+3.13 Requirements for the Validation of Physical Evidence

3.13 Requirements for the Validation of Physical Evidence

The validation of physical evidence can be conducted by optical capture and inspection (often called document authentication or “doc auth”) or via visual inspection by a trained proofing agent or trusted referee. CSPs can employ either or both processes to evaluate the authenticity of identity evidence.

The following requirements apply to CSPs that employ optical capture and inspection for the purposes of determining document authenticity:

Automated evidence validation technology SHALL meet the following performance measures:
Document false acceptance rate (DFAR) of 0.1 or less6
Document false rejection rate (DFRR) of 0.1 or less7
If a Machine Readable Zone (MRZ) or barcode is present on the evidence, the optical capture and inspection SHALL compare the MRZ data to the printed data on the evidence for consistency.
CSPs SHALL implement live capture of documents during the validation process and SHALL implement passive or active document presence checks (also called document liveness). Live capture techniques confirm that the document is physically present and that the image captured during the identity proofing session is not a manipulated digital copy. For additional requirements to prevent the injection of modified media (i.e., digitally generated video or images of evidence), see Sec. 3.14.
CSPs SHALL assess the performance of employed optical capture and inspection technologies in conditions that are substantially similar to the operational environment and the types of evidence presented by the user base of the system. These tests SHALL account for all available identity evidence types that the CSPs allow to be validated using optical capture and inspection technology. If subscribers’ documents, personal information, or images are used as part of the testing, it SHALL be on a voluntary basis and with subscriber notification and consent.
CSPs SHOULD have their evidence validation technology periodically tested by independent entities (e.g., accredited laboratories or research institutions) for their performance characteristics.
CSPs SHALL make the results of their testing publicly available.

These requirements apply to technologies that capture and validate images of physical identity evidence. They do not apply to validation techniques that rely on PKI or other cryptographic technologies that are embedded in the evidence themselves.

The following requirements apply to CSPs that employ visual inspection of evidence by trained proofing agents or trusted referees for the purposes of determining document authenticity:

Proofing agents and trusted referees SHALL be trained and provided with the resources to visually inspect all forms of evidence supported by the CSP. This training SHALL include:
Authentic layouts and topography of evidence types
Physical security features (e.g., raised letters, holographic features, microprinting)
Techniques for assessing features (e.g., tools to be used, where tactile inspection is needed, manipulation required to view specific features)
Common indications of tampering (e.g., damage to the lamination, image modification)
Proofing agents and trusted referees SHALL be assessed regarding their ability to visually inspect evidence based on their training. Additionally, proofing agents and trusted referees SHALL be reassessed on an annual basis or whenever significant new threats to the evidence validation process are identified and remedially trained as needed.
Proofing agents and trusted referees SHALL be provided with specialized tools and equipment to support the visual inspection of evidence (e.g., magnifiers, ultraviolet lights, barcode readers) as appropriate for the identity evidence type.
Proofing agents and trusted referees who conduct visual inspections via remote means SHALL be provided with devices and internet connections that support sufficiently high-quality imagery to be able to effectively inspect presented evidence. In these instances, the visual validation SHOULD be supported by automated document validation technologies that provide additional confidence in the authenticity of the evidence (e.g., submitting and validating evidence in advance of an attended remote session).
CSPs SHALL document their training and assessment procedures for visual inspections of evidence and make them available to RPs upon request.

Due to the potential number and permutations of identity evidence, these guidelines do not attempt to provide a comprehensive list of security features. CSPs need to provide evidence validation training that is specific to the types of identity evidence they accept.

1. Panoramica

1.1 Riferimenti

1.2 Requisiti identificati

1.3 Regolamentazioni correlate

2. Requisiti identificati

Requisiti

3. Regolamentazioni correlate

Regolamentazioni
  • 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.