2.1 Control Objectives
All changes in this version
Title
Control Objectives
Control changed
Before · FIPS 201-2
[HSPD-12] established control objectives for secure and reliable identification of Federal employees and contractors. These control objectives, provided in paragraph 3 of the directive, are quoted here:
(3) "Secure and reliable forms of identification" for purposes of this directive means identification that (a) is issued based on sound criteria for verifying an individual employee's identity; (b) is strongly resistant to identity fraud, tampering, counterfeiting, and terrorist exploitation; (c) can be rapidly authenticated electronically; and (d) is issued only by providers whose reliability has been established by an official accreditation process.
Each agency’s PIV implementation shall meet the four control objectives (a) through (d) listed above such that—
+ Credentials are issued 1) to individuals whose identity has been verified and 2) after a proper authority has authorized issuance of the credential.
+ A credential is issued only after National Agency Check with Written Inquiries (NACI) (or equivalent or higher) or Tier 1 or higher federal background investigation is initiated 3 and the Federal Bureau of Investigation (FBI) National Criminal History Check (NCHC) portion of the background investigation is completed.
+ An individual is issued a credential only after presenting two identity source documents, at least one of which is a Federal or State government issued picture ID.
+ Fraudulent identity source documents are not accepted as genuine and unaltered.
+ A person suspected or known to the government as being a terrorist is not issued a credential.
+ No substitution occurs in the identity proofing process. More specifically, the individual who appears for identity proofing, and whose fingerprints are checked against databases, is the person to whom the credential is issued.
+ No credential is issued unless requested by proper authority.
+ A credential remains serviceable only up to its expiration date. More precisely, a revocation process exists such that expired or invalidated credentials are swiftly revoked.
+ A single corrupt official in the process may not issue a credential with an incorrect identity or to a person not entitled to the credential.
+ An issued credential is not duplicated or forged, and is not modified by an unauthorized entity.
3 The initiation of a background investigation is defined as the submission of the investigative request to the Office of Personnel Management (OPM), or other Federal background investigation service provider (if authorized).
After · FIPS 201-3
[HSPD-12] establishedestablishes control objectives for secure and reliable identification of Federalfederal employees and contractors. These control objectives, provided in paragraph 3 of the directive, are quoted here:
(3) "“Secure and reliable forms of identification"” for purposes of this directive means identification that (a) is issued based on sound criteria for verifying an individual employee'semployee’s identity; (b) is strongly resistant to identity fraud, tampering, counterfeiting, and terrorist exploitation; (c) can be rapidly authenticated electronically; and (d) is issued only by providers whose reliability has been established by an official accreditation process.
Each agency’s PIV implementation shallSHALL meet the four control objectives (a) through (d) listed above suchincluding, that—but
+Credentialsnot arelimited issuedto, 1)processes tothat individualsensure whosethat
• identityA hascredential beenis verifiedissued andto 2)an individual only after a proper authority has authorized issuance of the credential, the individual’s identity has been verified, and the individual has been vetted per Section 2.
+
• A credential is issued only after Nationalan Agencyindividual’s Checkeligibility withhas Writtenbeen Inquiriesfavorably adjudicated based on the prerequisite federal investigation (NACISee Section 2.2). (orIf equivalentthere oris higher)no orinvestigation Tiermeeting 1the orinvestigative higherstandards, federalthe backgroundPIV investigationcredential iseligibility initiatedmay 3be approved upon favorable initiation of the prerequisite investigation 2 and once the Federal Bureau of Investigation (FBI) National Criminal History Check (NCHC) portion of the background investigation is completed and favorably adjudicated.
+
• An individual is issued a credential only after presenting two identity source documents, at least one of which is a Federal or State government issuedGovernment-issued picture ID.
+
• Fraudulent identity source documents are not accepted as genuine andor unaltered.
+
• A person suspected or known to the government as being a terrorist is not issued a credential.
+
• No substitution occurs in the identity proofing process. More specifically, the individual who appears for identity proofing, and whose fingerprints are checked against databases, is the person to whom the credential is issued.
+
• No credential is issued unless requested by the proper authority.
+
• A credential remains serviceable only up to its expiration date.
• MoreA preciselyprocess exists to invalidate, arevoke, revocationor processdestroy existscredentials suchwhen thatthe expiredcardholder loses eligibility or invalidatedwhen credentialsthe arecredential swiftlyis revokedlost, stolen, or compromised.
+
• A single corrupt official in the process may notcannot issue a credential with an incorrect identity or to a person not entitled to the credential.
+
• An issued credential is not duplicated or forged,.
• andAn issued credential is not modified by an unauthorized entity.
3 The initiation of a background investigation is defined as the submission of the investigative request to the Office of Personnel Management (OPM), or other Federal background investigation service provider (if authorized).