space. 

Confidential. © 2005 Identix Inc. All rights reserved. 24 
Modified field 10.012: Color spac

Color space sRGB • To ensure that color images exchanged b

systems can be correctly displayed or prishould be converted to the device-indepespace, sRGB [12], before compression or another system. sRGB, as defined by IEis a non-linear display profile that accomvoltage-to-color response characteristics quality CRT monitors. The colors of the blue phosphors (primaries) and the white an sRGB-compliant monitor are specified document. 

Confidential. © 2005 Identix Inc. All rights reserved. 25 
Modified field 10.012: Color spac

Color space sRGB Cont’d • The relationship between sRGB and a lin

having the IEC-defined primaries and whfollows: 

⎧12 .92value , value for

≤

0.0031

⎨⎩

lin lin value sRGB 

=

( 1 / 2 .4 ) 1.055 value 

−

0.055 , value for 

lin 

where value lin is an R, G, or B value in l

(with a range of 0 to 1) and value sRGB is 

R, G, or B value in non - linear sRGB sprange of 0 to 1). To convert from/to the 

divide/mul tiply by 255. 

Confidential. © 2005 Identix Inc. All rights reserved. 26 
Modified field 10.012: Color spac

Color space sRGB Cont’d • Typically, modern digital cameras, deskto

monitors, and printers, although they dooperate in sRGB space, are designed witsoftware to produce sRGB output or to asRGB as an input space. If an image acqcolor space is unknown, sRGB is usually choice. If an acquisition device and its sprovide sRGB output, various color manaare available commercially that use its coavailable from its manufacturer, to convenative color space to sRGB. 

Confidential. © 2005 Identix Inc. All rights reserved. 27 
Modified field 10.012: Color space (CS

JPEG Discussion • JPEG: For JPEG-compressed color ima

using the JFIF file format), the preferrespace is sRGB and an entry of “SRGB” s

Field 10.012. For all grayscale (monocan entry of "GRAY" shall be used for Fiecolor space for an RGB image cannot bentry of “YCC” shall be used for field 10

Confidential. © 2005 Identix Inc. All rights reserved. 28 
Modified field 10.012: Color space (CS

JPEG 2000 Discussion • JPEG2000: For JPEG2000 images store

format, the available enumerated color s

sYCC, and grayscale, to be entered, resp

“SRGB”, “SYCC”, and “GRAY” in Field 10preferred (external) color space for color 

If a photo acquisition device uses anothethe acquisition system must convert the of these enumerated color spaces before be embedded in a Type 10 record. 

Confidential. © 2005 Identix Inc. All rights reserved. 29 
Modified field 10.012: Color space (CS

 Raw RGB Discussion • Raw RGB: This field shall contain "R

uncompressed color images containinred, green, and blue pixels (one byte order. This entry is included for backcompatibility purposes. 

− An example transaction for sRGB colo

is“10.012:SRGB 

Confidential. © 2005 Identix Inc. All rights reserved. 30 
Discussion/Vo
New Field 10.013: Subj

Acquisition Profile (SA[Richard Vorder Brueg
New Field 10.013: Subject Acquisition 

Introduction 

• The Subject Acquisition Profile (SAP) is 

ASCII text field when field 10.003 has 

therefore the transaction contains a fa

• When included, this field shall contain 

character code selected from Table 2 to numeric value of the acquisition profilehigher the value, the stronger the acqurequirements become. Therefore, in thSAP value will also be denoted as a s “

An example transaction for SAP of value 40 is “10.013:40 GS”. 

Confidential. © 2005 Identix Inc. All rights reserved. 33 
− This level denotes any case when the S

Profile is unknown. This value can be usystems that the profile of the face imadetermined manually or via advanced fevaluation techniques.

New Field 10.013: Subject Acquisition 

Level 0 (Unknown profile) − This level denotes any case when the S

Profile is unknown. This value can be usystems that the profile of the face imadetermined manually or via advanced fevaluation techniques. 

Confidential. © 2005 Identix Inc. All rights reserved. 34 
New Field 10.013: Subject Acquisition 

Level 1 (Latent facial image) − This SAP denotes a latent facial image: 

captured without specific regard to sceor digital requirements. 

− For example, an image of a face from c

available surveillance video equipment considered a latent facial image. 

− Typically latent facial images are of rela

quality compared to mug shots, includipose angle from frontal, poor image resimage contrast, etc. 

Confidential. © 2005 Identix Inc. All rights reserved. 35 
New Field 10.013: Subject Acquisition 

Levels 10-15 (Other application pro

− Levels 10-15 shall denote transaction ass

capture under the guidance of other faciapplication profiles as defined below. 

− Level 10 denotes a driver license facial p

described in AAMVA DL/ID-2000. 

− Level 11 denotes an ANSI facial image w

requirements of the Full Frontal Image tyANSI/INCITS 385-2004. 

