# Presentation: 326702

***A Synopsis ***
*of*
***Federal Information Processing Standard  (FIPS) 201***
*for** *
*Personal Identity Verification (PIV)*
*of *
*Federal Employees and Contractors*
- Presentation by NIST March 2005

## Topics

- HSPD-12 Requirements and Timeline
- FIPS 201 Development Process
- FIPS 201 Requirements
- Additional Guidance

## HSPD-12 Presidential Policy Driver

**Home Security Presidential Directive 12 (HSPD-12):**
- 	“*Policy for a Common Identification Standard for Federal Employees and Contractors”*
*	**	**	**	**	*Dated: **August 27, 2004**

## HSPD 12 Requirements

- Secure and reliable forms of personal identification that is:
- Based on sound criteria to verify an individual employee’s identity
- Strongly resistant to fraud, tampering, counterfeiting, and terrorist exploitation
- Rapidly verified *electronically*
- Issued only by providers whose reliability has been established by an official accreditation process

## HSPD 12:  Requirements (cont.)

-  Applicable to *all* government organizations and contractors except identification associated with National Security Systems
-  Used for access to Federally-controlled facilities and logical access to Federally-controlled information systems
-  Flexible in selecting appropriate security level – includes graduated criteria from *least* secure to *most* secure
-  Implemented in a manner that protects citizens’ privacy

## HSPD-12 Milestones

## FIPS 201 Development Process

- Preliminary thinking posted on PIV web site in late September 2004
- Held 4 workshops on draft standards (1 workshop for government only)
- Published preliminary draft and draft for public review
- Independent coordination with the Government Smart Card Interagency Advisory Board and Federal Identity Credentialing Committee
- Final consultations with Defense, State, Homeland Security, Justice, OSTP, and OMB
- Processed comments from over 90 organizations.

## FIPS 201 DEVELOPMENT PROCESS Comment Evaluation - Considerations 

- Increased security
- Enhanced interoperability
- Cost
- Time
- Privacy
- Employee/union interests
- Usability
- Industry concerns

- Training
- Agency flexibility vs. consistency
- Simplicity
- Installed base technology
- Emerging standards and technology
- Technology neutrality

*All within the context of meeting the President’s HSPD 12 mandate  for change*

*Key balancing interests include:*

## FIPS 201Requirements

## FIPS 201 REQUIREMENTSPhased-ImplementationIn Two Parts

- Part 1 – Common Identification and Security Requirements
- HSPD 12 Control Objectives
- Identity Proofing, Registration and Issuance Requirements
- 	(revised from November Draft)
- Effective October 2005
- Part 2 - Common Interoperability Requirements
- Detailed Technical Specifications
- Most Elements (revised) of October Preliminary Draft
- No set deadline for implementation in PIV standard
- Migration Timeframe (i.e., Phase I to II)
- Agency implementation plans to OMB before July 2005
- OMB to develop schedule

## FIPS 201 REQUIREMENTS Privacy Requirements

- HSPD 12 requires that PIV systems are implemented with all privacy controls specified in this standard, as well as those specified in Federal privacy laws and policies including but not limited to the E-Government Act of 2002, the Privacy Act of 1974, and Office of Management and Budget (OMB) Memorandum M-03-22, as applicable.
- All agencies must:
- have a privacy official role
- conduct Privacy Impact Assessment (PIA) in accordance with standards
- have procedures to handle Information in Identifiable Form (IIF)
- have procedures to handle privacy violations
- maintain appeals procedures for denials/revocation of credentials.

## FIPS 201 REQUIREMENTS Identity Proofing and Card Issuance Requirements

- No single individual shall be capable of issuing a PIV card
- Role Based Model
- Roles of PIV Applicant, Sponsor, Registrar, and Issuer are mutually exclusive (I.e. no individual shall hold more than one of these roles in the identity proofing and registration process.)
- PIV Issuer and PIV Digital Signatory roles may be assumed by one individual or entity.
- System-Based Model
- Requires highly developed personnel management system and remotely accessible database (e.g., DoD DEERS/RAPIDS)
- No cards issued to individuals not in the database

## Part 2PIVRequirements

## Functional Components

- PIV Front-End Subsystem** **— PIV Card, card and biometric readers, and personal identification number (PIN) input device.  The PIV cardholder interacts with these components to gain physical or logical access to the desired Federal resource.
- PIV Card Issuance and Management Subsystem** **— the components responsible for identity proofing and registration, card and key issuance and management, and the various repositories and services (e.g., public key infrastructure [PKI] directory, certificate status servers) required as part of the verification infrastructure.
- Access Control Subsystem** **— the physical and logical access control systems, the protected resources, and the authorization data.

## FIPS 201 REQUIREMENTS PIV Card Visual Data

- Mandatory
- Name
- Employee Affiliation
- “United  States of  America”
- Card Expiration Date
- Card Serial Number (Unique to Issuer)
- Issuer Identification

- Optional
-  Card Holder’s Written Signature
-  Pay Grade
-  Rank
-  Agency Name and/or Department
-  Agency Seal
-  Issue Date
-  Information for Returning Lost   Card
-  Color codes
-  Federal Emergency Official Designation

## PIV Card Front – Printable Areas

## PIV Card Back – Printable Areas

## FIPS 201 REQUIREMENTS PIV Card Requirements

- Mandatory
- Integrated Circuit to Store/Process Data
- Optional
- Magnetic Stripe
- Bar Code
- Linear 3 of 9 Bar Code
- Interfaces:
- Contact ( ISO/IES 7816)
- Contactless (ISO/IES 14443)

## FIPS 201 REQUIREMENTS PIV Electronically Stored Data

- Mandatory:
- PIN (used to prove the identity of the cardholder to the card)
- Cardholder Unique Identifier (CHUID)
- PIV Authentication Data (asymmetric key pair and corresponding PKI certificate)
- Two biometric fingerprints

- Optional:
-  An asymmetric key pair and corresponding certificate for digital signatures
-  An asymmetric key pair and corresponding certificate for key management
-  Asymmetric or symmetric card authentication keys for supporting additional         physical access applications
-  Symmetric key(s) associated with the card management system

## FIPS 201 REQUIREMENTS PIV Card Management

- FIPS201 specifies:
-  PIV Card Issuance
-  PIV Card Maintenance
-  PIV Card Renewal
-  Card re-issuance
-  Card PIN reset
-  Card termination

## FIPS 201 REQUIREMENTS Authentication Mechanisms

-    Three Identity Authentication Assurance levels
-     Authentication using PIV Visual Credentials
-     Authentication using the PIV CHUID
-     Authentication using PIV Biometric
-     Authentication using PIV asymmetric Cryptography (PKI)

## Further Guidance

- Supporting Publications
- SP 800-73 – *Interfaces for Personal Identity Verification* (card interface commands and responses)
- SP 800-76 – *Biometric Data Specification for Personal Identity Verification*
- SP 800-78 – *Recommendation for Cryptographic Algorithms and Key Sizes*
- NIST PIV Website  (http://csrc.nist.gov/piv-project/)
- Draft Documents
- Frequently Asked Questions (FAQs)
- Comments Received in Original Format
- Forthcoming Planned Guidance
- OMB Guidance (Policy)
- FICC Guidance (Implementation)
- NIST Guidance on Certification and Accreditation