+4.3 Identity Assurance Level 3
---+4.3.1 Proofing Types
---+4.3.2 Evidence Collection
---+4.3.3 Attribute Requirements
---+4.3.4 Evidence Validation
---+4.3.5 Attribute Validation
---+4.3.6 Verification Requirements
---+4.3.7 On-Site Attended Requirements — Colocated Agent
---+4.3.8 On-Site Attended Requirements — Kiosk-Based
---+4.3.9 Notification of Proofing
---+4.3.10 Initial Authenticator Binding

4.3 Identity Assurance Level 3

IAL3 adds additional rigor to the steps required at IAL2 and is subject to additional and specific processes, including the use of biometric information comparison, collection, and retention, to further protect the identity and RP from impersonation and other forms of identity fraud. In addition, identity proofing at IAL3 is performed onsite and attended by a proofing agent, as described in Sec. 2.1.2.

1. Übersicht

4.3.1 Proofing Types

IAL3 identity proofing SHALL only be delivered as on-site attended. The proofing agent MAY be co-located with the applicant or attend the identity proofing session via a CSP-controlled kiosk or device.
4.3.2 Evidence Collection

For identity proofing at IAL3, the CSP SHALL collect:

One piece of FAIR evidence and one piece of STRONG evidence or
Two pieces of STRONG evidence or
One piece of SUPERIOR evidence.
4.3.3 Attribute Requirements
The CSP SHALL collect all core attributes, including at least one government identifier. Validated evidence is the preferred source of identity attributes. If the presented identity evidence does not provide all of the attributes that a CSP considers to be core attributes, the CSP MAY collect attributes that are self-asserted by the applicant.
The CSP SHALL collect and retain a biometric sample from the applicant during the identity proofing process to support account recovery and non-repudiation and to establish a high level of confidence that the same participant is present in the proofing and issuance processes, if done separately. CSPs MAY choose to periodically re-enroll user biometrics based on the modalities they use and the likelihood that subscriber accounts will persist long enough to warrant such a refresh.
4.3.4 Evidence Validation
Each piece of FAIR or STRONG evidence that is presented SHALL be validated using one of the following techniques:
Confirming the authenticity of the digital evidence by interrogating the digital security features (e.g., signatures on assertions or data)
Confirming the authenticity of the physical evidence using automated scanning technology that can detect physical security features
Confirming the integrity of any physical security features through a visual inspection by a proofing agent using a real-time or asynchronous process (e.g., offline manual review)
Confirming the integrity of any physical security features through physical and tactile inspection by a proofing agent at an on-site location
Each piece of SUPERIOR evidence SHALL be validated through the cryptographic verification of the evidence contents and the issuing source, including digital signature verification and the validation of any trust chain back to a trust anchor. Any piece of SUPERIOR evidence that cannot be validated using this method MAY be considered STRONG evidence if it can be validated by using one of the techniques provided above.
4.3.5 Attribute Validation
The CSP SHALL validate all core attributes by either:
Comparing the government identifier and other core attributes against an authoritative or credible source to determine accuracy or
Validating the accuracy of digitally signed attributes that are contained on SUPERIOR evidence through the public key of the issuing source
CSPs SHOULD evaluate attributes obtained from different sources (e.g., presented evidence, self-asserted, authoritative or credible sources) for consistency.
CSPs SHOULD validate any reference numbers on the presented identity evidence, if available.
4.3.6 Verification Requirements
The CSP SHALL verify the applicant’s ownership of the strongest piece of evidence (STRONG or SUPERIOR) by one of the following methods:
Confirming the applicant’s ability to successfully authenticate to a physical device or application (e.g., a mobile driver’s license) and comparing a digitally protected and transmitted facial portrait to the applicant
Comparing the applicant’s facial image to the facial portrait on the presented evidence via an automated comparison
Visually comparing the applicant’s facial image to the facial portrait on the presented evidence during an on-site attended session or a remote attended session
Performing an automated comparison of a stored biometric on the identity evidence or in the authoritative records associated with the evidence to a sample provided by the applicant
4.3.7 On-Site Attended Requirements — Colocated Agent
The CSP SHALL provide a secure, physical setting in which on-site identity proofing sessions are conducted.
The CSP SHALL provide sensors and capture devices for the collection of biometrics from the applicant.
The CSP SHALL have the proofing agent view the source of the collected biometric for the presence of any non-natural materials (e.g., putty, glue).
The CSP SHALL have the proofing agent collect the biometric samples in such a way that ensures the sample was collected from the applicant and no other source.
The CSP SHALL ensure that all information systems and technology leveraged by proofing agents and trusted referees are protected consistent with at least FISMA moderate or comparable levels of controls, including physical controls for the proofing facility.
CSP proofing agents SHALL be trained to identify signs of manipulation, coercion, or social engineering occurring during the on-site session.
CSPs MAY record and maintain video sessions for fraud prevention and prosecution purposes pursuant to a privacy risk assessment, as defined in Sec. 3.3.1. If the CSP records a session, the following additional requirements apply:
The CSP SHALL notify the applicant of the recording prior to initiating a recorded session.
The CSP SHALL gain consent from the applicant prior to initiating a recorded session.
The CSP SHALL publish their retention schedule and deletion processes for all video records.
The CSP SHALL provide proofing agents with a method or mechanism to discretely flag events or actions as potential fraud.
4.3.8 On-Site Attended Requirements — Kiosk-Based