− Level 12 denotes an ANSI facial image w

requirements of the Token Face Image tANSI/INCITS 385-2004. 

− Level 13 denotes an ISO facial image tha

requirements of the Full Frontal Image dInternational standard ISO/IEC 19794-5. 

Confidential. © 2005 Identix Inc. All rights reserved. 36 
New Field 10.013: Subject Acquisition 

Levels 10-15 (Other application profiles) • Level 14 denotes an ISO facial image tha

requirements of the Token Face Image tyInternational standard ISO/IEC 19794-5. 

• Level 15 denotes a PIV facial image whic

requirements of Biometric Data SpecificatIdentity Verification. 

• Note that the facial images of Levels 13 a

from travel documents as described in “DMachine Readable Travel Documents’’, ICReport, version 2.0. 

Confidential. © 2005 Identix Inc. All rights reserved. 37 
New Field 10.013: Subject Acquisition 

Level 20 (Legacy facial mugshot) − A transaction conforming to this applicati

shall be a mugshot captured according to 2000 [1], but not necessarily or known to to the best practice requirements given in below. The subject pose(s) can be FrontAngled. 

Confidential. © 2005 Identix Inc. All rights reserved. 38 
New Field 10.013: Subject Acquisition 

Level 30 ( Best Practice Recommendation mug− A transaction conforming to a level 30 a

shall include at least one mugshot recorall best practice requirements (BPR) of r

− These mugshots adhere to strict backgr

and resolution requirements as specified particular, the background is 18% gray, three-point, and the resolution is at leasan aspect ratio of 1:1.25. 

Confidential. © 2005 Identix Inc. All rights reserved. 39 
New Field 10.013: Subject Acquisition Profile 

Level 40 (Enhanced Best practice Recommendation facial im

 Face image capture requirements 

(EBPR facial image) 

• A transaction conforming to a level 40 ap

profile shall include frontal face images coto the “face image capture requirements” 6. 

• At least one frontal face image shall be in

the transaction. 

Confidential. © 2005 Identix Inc. All rights reserved. 40 
New Field 10.013: Subject Acquisition Profile 

Level 40 (Enhanced Best practice Recommendation (EBPR) 

 Scene requirements 

(EBPR facial image) 

• Level 40 facial images shall conform to th

shoulders” composition requirements of S

Confidential. © 2005 Identix Inc. All rights reserved. 41 
New Field 10.013: Subject Acquisition Profile (SAP) 

Level 40 (Enhanced Best practice Recommendation (EBPR) 

 Digital Requirements 

(EBPR facial image) 

• The minimum number of pixels in the e

image shall be 768 pixels in the horizon1024 pixels in the vertical direction. 

• It should be noted that the image qualit

captured facial images will be improved of pixels in both directions are increasedimages are captured with an increased pixels, the 3:4 (Width: Height) aspect ramaintained. 

Confidential. © 2005 Identix Inc. All rights reserved. 42 
New Field 10.013: Subject Acquisition 

Level 50 and 51 (Forensic facial image

 Requirements of Level 50 and Level 5• A transaction conforming to a level 50 and 

profiles shall include face images conformiimage capture requirements” of Section 6. 

• These profile levels are intended to allow f

up to forensic-level (0.1 millimeter) detail face. Approximately 1700 pixels wide by on the face are needed for the 99th perceU.S. population [13]. 

Confidential. © 2005 Identix Inc. All rights reserved. 43 
New Field 10.013: Subject Acquisition 

Level 50 and 51 (Forensic facial image

Requirements of Level 50 and Leve

(Forensic facial images) 

• With the width of the head taking 50% 

width, this corresponds to an image widand this composition corresponds to a “shoulders photo” which can be capture 15 (or more) mega pixel digital camera

• Alternatively, with the width of the hea

the image width, this corresponds to an roughly 2400 pixels and this compositioa “head photo” which can captured witmega pixel digital cameras. 

Confidential. © 2005 Identix Inc. All rights reserved. 44 
New Field 10.013: Subject Acquisition 

Level 50 and 51 (Forensic facial image

Scene requirements: 

(Forensic facial images) 

• Level 50 shall conform to the “head and 

composition requirements of Section 6.

• Level 51 shall conform to the “head on

requirements of Section 6.2.2. 

Confidential. © 2005 Identix Inc. All rights reserved. 45 
New Field 10.013: Subject Acquisition 

Level 50 and 51 (Forensic facial image

Digital requirements 

(Forensic facial images) 

• Level 50 (head and shoulders): The mi

of pixels in the electronic digital image pixels in the horizontal direction by 440vertical direction. 

• Level 51 (head only): The minimum nu

in the electronic digital image shall be 2the horizontal direction by 3200 pixels direction. 

