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ITL Bulletin for January 2006




ITL Bulletin for January 2006
ITL Bulletin for January 2006



Forwarded from: Elizabeth Lennon  

TESTING AND VALIDATION OF PERSONAL IDENTITY 
VERIFICATION (PIV) COMPONENTS AND SUBSYSTEMS FOR 
CONFORMANCE TO FEDERAL INFORMATION PROCESSING STANDARD 201

Shirley Radack, Editor
Computer Security Division
Information Technology Laboratory
National Institute of Standards and Technology
Technology Administration
U.S. Department of Commerce

The National Institute of Standards and Technology (NIST), Information
Technology Laboratory, has set up a new program to test and validate
personal identity verification (PIV)  components and subsystems for
conformance to Federal Information Processing Standard (FIPS)  201,
Personal Identification Verification (PIV)  of Federal Employees and
Contractors. Approved by the Secretary of Commerce in February 2005,
FIPS 201 applies to the identification cards that are issued by
federal government departments and agencies to their employees and
contractors who require access to federal facilities and information
systems. PIV cards incorporate an individual's identity credentials on
smart cards.  PIV components and subsystems use the electronically
stored data on the cards to carry out automated identity verification
of the individual.

The program for testing and validating PIV components and subsystems
for conformance to FIPS 201 is managed by the NIST PIV Program
(NPIVP), and testing organizations will be accredited by NIST=92s
National Voluntary Laboratory Accreditation Program (NVLAP), which
provides third-party accreditation to testing and calibration
laboratories. NVLAP accredits public and private sector laboratories,
including commercial, manufacturers' in-house, university, and
federal, state and local government laboratories, based on evaluation
of their technical qualifications and their competence to carry out
specific calibrations or tests.

FIPS 201 Requirements

Homeland Security Presidential Directive (HSPD) 12, Policy for a
Common Identification Standard for Federal Employees and Contractors,
established the requirement for a common standard for identification
credentials. Issued in August 2004, HSPD 12 directed NIST to develop a
mandatory standard for secure and reliable forms of identification for
use throughout the federal government. Secure forms of identification
are needed to enhance security, increase government efficiency, reduce
identity fraud, and protect personal privacy. In developing the
standard, NIST worked with private industry and with other federal
agencies, including the Office of Management and Budget, the Office of
Science and Technology Policy, and the Departments of Defense, State,
Justice, and Homeland Security.

FIPS 201 specifies the technical and operational requirements for
interoperable PIV systems that issue smart cards as identification
credentials and that use the cards to authenticate an individual's
identity. FIPS 201 was issued in two parts to assist agencies in
planning for a smooth migration to secure, reliable personal
identification processes. The first part of FIPS 201 (PIV I) describes
the minimum requirements needed to meet the control and security
objectives of HSPD 12, including the process to prove an individual's
identity. Agencies may issue credentials only to applicants whose
identities have been established and who have had a background
investigation. Federal departments and agencies were required to
implement Part 1 in October 2005.

The second part of the standard (PIV II) provides the detailed
technical specifications to support the control and security
objectives of Part 1, as well as the requirements for the
interoperability of PIV cards and systems. Part 2 specifies the
policies and minimum requirements for PIV cards, which will allow for
the interoperability of PIV cards when used for physical access to
facilities and for logical access to information systems.  Part 2 also
describes the processes for collecting, storing, and maintaining the
information and the documentation needed to authenticate and assure an
individual's identity.

Federal organizations that are currently using different electronic
credential systems will have additional time to phase in their
changeover to interoperable systems based on the Part 2
specifications. The Office of Management and Budget (OMB) in its
August 5, 2005, Memorandum M-05-24 provides instructions to federal
organizations for implementing HSPD 12 and FIPS 201. Federal
organizations are required to begin implementation of Part 2 by
October 27, 2006.  Details on these requirements are available at the
OMB website: www.whitehouse.gov/omb/memoranda/fy2005/m05-24.pdf. 

When FIPS 201 is fully implemented, it will be possible for a card
issued by one agency to be electronically recognized by any other
agency, thus enabling a decision to be made about whether to grant the
cardholder access to facilities and information systems.

The Validation Program

The use of products that have been tested by independent laboratories
and validated for conformance to established standards promotes
security and confidence in the products.  Initially, the NIST Personal
Identity Verification Program (NPIVP) will test and validate the FIPS
201 interface of PIV card applications and PIV middleware for correct
implementation of the technical requirements detailed in NIST Special
Publication (SP) 800-73, Interfaces for Personal Identity
Verification, one of the specifications referenced by FIPS 201.  The
PIV Middleware and PIV Card Application test suites have been modeled
according to NIST SP 800-85, PIV Middleware and PIV Card Application
Conformance Test Guidelines (SP800-73 compliance).

All of the testing under the NPIVP will be handled by the third-party
test facilities. The test facilities, which are listed below, have
been designated as interim NPIVP Test Facilities for FIPS 201
components and subsystems. When these NPIVP laboratories have been
assessed for NPIVP testing and accredited by NVLAP, the "Interim"
designation will be removed.

