+2.1 Identity Proofing and Enrollment
---+2.1.1 Process Flow
---+2.1.2 Identity Proofing Roles
---+2.1.3 Identity Proofing Types
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2.1 Identity Proofing and Enrollment
The intent of identity proofing is to ensure that the applicant involved in the identity proofing process is who they claim to be to a stated level of confidence. This document presents a three-step process for CSPs to identity-proof applicants at designated assurance levels. The first step is identity resolution, which consists of collecting appropriate identity evidence and attribute information to determine whether the applicant is a unique identity in the population served by the CSP and a real-life person. The second step is identity validation, which confirms the authenticity, accuracy, and validity of the evidence and attribute information collected in the first step. The third step is identity verification, which confirms that the applicant presenting the identity evidence is the same individual to whom the evidence was issued. In most cases, upon successfully identity proofing an applicant to the designated IAL, the CSP establishes a unique subscriber account for the applicant (now a subscriber in the identity service), which allows one or more authenticators to be bound to the proven identity in the account. Identity proofing can be part of an organization’s business processes to determine the suitability or entitlement to a benefit or service, though such determinations are outside of the scope of these guidelines.
1. Ħarsa ġenerali
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2.1.1 Process Flow
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This subsection is informative. Figure 1 provides an illustrative example of the three-step identity proofing process. Fig. 1. Identity proofing process 
The following steps present a common workflow example of remote unattended identity proofing and are not intended to represent a normative processing workflow model.
Resolution
The CSP collects one or two pieces of identity evidence of appropriate strength.
The CSP collects any additional core attributes, as needed, from the applicant to supplement those contained in the presented identity evidence.
Validation
The CSP confirms that the presented evidence is authentic, accurate, and valid.
The CSP validates the attributes obtained in step 1 by checking them against authoritative or credible validation sources, as described in Sec. 2.4.2.4.
Verification
The CSP employs an approved identity verification process to confirm that the applicant is the genuine owner of the presented identity evidence.
Enrollment
Upon the successful completion of the three identity proofing steps, a notification of proofing is sent to a validated address, and the applicant can be enrolled into a subscriber account with the CSP, as described in Sec. 5. A subscriber account includes at least one validated address (e.g., phone number, mailing address) that can be used to communicate with the subscriber about their account. Additionally, one or more authenticators are bound to the proven identity in the subscriber account.
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2.1.2 Identity Proofing Roles
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Different individuals can play different roles within the proofing process. To support the consistent implementation of these guidelines, the following identity proofing roles are defined:
Proofing agent: An agent of the CSP who is vetted and trained to attend on-site or remote identity proofing sessions and make limited, risk-based decisions (e.g., visually inspecting identity evidence and determining it has not been altered). See Sec. 3.13 for minimum training requirements for proofing agents.
Trusted referee: An agent of the CSP, a third-party service, or a relying party (RP) who is vetted and trained to make risk-based decisions regarding an applicant’s identity proofing case when that applicant is unable to meet the expected requirements of a defined IAL proofing process. Requirements for trusted referees are contained in Sec. 3.15.1. In contrast to proofing agents, trusted referees receive additional training and resources to support exception handling scenarios, including when applicants do not possess the required identity evidence or the attributes on the evidence do not all match the claimed identity (e.g., due to a recent name or address change).
Applicant reference: A representative of the applicant who can vouch for the identity of the applicant, specific attributes related to the applicant, or conditions relative to the context of the individual (e.g., emergency status, homelessness). An applicant reference does not act on behalf of the applicant in the identity proofing process but can support claims of identity. Requirements for applicant references are contained in Sec. 3.15.3.
Process assistant: An individual who provides support services (e.g., translation, transcription, or accessibility support) to assist the applicant in the identity proofing process but does not support decision-making or risk-based evaluation. Since the process assistant is not involved in decision-making there are no requirements in these guidelines for this role.
CSPs SHALL identify which of the above roles are applicable to their identity service and SHALL provide training and support resources consistent with the requirements and expectations provided in Sec. 3.
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2.1.3 Identity Proofing Types
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For the purposes of this document, identity proofing types are defined by the combination of technologies, communication channels, and identity proofing roles employed by a CSP. Identity proofing types are characterized based on two factors: where the identity proofing takes place and whether the process is attended by an agent of the CSP.
Remote unattended identity proofing: Identity proofing conducted where the resolution, validation, and verification processes are completely automated, and interaction with a proofing agent or trusted referee is not required. The location and devices used in the proofing process are not controlled by the CSP.
Remote attended identity proofing: Identity proofing conducted where the applicant completes resolution, validation, and verification steps through a secure video session with a proofing agent or trusted referee. The location and devices used in the proofing process are not controlled by the CSP.
On-site unattended identity proofing: Identity proofing conducted where an individual interacts with a controlled workstation or kiosk, but interaction with a proofing agent or trusted referee is not required. The process is fully automated but at a physical location and on devices controlled by the CSP.
On-site attended identity proofing: Identity proofing conducted in a physical setting where the applicant completes the entire identity proofing process (i.e., resolution, validation, and verification) in the presence of a proofing agent or trusted referee. The proofing agent or trusted referee can be co-located with the user or interact with the user via a kiosk or device. The physical location and devices are controlled by the CSP.
The requirements at each assurance level are structured to allow CSPs to implement different combinations of identity proofing types to meet the requirements of different assurance levels, as appropriate. CSPs SHOULD offer the combination of identity proofing types that best addresses the needs of the populations served by their identity service and the risk posture of the RPs that use their service.
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1.1 Referenzi
1.2 Rekwiżiti identifikati
1.3 Regolamenti relatati
2. Rekwiżiti identifikati
3. Regolamenti relatati
Regolamenti
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Regolamentazzjoni |
- 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.
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