Confidential. © 2005 Identix Inc. All rights reserved. 46 
New Field 10.013: Subject Acquisition 

Level 50 and 51 (Forensic facial image

Digital requirements 

(Forensic facial images) 

• It should be noted that the image quali

captured facial images will be improved of pixels in both directions are increaseimages are captured with an increased the 3:4 (Width: Height) aspect ratio sh

Confidential. © 2005 Identix Inc. All rights reserved. 47 
New Field 10.013: Subject Acquisition 

Level 50 and 51 (Forensic facial image

 Digital requirements 

Minimum number of pixels: (continue

a. Level 30 b. Level 40 C. level 

Examples of resolution for levels 30, 4

Confidential. © 2005 Identix Inc. All rights reserved. 48 
New Field 10.013: Subject Acquisition 

Level 50 and 51 (Forensic facial image

Compression algorithm requireme

(Forensic facial images) 

• Non-frontal facial images shall be comp

JPEG 2000 (JPEG is not allowed) meeticompression limits specified in Section 

• Frontal facial images shall be compress

lossless JPEG 2000 compression 

Confidential. © 2005 Identix Inc. All rights reserved. 49 
New Field 10.013: Subject Acquisition 

Level 50 and 51 (Forensic facial image

Format Requirements 

(Forensic facial images) 

• Level 50 and 51 records shall include at 

photographs of the subject: frontal, left and left and right 3⁄4 profile. 

• A 3⁄4 profile view consists of a face with 

angle of ± 67.5 degrees, and with Pitch of zero. Note that the pose of the head profile, and care should be taken to prefrom keeping the head fixed while changaze. In 3⁄4 profile photographs, both evisible in the image. 

Confidential. © 2005 Identix Inc. All rights reserved. 50 
Discussion/Vo
Face Image Capture 

Requirements for SAP Levels 40, 50 and 51 (Enhanced Best PractRecommendations) 
Face Image Capture Requirements for S

Levels 40, 50 and 51 

• This set of “enhanced best practic

recommendation” (EBPR) clauses constraints similar to those given [2, 4]. 

– Scene requirements – Photographic requirements – Digital requirements – Format requirements 

• Note that the set of requirements 

remainder of Section 6 below appposes of a subject. 

Confidential. © 2005 Identix Inc. All rights reserved. 53 
Face Image Capture Requirements for 

Levels 40 and 50 

 The “Head and the Shoulder

composition 

• The composition consists of a su

partial shoulders, and plain backfrontal-facing pose, the width of head shall occupy approximately width of the captured image. 

• For other poses, the composition 

rotated about an imaginary axis from the top of the head though the neck. 

Confidential. © 2005 Identix Inc. All rights reserved. 54 
Face Image Capture Requirements for 

Levels 40 and 50 

The “Head and the Shoulders” photo 

(Continues) 

This composition is applied to SAP levels 40, and 

A B 

a. Template of the “head and shoulders” photo. The width of b. An example “head and shoulders” photo. 

Confidential. © 2005 Identix Inc. All rights reserved. 55 
Face Image Capture Requirements for 

Level 51 

The “Head Only” photo compositio• The composition consists of a subject’s 

background. For a frontal-facing pose, subject's head shall occupy approximatwidth of the captured image. 

• For other poses, the composition shall 

an imaginary axis extending from the tothough the base of the neck. 

Confidential. © 2005 Identix Inc. All rights reserved. 56 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

• The “Head Only” photo composition 

(Continues) This composition is applied to SAP level 51 

A. Template of the “head only” photo. The width of the head is 7/10th the width of th

b. An example “head only” photo. 

Figure above – A facial image template and a exameets “Head Only” and (level 51) scene constrain

Confidential. © 2005 Identix Inc. All rights reserved. 57 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

 Head Centering For the frontal pose, the face shall be posall of the following conditions: • The approximate horizontal mid-points o

of the bridge of the nose shall lie on an vertical straight line positioned at the hoof the image. 

• An imaginary horizontal line through the 

subject's eyes shall be located at approxpoint of the vertical distance up from ththe captured image. 

• For non-frontal pose, the subject shall s

conditions when the head is rotated abothough the head and torso from the curto center (zero angles) pose. 

Confidential. © 2005 Identix Inc. All rights reserved. 58 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Visibility of Ears • The ear (s) shall be visible in frontal, pr

views for both “Head and Shoulders” ascene compositions. The hair shall be tied behind the ears when appropriate. 

• Move all other subsections down one su

Confidential. © 2005 Identix Inc. All rights reserved. 59 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

 Facial Expression • The expression should be neutral (no

both eyes open normally (i.e. not widmouth closed. Every effort should be 

supplied images comply with this spesmile with closed jaw is not recomme

Confidential. © 2005 Identix Inc. All rights reserved. 60 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Eye Glasses • For subjects who normally wear eyegla

should be made to capture the mugshoglasses on. 

• If significant glare in the glasses is evid

photograph, then a second frontal mugshould be captured of the subject witho

• Specification of eyeglasses in the SXS f

Confidential. © 2005 Identix Inc. All rights reserved. 61 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Eye Patches • The wearing of eye patches is allowed 

reasons. 