Interim NPIVP Laboratories

Atlan Laboratories, McLean, Virginia
atsec information security company, Austin, Texas
BKP Security Laboratories, Santa Clara, California
BT Cryptographic Module Testing Laboratory, Fleet, Hampshire, UK
CEAL:  a CygnaCom Solutions Laboratory, McLean, Virginia
COACT Inc. CAF=C9 Laboratory, Columbia, Maryland
DOMUS IT Security Laboratory, Ottawa, Canada
EWA - Canada IT Evaluation and Test Facility, Ottawa, Canada
ICSA Labs, a division of Cybertrust, Inc., 
Mechanicsburg, Pennsylvania
InfoGuard Laboratories, Inc., San Luis Obispo, California
LogicaCMG FIPS Laboratory, Leatherhead, Surrey, UK

These interim laboratories for testing FIPS 201 components and
subsystems are also accredited to perform conformance testing for FIPS
140-1 and 140-2, Security Requirements for Cryptographic Modules. NIST
and the Communications Security Establishment (CSE) of the government
of Canada jointly administer the Cryptographic Module Validation
Program (CMVP), which has issued more than 620 validation certificates
representing more than 1,000 modules. All cryptographic modules used
in PIV systems, both on the card and in issuer software, must be
validated to FIPS 140-2 under the CMVP.

NIST plans to develop additional testing and validation programs under
the NPIVP in the future.

FIPS 201 Specifications

FIPS 201 incorporates three technical publications specifying several
aspects of the required administrative procedures and technical
specifications.

- NIST Special Publication (SP) 800-73, Interfaces for Personal
Identity Verification, by James F. Dray, Scott B. Guthery, and Teresa
Schwarzhoff, specifies the interface requirements for retrieving and
using the identity credentials from the PIV card. NIST SP 800-73
provides the PIV data elements, identifiers, structure, and format,
and describes the Application Programming Interface (API) and the card
interface requirements that will enable PIV identity credentials to be
used interchangeably throughout federal agencies. NIST SP 800-73
includes two specifications to help agencies make the transition to
conformance with FIPS 201: a transitional card specification that is
derived from the Government Smart Card Interoperability Specification
and that agencies already invested in smart card implementations might
want to consider using; and a Part 2 card specification for agencies
choosing to move directly to the Part 2 architecture. A reference
implementation for NIST SP 800-73 is available at the NPIVP web page
listed in the More Information section below.

- NIST Draft SP 800-76, Biometric Data Specification for Personal
Identity Verification, by Charles Wilson, Patrick Grother, and
Ramaswamy Chandramouli, specifies the technical acquisition and
formatting requirements for biometric data used by the PIV system. To
assist agencies in implementing FIPS 201, the specification selects
options from published biometric standards to facilitate
interoperability and ensure performance of PIV systems. Included are
specifications for the fingerprints used in the PIV systems, optional
specifications for facial images, the format for all PIV biometric
data representation, and the requirements for biometric devices. NIST
expects to issue the final version of NIST SP 800-76 in early 2006.

- NIST SP 800-78, Cryptographic Algorithms and Key Sizes for Personal
Identity Verification, by W. Timothy Polk, Donna F. Dodson, and
William E.  Burr, specifies the acceptable cryptographic algorithms
and key sizes to be implemented in the PIV system.  The publication
covers the infrastructure components for issuance and management of
the PIV card, and the applications for security services that rely on
the credentials supported by the PIV card. NIST SP 800-78 identifies
acceptable symmetric and asymmetric encryption algorithms, digital
signature algorithms, and message digest algorithms, and details the
mechanisms to identify the algorithms associated with PIV keys or
digital signatures. Algorithms and key sizes were selected to be
consistent with federal standards and ensure adequate cryptographic
strength for PIV applications.

Other NIST Special Publications also support the implementation of
FIPS 201 and the testing and validation program.

- NIST SP 800-21-1 is the second edition of the Guideline for
Implementing Cryptography in the Federal Government, which was issued
in November 1999. Written by Elaine B. Barker, William C.  Barker, and
Annabelle Lee, the revision updates and replaces the 1999 version of
the guideline, and provides new tools and techniques for using
cryptography to protect data that is sensitive, has a high value, or
is vulnerable to unauthorized disclosure or undetected modification
during transmission or while in storage. NIST SP 800-21-1 provides
guidance on Federal Information Processing Standards and NIST Special
Publications that have been issued, or amended, since 1999, and on
cryptographic modules and algorithms that are validated for
conformance to standards. The guideline assists federal organizations
in selecting cryptographic controls and in implementing the controls
on new or existing systems.

- NIST SP 800-79, Guidelines for the Certification and Accreditation
of PIV Card Issuing Organizations, by Dennis Branstad, Alicia Clay,
and Joan Hash, assists federal agencies in assessing the reliability
of organizations that provide PIV card issuing (PCI) services. HSPD 12
requires that all identity cards be issued by providers whose
reliability has been established by an official accreditation process.
Agencies must have accurate, reliable, and trustworthy information
about their PCI in order to make appropriate decisions about whether
to authorize its operation. Certification is the formal process for
assessing that the PCI is reliable and capable of enrolling approved
applicants and of issuing PIV cards. Accreditation is the official
management decision to authorize the operation of a PCI after a
thorough certification process has been conducted.

