3.3.3 Initial Assurance Level Selection

Before · SP 800-63-3

After · SP 800-63-4

Initial Assurance Level Selection

Before · SP 800-63-3

After · SP 800-63-4

Organizations SHALL develop and document a process and governance model for selecting initial assurance levels and controls based on the potential impacts of failures in the digital identity system. The following subsections provide guidance on the major elements to consider in the process for selecting initial assurance levels.

The overall impact level for each user group is used as the basis for selecting the initial assurance level and related technical and process controls for the online service under assessment based on the impacts of failures within the digital identity functions. The initial assurance levels and controls can be further assessed and tailored in the next step of the DIRM process.

Although the initial impact assessment (see Sec. 3.2 ) and the combined impact level determination for each user group (see Sec. 3.2.4 ) do not differentiate between identity proofing, authentication, and federation risks, the selected initial xALs may still be different. For example, the initial impact assessment may be low impact and indicate IAL1 and FAL1 but may also determine that personal information is accessible and therefore requires AAL2. Similarly, the impact assessment may determine that no proofing is required, resulting in no IAL regardless of the baselines for authentication and federation. Further changes may result from the tailoring process as discussed in Step 4: Tailoring.

The output of this step is a set of initial xALs that are applicable to the online service for each user group.