• In these cases, the specification of the 

field is required. 

Confidential. © 2005 Identix Inc. All rights reserved. 62 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Background • The subject whose image is being capt

positioned in front of a background whwith a plain smooth flat surface. A Kodaneutral gray card or densitometer shall this 18% gray reflectance requirement. 

• The boundary between the head and th

should be clearly identifiable about the (very large volume hair excepted). The

shadows visible on the background behimage. 

Confidential. © 2005 Identix Inc. All rights reserved. 63 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Photographic Requirements 

Depth of field: 

• The subject's captured facial image sha

focus from the nose to the ears. Althouresult in the background behind the subfocus, this is not a problem[1]. 

• It is recommended that auto-focus on t

face be used with digital camera photo

Confidential. © 2005 Identix Inc. All rights reserved. 64 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Photographic Requirements 

Subject lighting: 

• Lighting shall be equally distributed on 

shall be no significant direction of the lipoint of view of the photographer. 

• The region of the face, from the crown 

the chin, and from ear-to-ear, shall be free of shadows. In particular, there sshadows in the eye-sockets due to the and pupil of the eyes shall be clearly vi

Confidential. © 2005 Identix Inc. All rights reserved. 65 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Photographic Requirements 

Subject lighting: 

• Subject illumination can be accomplishe

point balanced illumination sources. An discussed in [2]. A single bare “point” such as a camera flash, is not acceptab

• Appropriate diffusion techniques shall b

eliminate hot spots on the facial imageusually appear on reflective areas such foreheads 

Confidential. © 2005 Identix Inc. All rights reserved. 66 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Photographic Requirements 

Background lighting: 

• Proper lighting shall contribute to the u

illumination of the background, and the be free of shadows. 

Confidential. © 2005 Identix Inc. All rights reserved. 67 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Photographic Requirements 

Exposure calibration: 

• The exposure shall be keyed to the bac

areas of the recorded 18% gray backgrused to verify the proper exposure. The 8-bit Red, Green, and Blue (RGB) compeach area shall be calculated. 

• Each of the RGB means shall fall betwe

with a standard deviation of plus or minFurthermore, for every area examined, difference between the means of any twcomponents shall not exceed 10. 

Confidential. © 2005 Identix Inc. All rights reserved. 68 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Photographic Requirements 

No saturation: 

• For each patch of skin on the person’s 

gradations in textures shall be clearly vsense, there will be no saturation (over exposure) on the face. 

Confidential. © 2005 Identix Inc. All rights reserved. 69 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Photographic Requirements 

No unnatural color or “red –eye:” 

• Unnaturally colored lighting (e.g. yellow

allowed. Care shall be taken to correct balance" of image capture devices. Thproduce a face image with natural lookwhen viewed in typical examination env

• “Red-eye” is not acceptable. 

Confidential. © 2005 Identix Inc. All rights reserved. 70 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Photographic Requirements 

No color or grayscale enhancement: 

• A process that overexposes or under-de

grayscale image for purposes of beauty artistic pleasure is not allowed. 

• The full spectrum shall be represented 

image where appropriate. Teeth and wshall be clearly light or white (when apdark hair or features (when appropriatedark. 

Confidential. © 2005 Identix Inc. All rights reserved. 71 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

• Photographic Requirements 

No unnatural radial distortion of camera 

• Fish eye effect, a type of distortion whe

of the image erroneously appear closer edge, typically resulting in what appear large noses in the image, is not alloweddistortion is almost always present duriphotography, that distortion should not human examination. 

• For a typical photo capture system with 

2.5 meters from the camera, the focal camera lens should be that of a medium 

Confidential. © 2005 Identix Inc. All rights reserved. 72 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Digital Requirements 

Pixel aspect ratio: 

• Digital cameras and scanners used to c

images shall use square pixels with a pof 1:1 

Confidential. © 2005 Identix Inc. All rights reserved. 73 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Digital Requirements 

Image aspect ratio: 

• The Width: Height (i.e., HLL:VLL) aspe

captured image shall be 3:4. This correcommonly used format sizes such as 60768x1024, etc., allowing for a COTS digused for capture. 

Confidential. © 2005 Identix Inc. All rights reserved. 74 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Digital Requirements 

No interlacing: 

• Interlaced video frames are not allowed 

interlacing must be absent (not simply absent). 

Confidential. © 2005 Identix Inc. All rights reserved. 75 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Digital Requirements 

No digital Zoom: 

• The use of digital zoom (interpolation) 

specified resolution associated with SubProfiles that point to Section 6 as normallowed 

Confidential. © 2005 Identix Inc. All rights reserved. 76 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Digital Requirements 

Image compression: 

• The maximum compression ratio for both 

JPEG2000 of a rectangular region containskin of the face, from crown to chin and eat most 15:1. 