- NIST SP 800-85, PIV Middleware and PIV Card Application Conformance
Test Guidelines (SP800-73 compliance), by Ramaswamy Chandramouli,
Levent Eyuboglu, and Ketan Mehta, specifies the test plan, processes,
derived test requirements, and the detailed test assertions and
conformance tests needed for testing PIV middleware and the PIV card
application for conformance with the specifications detailed in NIST
SP 800-73. NIST SP 800-85 supports developers of PIV middleware and
PIV card applications in the development and testing of their software
modules, and it assists testing laboratories in developing appropriate
test suites for the interface requirements in NIST SP 800-73. The
guidelines for conformance testing help to advance the availability of
validated, interoperable PIV products and the acquisition of these
products by federal organizations.

- NIST SP 800-87, Codes for the Identification of Federal and
Federally Assisted Organizations, by William C. Barker and Hildegard
Ferraiolo, provides four-character identifying codes for federal
organizations. These codes are used in the implementation of FIPS 201
to establish the Federal Agency Smart Card Credential Number (FASC-N),
which is part of the Card Holder Unique Identifier (CHUID).

- NIST Interagency Report (NISTIR) 7284, Personal Identity
Verification Card Management Report, by Jim Dray and David Corcoran,
presents an overview of card management systems, and identifies
generic card management requirements.  Card management refers to the
preparation of a smart card before it is issued, and the
administrative functions that are related to the use of the card. The
report provides some technical approaches to filling the existing gaps
in PIV card management in order to achieve a higher level of
consistency and testability for PIV card issuance processes, enhance
an organization's ability to outsource various card management
components and functions, and thereby improve the overall security for
the Federal PIV framework.

Future Technical Support

As FIPS 201 is implemented and used, the procedures and technical
specifications will be reviewed regularly and may be updated when
necessary. NIST has identified additional guidelines, reference
implementations, and conformance tests that will be needed to
implement and use the PIV system; to protect the personal privacy of
individuals using the PIV system; to authenticate identity source
documents and obtain the correct legal name of the person applying for
a PIV card; to obtain electronically and store required biometric
data, such as fingerprints and facial images, from the PIV system
applicant; to create a PIV card that is personalized with the data
needed by the PIV system to later grant the individual access to
federal facilities and information systems; to assure appropriate
levels of security for federal applications; and to provide for
interoperability among federal organizations using the standards.  
NIST will pursue these projects to the extent that its resources
permit.

PIV Demonstration

In November 2005, NIST announced the Personal Identity Verification
(PIV) Demonstration project and invited vendors with commercially
available products to participate in the project and to join in a
Cooperative Research and Development Agreement (CRADA) with NIST.
Products that vendors submit to be included in the demonstration must
be tested and validated in accordance with the NPIVP. The purpose of
the project is to provide proof-of-concept demonstrations of
commercially available products that support FIPS 201, Part 2.
Additionally, the demonstrations will show the interoperability of
NPIVP-certified PIV cards and PIV middleware. The demonstrations will
be available to all federal agencies interested in FIPS 201
implementations.  Information about these activities is available at
the demonstration website
http://csrc.nist.gov/piv-program/CRADA/index.html. 

More Information about NPIVP

Information about the NPIVP, interim laboratories, and validation
testing is available at http://csrc.nist.gov/npivp/. 

The NPIVP director is Ramaswamy Chandramouli (Mouli); telephone: (301)
975-5013; fax: (301)  948-0279. Requests for general information or
questions about the program may be sent by e-mail to the NPIVP Project
Team at npivp@nist.gov. 

FIPS 201 is available on the NIST website
http://csrc.nist.gov/publications/fips/index.html. 

NIST Special Publications are available on the NIST website
http://csrc.nist.gov/publications/nistpubs/index.html. 

NVLAP provides an unbiased third-party evaluation and recognition of
performance, as well as expert technical guidance to upgrade
laboratory performance. NVLAP accreditation signifies that a
laboratory has demonstrated that it operates in accordance with NVLAP
management and technical requirements pertaining to quality systems;  
personnel; accommodation and environment; test and calibration
methods; equipment; measurement traceability; sampling; handling of
test and calibration items; and test and calibration reports.
Information about NVLAP is available at http://csrc.nist.gov/npivp/. 

Disclaimer
Any mention of commercial products or reference to commercial
organizations is for information only; it does not imply
recommendation or endorsement by NIST nor does it imply that the
products mentioned are necessarily the best available for the purpose.


Elizabeth B. Lennon
Writer/Editor
Information Technology Laboratory
National Institute of Standards and Technology
100 Bureau Drive, Stop 8900
Gaithersburg, MD 20899-8900
Telephone (301) 975-2832
Fax (301) 975-2378



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