2.7 PIV Identity Proofing and Registration Requirements
All changes in this version
Title
PIV Identity Proofing and Registration Requirements
Control changed
Before · FIPS 201-2
Departments and agencies shall follow an identity proofing and registration process that meets the requirements defined below when issuing PIV Cards.
+ The organization shall adopt and use an identity proofing and registration process that is approved in accordance with [SP 800-79].
+ Biometrics shall be captured as specified in Sections 2.3 and 2.4.
+ The process shall begin by locating and referencing a completed and favorably adjudicated NACI (or equivalent or higher) or Tier 1 or higher federal background investigation record. In the absence of a record, the process shall ensure 1) the initiation of a Tier 1 or higher federal background investigation and 2) the completion of the National Agency Check (NAC) 7 of the background investigation. In cases where
7 The NAC is an automated record check. the NAC results are not received within 5 days of the NAC initiation, the FBI NCHC (fingerprint check) portion of the NAC shall be complete before PIV Card issuance.
+ The applicant shall appear in-person at least once before the issuance of a PIV Card.
+ During identity proofing, the applicant shall be required to provide two forms of identity source documents in original form. 8 The identity source documents shall be bound to that applicant and shall be neither expired nor cancelled. If the two identity source documents bear different names, evidence of a formal name change shall be provided. The primary identity source document shall be one of the following forms of identification:
− a U.S. Passport or a U.S. Passport Card;
− a Permanent Resident Card or an Alien Registration Receipt Card (Form I-551);
− a foreign passport;
− an Employment Authorization Document that contains a photograph (Form I-766);
− a Driver's license or an ID card issued by a state or possession of the United States provided it contains a photograph;
− a U.S. Military ID card;
− a U.S. Military dependent's ID card; or
− a PIV Card.
The secondary identity source document may be from the list above, but cannot be of the same type as the primary identity source document. 9 The secondary identity source document may also be one of the following:
− a U.S. Social Security Card issued by the Social Security Administration;
− an original or certified copy of a birth certificate issued by a state, county, municipal authority, possession, or outlying possession of the United States bearing an official seal;
− an ID card issued by a federal, state, or local government agency or entity, provided it contains a photograph;
− a voter's registration card;
− a U.S. Coast Guard Merchant Mariner Card;
− a Certificate of U.S. Citizenship (Form N-560 or N-561);
− a Certificate of Naturalization (Form N-550 or N-570);
− a U.S. Citizen ID Card (Form I-197);
8 Departments and agencies may choose to accept only a subset of the identity source documents listed in this section. For example, in cases where identity proofing for PIV Card issuance is performed prior to verification of employment authorization, departments and agencies may choose to require the applicant to provide identity source documents that satisfy the requirements of Form I-9, Employment Eligibility Verification , in addition to the requirements specified in this section. It is recommended that departments and agencies perform electronic verification of identity source documents, where possible. 9 For example, if the primary source document is a foreign passport (e.g., Italy), the secondary source document should not be another foreign passport (e.g., France). − an Identification Card for Use of Resident Citizen in the United States (Form I-179);
− a Certification of Birth Abroad or Certification of Report of Birth issued by the Department of State (Form FS-545 or Form DS-1350);
− a Temporary Resident Card (Form I-688);
− an Employment Authorization Card (Form I-688A);
− a Reentry Permit (Form I-327);
− a Refugee Travel Document (Form I-571);
− an Employment authorization document issued by Department of Homeland Security (DHS);
− an Employment Authorization Document issued by DHS with photograph (Form I-688B);
− a driver's license issued by a Canadian government entity; or
− a Native American tribal document.
+ The PIV identity proofing, registration, issuance, and reissuance processes shall adhere to the principle of separation of duties to ensure that no single individual has the capability to issue a PIV Card without the cooperation of another authorized person.
The identity proofing and registration process used when verifying the identity of the applicant shall be accredited by the department or agency as satisfying the requirements above and approved in writing by the head or deputy secretary (or equivalent) of the Federal department or agency.