• The non-facial portion of the mugshot, as 

Type-10 record, can be compressed up to 

• For JPEG, reference [14] provides informa

implement compression with both ROI ancompression ratios. 

• For JPEG2000, these capabilities are built 

implementation. 

Confidential. © 2005 Identix Inc. All rights reserved. 77 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Digital Requirements 

Image compression: Cont’d 

• For both JPEG and JPEG2000, care must 

account for automatic compression by caMultiple compression stages can damage photographic data. When possible, minim(highest resolutions) should be applied at when external software performs the finacompression stage. 

• Note that SAP levels 50 and 51 include ad

constraints on compression for the frontaimage. 

Confidential. © 2005 Identix Inc. All rights reserved. 78 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Digital Requirements 

Allowed color space: 

• A full color image shall be captured. • To ensure that color images exchanged 

differing systems can be correctly displimages shall be converted to the devicecolor space, sRGB. 

• See Section above (field 10.012) for fur

color spaces. 

Confidential. © 2005 Identix Inc. All rights reserved. 79 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Format Requirements 

Subject Pose (POS) and Subject pose ang

• One of either the POS or SPA fields shall b

pose angles. 

• The POS field code values “F”, “R”, and “L

images in which the Pitch and Roll angles Yaw angle is 0, 90, and -90 respectively. Yaw angle in the previous sentence corresfield 10.020 convention where a right prosubject turns to the left). 

Confidential. © 2005 Identix Inc. All rights reserved. 80 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Format Requirements 

Subject Pose (POS) and Subject pose aCont’d 

• The SPA field 10.025 can be used for th

and shall be used for all other angled pfield 10.020 shall then be of type code determined 3D pose, instructing the usas the reference for pose angles. 

• In all cases, the uncertainty in the Yaw 

determination shall be less than 5 degrphotograph, and 10 degrees in the nonphotographs. The uncertainty in the Pitangles shall be less than 5 degrees. 

Confidential. © 2005 Identix Inc. All rights reserved. 81 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Format Requirements 

Subject facial descriptions (SXS): 

• The Subject facial description field shal

the transaction when one or more of thgiven by the type codes of 10.026 is primage. 

Confidential. © 2005 Identix Inc. All rights reserved. 82 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Format Requirements 

Subject hair color (SHC): 

• The Subject hair color field shall be pre

transaction. The code “UNKNOWN” for allowed. 

Confidential. © 2005 Identix Inc. All rights reserved. 83 
Face Image Capture Requirements for 

Levels 40, 50 and 51 

Format Requirements 

Subject eye color (SEC): 

• The Subject eye color field shall be pre

transaction. The code “UNKNOWN” for allowed. 

Confidential. © 2005 Identix Inc. All rights reserved. 84 
Discussion/Vo
Modified field 10.020: Su

pose (POS) 
Modified field 10.020: Subject po

Introduction • This optional field is to be used for the 

facial image data. When included, this one ASCII character code selected from describe the pose of the subject. 

• For the angled pose entry "A", Field 10

the offset angle from the full face oriendetermined 3D pose entry "D", Field 10a set of determined 3D pose angles (i.eand Roll angles) away from the full fronorientation. 

• Note that the offset angle in Field 10.02

from the yaw angle in Field 10.025 by a 

Confidential. © 2005 Identix Inc. All rights reserved. 87 
Modified field 10.020: Subject po

Introduction (Continues) 

Subject pose 

Pose description Full-Face, Frontal Right Profile (90 degree) Left Profile (90 degree) Angled Pose Determined 3D Pose 

An example transaction for determined 3

pose is “10.020:D GS”. 

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Discussion/Vo
Modified field 

Photo descript(PXS) 
Modified field 10.022: Photo descri

Introduction • This optional ASCII field, retained for le

used for the exchange of facial image dpresent, it shall consist of one or more shall describe special attributes of the cimage. Attributes associated with the fabe selected from Table 5 and entered isubfield as one or two information itemseparator character between the items

• The attribute code listed in Table 5 sha

first information item. 

Confidential. © 2005 Identix Inc. All rights reserved. 91 
Modified field 10.022: Photo descri

Introduction Cont’d 

Table 5: Photo descriptors 

Facial image attribute AttribSubject Wearing Glasses GSubject Wearing Hat Subject Wearing Scarf Physical Characteristics POther Characteristics 

Confidential. © 2005 Identix Inc. All rights reserved. 92 
Modified field 10.022: Photo descri

Introduction Cont’d • Physical characteristics, such as "FRECK

entered as a subfield consisting of two iThe first is "PHYSICAL" followed by the “followed by the characteristic as listed in 13 of the Eighth (or current) Edition of tManual, July 14, 1999. 

• The "OTHER" category is used to enter 

miscellaneous attributes of the facial imainformation shall be entered as a two-insubfield. The first is "OTHER" followed bseparator, followed by the unformatted describe the attribute. Multiple attributemay be listed but must be separated by character. 