The CSP MAY offer a remote means of interacting with a proofing agent whereby the agent and the applicant are not co-located (i.e., in the same room). For example, applicants might interact with a CSP-controlled kiosk with the proofing agent participating remotely in the session over video. In such cases, the following requirements apply in addition to those provided for the on-site attended identity proofing in Sec. 4.3.7. In previous versions of this document, this approach was referred to as Supervised Remote Identity Proofing (SRIP).

The CSP SHALL monitor the entire identity proofing session through a high-resolution video transmission with the applicant.
The CSP SHALL have a live proofing agent participate remotely with the applicant for the evidence collection, evidence validation, and verification steps of the identity proofing process. Data entry of attributes for resolution and enrollment MAY be done without the presence of a live proofing agent.
The CSP SHALL require all actions taken by the applicant during the evidence collection, evidence validation, and verification steps to be clearly visible to the remote proofing agent.
The CSP SHALL require that all digital validation and verification of evidence (e.g., via chip or wireless technologies) be performed by integrated scanners and sensors (e.g., embedded fingerprint reader).
All devices used to support interaction between the proofing agent and the applicantSHALL be safeguarded from tampering through observation by CSP representatives or monitoring devices (e.g., cameras) and through physical and digital tamper prevention features.
All devices used to support interaction between the proofing agent and the applicant SHALL be protected by appropriate baseline security features that are comparable to at least FISMA moderate controls, including malware protection, administrator-specific access controls, and software update processes.
All devices used to support interaction between the proofing agent and the applicant SHALL be inspected periodically by trained technicians to deter tampering, modification, or damage.
4.3.9 Notification of Proofing

Upon the successful completion of identity proofing at IAL3, the CSP SHALL send a notification of proofing to a validated address for the applicant, as specified in Sec. 3.10. CSPs SHOULD send the notification of proofing to the applicant’s postal address.
4.3.10 Initial Authenticator Binding
The CSP SHALL distribute or enroll the subscriber’s initial authenticator during an on-site attended interaction with a proofing agent.
If the CSP distributes or enrolls the initial authenticator outside of a single authenticated protected session with the subscriber, the CSP SHALL compare a biometric sample collected from the subscriber to the one collected at the time of proofing prior to registration of the authenticator and MAY request that the subscriber bring the identity evidence used during the proofing process to further strengthen the process of binding the authenticator to the subscriber.

1.1 Referenzen

1.2 Identifizierte Anforderungen

1.3 Zugehörige Regulierungen

2. Identifizierte Anforderungen

Anforderungen

3. Zugehörige Regulierungen

Regulierungen
  • NIST -

    EN: Publications of the National Institute of Standards and Technology (NIST), U.S. Department of Commerce, https://www.nist.gov/, from their electronic versions (OSCAL; SP 800-63-4 from its HTML version, https://pages.nist.gov/800-63-4/). Works of NIST employees are not subject to copyright protection in the United States (17 U.S.C. § 105); the OSCAL content is dedicated to the public domain worldwide (CC0 1.0); outside the United States NIST grants the right to reprint its technical series publications in all formats (NIST copyright statement). Republished courtesy of the National Institute of Standards and Technology; each document names its citation. Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by NIST are authoritative.

    DE: Veröffentlichungen des National Institute of Standards and Technology (NIST), U.S. Department of Commerce, https://www.nist.gov/, aus ihren elektronischen Fassungen (OSCAL; SP 800-63-4 aus ihrer HTML-Fassung, https://pages.nist.gov/800-63-4/). Werke von NIST-Beschäftigten sind in den USA urheberrechtlich nicht geschützt (17 U.S.C. § 105); die OSCAL-Inhalte sind weltweit gemeinfrei gestellt (CC0 1.0); außerhalb der USA räumt das NIST das Recht ein, seine Technical-Series-Publikationen in allen Formaten neu zu veröffentlichen (Copyright-Hinweis des NIST). „Republished courtesy of the National Institute of Standards and Technology“; jedes Dokument nennt seine Zitierangabe. In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die vom NIST veröffentlichten Fassungen.