The requirements for identity proofing and registration also apply to citizens of foreign countries who are working for the Federal government overseas. However, a process for identity proofing and registration must be established using a method approved by the U.S. Department of State’s Bureau of Diplomatic Security, except for employees under the command of a U.S. area military commander. These procedures may vary depending on the country.
After · FIPS 201-3
Identity proofing and registration requirements for the issuance of PIV Cards meet Identity Assurance Level (IAL) 3 since they follow a tailored process based on [SP 800-63A] IAL3 requirements. Departments and agencies shallSHALL follow an identity proofing and registration process that meets the requirements defined below when issuing PIV Cards.+ The organizationdepartment shallor agency SHALL adopt and use an identity proofing and registration process that is approved in accordance with [SP 800-79].+The Biometricsdepartment shallor agency SHALL follow investigative requirements as outlined in Section 2.2.
Biometric data SHALL be captured as specified in SectionsSection 2.3 and Section 2.4.+ The processapplicant shallSHALL beginappear byin locatingperson andat referencingleast once before the issuance of a completedPIV andCard, favorablyeither adjudicatedat NACIthe (orissuing equivalentfacility or higher)at ora Tiersupervised 1remote oridentity higherproofing federalstation background(as investigationdescribed recordin Section 2.7.1).
During Inidentity proofing, the absenceapplicant SHALL be required to provide two original forms of aidentity record,source thedocuments. process7 shallThese documents SHALL be validated to ensure 1)that thethey initiationare ofgenuine aand Tierauthentic, 1not counterfeit, fake, or higherforgeries. federalValidation backgroundof investigationphysical andsecurity 2)features theSHALL completionbe ofperformed theby Nationaltrained Agencystaff. CheckWhen (NAC)they 7are ofavailable, thecryptographic backgroundsecurity investigation.features InSHOULD casesbe whereused to validate evidence. 8 The
7NACidentity issource andocuments automatedSHALL recordrelate check.to the NACapplicant. resultsThe areidentity notsource receiveddocuments withinSHALL 5NOT daysbe ofexpired theor NACcancelled. initiation,If the FBItwo NCHCidentity (fingerprintsource check)documents portionbear ofdifferent thenames, NACevidence shallof bea completeformal beforename PIVchange CardSHALL issuance.be
+Theprovided. applicantAt shallleast appearone in-personidentity atsource leastdocument onceSHALL beforemeet the issuancerequirements of aStrong PIVevidence Card.as
+Duringspecified identityin proofing,[SP 800-63A] and be one of the applicantfollowing shallforms beof requiredidentification:
7 Departments and agencies may choose to provideaccept twoonly formsa subset of the identity source documents listed in originalthis formsection. 8For Theexample, in cases where identity sourceproofing documentsfor shallPIV beCard boundissuance is performed prior to thatverification applicantof andemployment shallauthorization, bedepartments neitherand expiredagencies normay cancelled.choose Ifto require the twoapplicant to provide identity source documents bearthat differentsatisfy names,the evidencerequirements of aForm formalI-9, nameEmployment changeEligibility shallVerification be, providedin addition to the requirements specified in this section. The8 primaryFor example, digital identity sourceevidence documentsigned shallby the issuing authority can be onecryptographically ofverified the(e.g., followingMRZ formssignature ofvalidation identification:of
−apassports).
• U.S. Passport or a U.S. Passport Card;
−
• adriver’s license or ID card that is compliant with [REAL-ID] requirements described in this section
• Permanent Resident Card or an Alien Registration Receipt Card (Form I-551);
− a
• foreign passport;
− an
• Employment Authorization Document that contains a photograph (Form I-766);
− a Driver's license or an ID card issued by a state or possession of the United States provided it contains a photograph;
− a
• U.S. Military ID card;
− a
• U.S. Military dependent'sdependent’s ID card; or
− a
• PIV Card.