Confidential. © 2005 Identix Inc. All rights reserved. 93 
Modified field 10.022: Photo descri

Introduction Cont’d • Note: The Subject facial description (SX

intended as a replacement for this PXS fentries are now duplicated in Table 7. 

• An example transaction for subject wear

“10.022:GLASSES GS”. 

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Discussion/Vo
New field 10.023: Ph

acquisition source (P
New field 10.023: Photo acquisition s

Introduction • This optional field shall specify the class

source of the image contained in this reincluded, this field shall contain an ASCselected from Table 6 to describe the s

image data. 

Confidential. © 2005 Identix Inc. All rights reserved. 97 
New field 10.023: Photo acquisition s

Introduction Cont’d 

Table 6 – Acquisition source type codes 

Acquisition source type attribute AtUnspecified UNStatic photograph from an unknown source UNStatic photograph from a digital still-image camera DIStatic photograph from a scanner SCSingle video frame from an unknown source UN

Single video frame from an analogue video camera ANSingle video frame from a digital video camera DIUnknown UNVendor Specific source VE

Confidential. © 2005 Identix Inc. All rights reserved. 98 
New field 10.023: Photo acquisition so

Introduction Cont’d 

• The "VENDOR" category is used to ente

miscellaneous source attributes of the finformation shall be entered as a two-insubfield. The first is "VENDOR" followed 

separator, followed by the unformatted describe the attribute. 

• An example transaction for static photo

digital still-image camera is “10.024:DIGS”. 

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Discussion/Vo
New field 10.024: Sub

quality score (SQS) [Rob Mungovan, Aw
New field 10.024: Subject quality sc

 Introduction • This optional ASCII field shall specify qual

facial images stored in this record. Each scontain four information items. 

• 1. The first information item shall be a q

expression of the predicted matching perfbiometric sample. This item contains the Arepresentation of the integer image qualit1 and 100 assigned to the image data by algorithm. Higher values indicate better qof “-1” shall indicate a failed attempt to cascore. 

Confidential. © 2005 Identix Inc. All rights reserved. 102 
New field 10.024: Subject quality sc

 Introduction Cont’d 

2. The second information item shall spealphanumeric ID value of the vendor of thalgorithm used to calculate the quality scomaintain a Vendor Registry that will map tfield to registered quality algorithm vendoID shall be composed of ASCII printable c16 characters in length. 3. The third information item shall specifproduct code assigned by the vendor of thalgorithm. It indicates which of the vendoused in the calculation of the quality scorecontains the ASCII representation of the incode and should be within the range 1 to 

Confidential. © 2005 Identix Inc. All rights reserved. 103 
New field 10.024: Subject quality sc

 Introduction Cont’d 

4. The fourth item shall specify the vthe quality algorithm used. The version include a major number and minor numby a period. The major number and mshould each be the ASCII representativalues in the range 0 to 255. 

− An example transaction for a quality sc

generated using a quality algorithm wiof 65530, version 255.255, by a vendoID of “NIST” is “10.023:100 USNIST UUS255.255 GS”. 

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Discussion/Vo
New field 10.025: Subj

angles (SPA) 
New field 10.025: Subject pose angles 

Introduction • This optional ASCII field shall only be used 

10.020 (POS) is not present or contains an 

set of determined 3D pose angles of the saWhen present, this information shall be ensix information items. 

• The first is the Yaw angle followed by the 

followed by the Pitch angle, followed by thfollowed by the Roll angle. The fourth, fifth information items denote the uncertainty iand Roll angles respectively. If the seconis not present, then the additional three “Ushall still be included. 

Confidential. © 2005 Identix Inc. All rights reserved. 107 
New field 10.025: Subject pose angles 

Introduction • The first three items specify the pose of th

estimated or measured at constrained pos

within a sphere (See Figure 5). Each angle the nearest integer degree. 

• If both field 10.021 and this field are pres

angle of this field shall supersede the offscontained in Field 10.021. Note that the Yfield has the opposite sign of the offset anField 10.021. 

Confidential. © 2005 Identix Inc. All rights reserved. 108 
New field 10.025: Subject pose angles 

The definition and range of pose a

The angles are defined relative to the frontal view of the subject, whic

shown in the figure below. 

The definition of pose angle set is with respect to the fron

Confidential. © 2005 Identix Inc. All rights reserved. 109 
New field 10.025: Subject pose angles 

The definition and range of pose ang

– Examples of pose angles and their encodings. The pose angles 

– (g) are given by (0, 0, 0), (+45, 0, 0), (-45, 0, 0), (0, -45, 0), 

and (0, 0, +45), respectively. 

a b c d e 

Confidential. © 2005 Identix Inc. All rights reserved. 110 
New field 10.025: Subject pose angles 

The order of rotation through pose • As order of the successive rotation arou

axes does matter, the encoded rotation correspond to an order of execution stafrontal view. This order shall be given front axis), then Pitch (about the horizofinally Yaw (about the vertical axis). Th

executed) Roll transformation will therethe image (x, y) plane. Examples are shthat follows. 

Confidential. © 2005 Identix Inc. All rights reserved. 111 
New field 10.025: Subject pose angles 

The order of rotation through pose 

(Y, P, R)=(0, 0, +45) (Y, P, R)=(0,-30, +45) (Y, P, R)=(-45, -3

a b c 

(Y, P, R)=(0, 0, -30) (Y, P, R)=(0, +20, -30) (Y, P, R)=(-30, +2d e F 

Examples of the order of rotation through pose angles with an origin of coordinate system at t

successive rotation steps to achieve the pose angles (Y, P, R) of (-45, -30, +45). Figures (d

to achieve the pose angles (Y, P, R) of (-30, +20, -3

Confidential. © 2005 Identix Inc. All rights reserved. 112 
Discussion/Vo
New field 10.026: Su

facial description (SX
New field 10.026: Subject facial descr

Introduction • This optional ASCII field shall be used fo

of facial image data... 

• This field may have one or more subfield

containing a single information item. For Characteristic", enter a characteristic as Section 13 of the Eighth (or current) EditCode Manual, July 14, 1999. 

• For the "Other Characteristic" enter unlis

miscellaneous attributes as unformatted describe the attribute. Multiple attributebut must be separated by the “RS” chara

Confidential. © 2005 Identix Inc. All rights reserved. 115 
New field 10.026: Subject facial descr

Facial description attribute 

Expression unspecified Neutral (non-smiling) with both eyes open and mouth closed) Smiling where the inside of the mouth and/or teeth is not exposed (closed jaw). Subject Having Mouth open Having Teeth visible Raising eyebrows Frowning Looking away from the camera Squinting Subject Wearing Left Eye Patch 

Confidential. © 2005 Identix Inc. All rights reserved. 116 
New field 10.026: Subject facial descr

Table cont’d 

Subject Wearing Clear Glasses Subject Wearing Dark or Visible Colored Glasses (medical) head covering/hat Wearing Scarf Having Moustache Having Beard Ear(s) obscured by hair Blinking (either or both eyes closed) Having Distorting Medical Condition impacting Feature Point detec

Physical Characteristics 

Other Characteristics 

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Discussion/Vo
New field 10.027: Sub

eye color (SEC) 
New field 10.027: Subject eye color (S

Introduction • This optional ASCII field shall be used f

of facial image data. When present, it seye color of the subject as seen in the punusual or unnatural such as may be thcolored contact lenses are present and color cannot be ascertained, then the clabeled as “UNKNOWN”. 

Confidential. © 2005 Identix Inc. All rights reserved. 120 
New field 10.027: Subject eye color (S

Introduction Cont’d 

An example transaction for subject blue eyes is “1

Eye color attribute Attribute code Unspecified UNSPECIFIED Black BLACK Blue BLUE Brown BROWN Gray GRAY Green GREEN Multi-Colored MULTI-COLORED Pink PINK Unknown (e.g. can not be determined from image, monochrome image) 

UNKNOWN 

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Discussion/Vo
New field 10.028: Sub

color (SHC) 
New field 10.028: Subject hair color (S

Introduction • This optional ASCII field shall be used f

of facial image data. When present, it shair color of the subject as seen in the 

unusual or unnatural color such as blue present and the “real” color cannot be the color should be labeled as “UNKNO

• If the subject is completely bald, or has 

shaved head, then the hair color shall b“BALD”. When the subject is predominhair color is discernable, then the approattribute code shall follow “BALD” (sepa

“RS” character). 

Confidential. © 2005 Identix Inc. All rights reserved. 124 
New field 10.028: Subject hair color (S

Introduction Cont’d 

Hair Color codes 

Hair color attribute Attribute code Unspecified UNSPECIFIED Bald BALD Black BLACK Blonde BLONDE Brown BROWN Gray GRAY White WHITE Red RED Unknown UNKNOWN 

An example transaction for subject is bald and ha“10.028:BALDRSGRAYGS”. 

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Discussion/Vo
New field 10.029: Su

feature points (SFP) 
New field 10.029: Subject feature poin

Introduction • The optional ASCII field shall be used fo

of facial image data. When present, it sspecial attributes of manually or automafacial feature points of the captured fac

• This information shall be entered as fou

items described in Table 10. The first is Type, followed by the “US” separator chsecond is Feature Point Code, followed 

separator character. The third is the 

X c

Feature Point, followed by the “US” sepaThe fourth and final item is the 

Y coordi

Feature Point in the facial image. 

• Multiple facial points may be listed... 

Confidential. © 2005 Identix Inc. All rights reserved. 128 
New field 10.029: Subject feature poin

Introduction Cont’d 

• Feature points shall be included in the re

they have been accurately determined, thproviding the option that that these parahave to be re-determined when the imagfor face recognition tasks. 