The secondarysecond identitypiece sourceof documentevidence mayMAY be from the list above, but cannotit SHALL NOT be of the same type as the primary identity source document. 9 The secondarysecond identity source document mayMAY also be one of the following:− a U.S. Social Security Card issued by the Social Security Administration;• ID card issued by a federal, state, or local government agency or entity, provided that it contains a photograph
− an original or certified copy of a birth certificate issued by a state, county, municipal authority, possession, or outlying possession of the United States bearing an official seal;
− an;
− a
• voter'svoter’s registration card;
− a
• U.S. Coast Guard Merchant Mariner Card;
− a
• Certificate of U.S. Citizenship (Form N-560 or N-561);
− a
• Certificate of Naturalization (Form N-550 or N-570);
− a
• U.S. Citizen ID Card (Form I-197);
8
• DepartmentsIdentification andCard agenciesfor mayUse chooseof toResident acceptCitizen onlyin athe subsetUnited States (Form I-179)
• Certification of theBirth identityAbroad sourceor documentsCertification listedof inReport thisof section.Birth Forissued example,by inthe casesDepartment whereof identityState proofing(Form forFS-545 PIVor CardForm issuanceDS-1350)
• isReentry performedPermit prior(Form toI-327)
• verificationEmployment authorization document issued by the Department of employmentHomeland authorization,Security departments(DHS)
• anddriver’s agencieslicense mayissued chooseby toa requireCanadian thegovernment applicantentity
• toNative provideAmerican identitytribal sourcedocument
• documentsU.S. thatSocial satisfySecurity Card issued by the requirementsSocial Security Administration
• original or certified copy of Forma I-9birth certificate issued by a state, Employmentcounty, Eligibilitymunicipal Verificationauthority, possession, inor additionoutlying topossession theof requirementsthe specifiedUnited inStates thisbearing section.an Itofficial isseal
• recommendedanother thatpiece departmentsof andevidence agenciesthat performmeets electronicthe verificationrequirements of identityFair sourceevidence documents,specified wherein possible.[SP 800-63A]
9 For example, if the primaryfirst source document is a foreign passport (e.g., Italy), the secondarysecond source document should notcannot be another foreign passport (e.g., France). −Note: anOne Identificationpiece Cardof forStrong Useevidence ofand Residentone Citizenother inpiece theof Unitedevidence Statesmeeting (Formthe I-179);requirements
−aof CertificationFair ofevidence Birthin Abroad[SP or800-63A] Certificationare ofconsidered Reportsufficient for issuance of Birtha issuedPIV byCard because the Departmentrequirement offor Statea (Formfederal FS-545background orinvestigation Formis DS-1350);considered a
−Temporary Residentcompensating Cardcontrol (Formfor I-688);identity
−anproofing Employmentat AuthorizationIAL3. CardSimilarly, (Formthe I-688A);federal
−abackground Reentryinvestigation Permitrequirement (Formis I-327);considered a
−Refugeecompensating Travelcontrol Documentfor (Formthe I-571);SP
−an800-63A Employmentrequirement authorizationto documentvalidate issuedevidence by Departmentcomparison of Homelanddetails Securitywith (DHS);the issuing or authoritative sources.−Departments anand Employmentagencies AuthorizationSHALL Documentensure issuedthat driver’s licenses and ID cards presented by DHSapplicants comply with photograph[REAL-ID] (Formwhen I-688B);required
−apursuant driver'sto licenseDHS regulations. State- issued bydriver’s alicenses Canadianand governmentID entity;cards orthat
−aare Nativenot American[REAL-ID] tribalcompliant documentMAY be used until the full enforcement date under [6 CFR § 37.5].+ The PIV identity proofing, registration, issuance, and reissuance processes shallSHALL adhere to the principle of separation of duties to ensure that no single individual has the capability to issue a PIV Card without the cooperation of another authorized person.
The identity proofing and registration process used when verifying the identity of the applicant shallSHALL be accredited by the department or agency as satisfying the requirements above and approved in writing by the head or deputy secretary (or equivalent) of the Federalfederal department or agency.
The requirements for identity proofing and registration also apply to citizens of foreign countries who are working for the U.S. Federal governmentGovernment overseas. However, a process for identity proofing and registration mustSHALL be established using a method approved by the U.S. Department of State’s Bureau of Diplomatic Security, except for employees under the command of a U.S. area military commander. These procedures may vary depending on the country.