• Typically a computer algorithm will either 

determine the position of the feature poinfail and provide either clearly erroneous oinformation. 

• Therefore, a method for accurate determ

use of computer-automated feature point followed by human verification and potenthe computer determined feature points 

Confidential. © 2005 Identix Inc. All rights reserved. 129 
New field 10.029: Subject feature poin

Introduction Cont’d 

The Subject Feature Point Field 

Item 

Size Value 

Feature Point Type 1 character 1 Feature Point Code 5 characters A.B in ASCII text 

A and B are specifiein Section 15.2. 

X coordinate 1-4 characters •Horizontal pixel 

count from upper lefpixel. 

Y coordinate 1-4 characters •Vertical pixel count 

from upper left pixel. 

Confidential. © 2005 Identix Inc. All rights reserved. 130 
New field 10.029: Subject feature poin

Subject feature point type • The Feature Point stored in the Feature P

field shall be set to “1” to denote the verfeature point type that the position of the is represented by the coordinate of the imfield values The Subject Feature Point Tyrepresents the type of are reserved for fuof Feature Point types. 

Confidential. © 2005 Identix Inc. All rights reserved. 131 
New field 10.029: Subject feature poin

Subject feature point code 

MPEG4 Feature Points: 

• The Subject feature point code item shal

Feature Point that is stored in the FeaturThe codes of the Feature Points in Sectiofrom the MPEG4 standard and defined as Feature Points, or the additional eye and Points in Section 15.2.2 shall be stored in Each Feature Point code is represented bA.B using a major (A) and a minor (B) vaencoding of the Feature Point code is givnumeric ASCII representation of the valu

• Figure that follows denotes the Feature P

associated with Feature Points as given bISO/IEC 14496-2. 

Confidential. © 2005 Identix Inc. All rights reserved. 132 
1 1 .5 1 1 .5 

2 .1 

2 .1 2 2 .1 1 

2 .1 4 

2 .1 0 

2 .1 3 

1 0 .6 

1 0 .8 

1 0 .4 

1 0 .2 

1 0 .1 0 1 0 .9 

1 0 .7 

5 .4 

5 .2 

5 .3 

5 .1 

4 .1 4 .3 4 .6 4 .5 4 .4 4 .2 

1 1 .2 1 1 .1 1 1 .3 

1 1 .4 

x 

y 

1 0 .1 

1 0 .3 

1 0 .5 

x y 

z 

1 1 .4 

1 1 .2 

1 0 .2 

1 0 .4 

1 0 .1 0 

1 0 .8 

1 0 .6 

7 .1 

1 1 .6 4 .6 

4 .4 

4 .2 

5 .2 

5 .4 

2 .1 0 

2 .1 

1 1 .1 

2 .1 4 2 .1 2 

z 

3 .1 4 3 .1 3 

3 .1 2 3 .5 

3 .1 3 .3 

3 .1 1 

3 .6 3 .4 3 .2 

3 .8 

3 .7 

3 .1 0 3 .9 9 .6 9 .7 

R ig h t e y e L e ft e y e 

9 .8 

N ose 9 .1 2 

9 .1 4 9 .1 3 

9 .1 0 9 .1 1 

9 .3 

9 .9 9 .2 9 .1 

T e e th 9 .4 9 .1 5 9 .5 

F e a tu re p o in ts a ffe c te d b y F A P s O th e r f e a tu r e p o in ts 

Tongue 

6 .2 6 .4 6 .3 

6 .1 

M o u th 

8 .1 

8 .9 8 .1 0 8 .5 

8 .3 

8 .7 

8 .2 

8 .8 

8 .4 

8 .6 

2 .2 

2 .3 

2 .6 

2 .9 2 .8 

2 .5 2 .7 2 .4 

New field 10.029: Subject feature poin

 Subject feature point code 

MPEG4 Feature Points: 

Each Featue Point code in Figure is given by major value A and minor value B. For example, the code 

given by major value 3 and minor value 7. 

Confidential. © 2005 Identix Inc. All rights reserved. 133 
New field 10.029: Subject feature poin

Subject feature point code 

Eye and nostril centre Feature Points: 

Figure above – The eye and nostril center Feature Pby midpoints of MPEG4 Feature Points. 

Confidential. © 2005 Identix Inc. All rights reserved. 134 
New field 10.029: Subject feature poin

Subject feature point code 

Eye and nostril centre Feature Points: 

Eye and nostril center Feature Point codes 

Center Feature Point Midpoint of Feature Points 

Left Eye 3.7, 3.11 Right Eye 3.8, 3.12 

Left Nostril Horizontal Vertical 

9.1, 9.15 9.3,9.15 

Right Nostril Horizontal Vertical 

. 

9.2, 9.15 9.3,9.15 

An example transaction for representing two feature points of eye centers is “10.029:1US12.2US12

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Discussion/Vo
End (Whew!)