Electronic Government
Agencies Face Challenges in Implementing New Federal Employee Identification Standard Gao ID: GAO-06-178 February 1, 2006Many forms of identification (ID) that federal employees and contractors use to access government-controlled buildings and information systems can be easily forged, stolen, or altered to allow unauthorized access. In an effort to increase the quality and security of federal ID and credentialing practices, the President directed the establishment of a governmentwide standard--Federal Information Processing Standard (FIPS) 201--for secure and reliable forms of ID based on "smart cards" that use integrated circuit chips to store and process data with a variety of external systems across government. GAO was asked to determine (1) actions that selected federal agencies have taken to implement the new standard and (2) challenges that federal agencies are facing in implementing the standard.
The six agencies we reviewed--Defense, Interior, Homeland Security, Housing and Urban Development (HUD), Labor, and the National Aeronautics and Space Administration (NASA)--had each taken actions to begin implementing the FIPS 201 standard. Their primary focus has been on actions to address the first part of the standard, which calls for establishing appropriate identity proofing and card issuance policies and procedures and which the Office of Management and Budget (OMB) required agencies to implement by October 27, 2005. Agencies had completed a variety of actions, such as instituting policies to require that at least a successful fingerprint check be completed prior to issuing a credential. Regarding other requirements, however, efforts were still under way. For example, Defense and NASA reported that they were still modifying their background check policies. Based on OMB guidance, agencies have until October 27, 2006, to implement the second part of the standard, which requires them to implement interoperable smart-card based ID systems. Agencies have begun to take actions to address this part of the standard. For example, Defense and Interior conducted assessments of technological gaps between their existing systems and the infrastructure required by FIPS 201 but had not yet developed specific designs for card systems that meet FIPS 201 interoperability requirements. The federal government faces significant challenges in implementing FIPS 201, including (1) testing and acquiring compliant commercial products--such as smart cards and card readers--within required time frames; (2) reconciling divergent implementation specifications; (3) assessing the risks associated with specific vendor implementations of the recently chosen biometric standard; (4) incomplete guidance regarding the applicability of FIPS 201 to facilities, people, and information systems; and (5) planning and budgeting with uncertain knowledge and the potential for substantial cost increases. Until these implementation challenges are addressed, the benefits of FIPS 201 may not be fully realized. Specifically, agencies may not be able to meet implementation deadlines established by OMB, and more importantly, true interoperability among federal government agencies' smart card programs--one of the major goals of FIPS 201--may not be achieved.
RecommendationsOur recommendations from this work are listed below with a Contact for more information. Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.
Director: Team: Phone:GAO-06-178, Electronic Government: Agencies Face Challenges in Implementing New Federal Employee Identification Standard
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Report to the Chairman, Committee on Government Reform, House of
Representatives:
February 2006:
Electronic Government:
Agencies Face Challenges in Implementing New Federal Employee
Identification Standard:
GAO-06-178:
GAO Highlights:
Highlights of GAO-06-178, a report to the Chairman, Committee on
Government Reform, House of Representatives:
Why GAO Did This Study:
Many forms of identification (ID) that federal employees and
contractors use to access government-controlled buildings and
information systems can be easily forged, stolen, or altered to allow
unauthorized access. In an effort to increase the quality and security
of federal ID and credentialing practices, the President directed the
establishment of a governmentwide standard”Federal Information
Processing Standard (FIPS) 201”for secure and reliable forms of ID
based on ’smart cards“ that use integrated circuit chips to store and
process data with a variety of external systems across government. GAO
was asked to determine (1) actions that selected federal agencies have
taken to implement the new standard and (2) challenges that federal
agencies are facing in implementing the standard.
What GAO Found:
The six agencies we reviewed”Defense, Interior, Homeland Security,
Housing and Urban Development (HUD), Labor, and the National
Aeronautics and Space Administration (NASA)”had each taken actions to
begin implementing the FIPS 201 standard. Their primary focus has been
on actions to address the first part of the standard, which calls for
establishing appropriate identity proofing and card issuance policies
and procedures and which the Office of Management and Budget (OMB)
required agencies to implement by October 27, 2005. Agencies had
completed a variety of actions, such as instituting policies to require
that at least a successful fingerprint check be completed prior to
issuing a credential. Regarding other requirements, however, efforts
were still under way. For example, Defense and NASA reported that they
were still modifying their background check policies. Based on OMB
guidance, agencies have until October 27, 2006, to implement the second
part of the standard, which requires them to implement interoperable
smart-card based ID systems. Agencies have begun to take actions to
address this part of the standard. For example, Defense and Interior
conducted assessments of technological gaps between their existing
systems and the infrastructure required by FIPS 201 but had not yet
developed specific designs for card systems that meet FIPS 201
interoperability requirements.
The federal government faces significant challenges in implementing
FIPS 201, including (1) testing and acquiring compliant commercial
products”such as smart cards and card readers”within required time
frames; (2) reconciling divergent implementation specifications; (3)
assessing the risks associated with specific vendor implementations of
the recently chosen biometric standard; (4) incomplete guidance
regarding the applicability of FIPS 201 to facilities, people, and
information systems; and (5) planning and budgeting with uncertain
knowledge and the potential for substantial cost increases. Until these
implementation challenges are addressed, the benefits of FIPS 201 may
not be fully realized. Specifically, agencies may not be able to meet
implementation deadlines established by OMB, and more importantly, true
interoperability among federal government agencies‘ smart card
programs”one of the major goals of FIPS 201”may not be achieved.
Time Line of FIPS 201-Related Activities:
[See PDF for image]
[End of figure]
What GAO Recommends:
GAO recommends that the Director, OMB monitor FIPS 201 implementation
progress by, for example, (1) establishing an agency reporting process
to fulfill its role of ensuring FIPS 201 compliance and (2) amending or
supplementing guidance to provide more complete direction to agencies
on how to address implementation challenges. With the exception of OMB,
which disagreed with GAO‘s second recommendation, agency officials
generally agreed with the content of this report.
www.gao.gov/cgi-bin/getrpt?GAO-06-178.
To view the full product, including the scope and methodology, click on
the link above. For more information, contact Linda Koontz at (202) 512-
6249 or koontzl@gao.gov.
[End of section]
Contents:
Letter:
Results in Brief:
Background:
Agencies Have Taken Actions to Begin Implementing FIPS 201:
The Federal Government Faces Challenges in Implementing FIPS 201:
Conclusions:
Recommendations:
Agency Comments and Our Evaluation:
Appendixes:
Appendix I: Objectives, Scope, and Methodology:
Appendix II: NIST Guidelines on Implementing FIPS 201:
Appendix III: Comments from the Office of Management and Budget:
Appendix IV: Comments from the General Services Administration:
Appendix V: Comments from the Department of Commerce:
Appendix VI: Contacts and Staff Acknowledgments:
Glossary:
Figures:
Figure 1: A Typical Smart Card:
Figure 2: Major Provisions of PIV-I:
Figure 3: Example of a FIPS 201 Card Showing Major Required Features:
Figure 4: Time Line of FIPS 201 Related Activities:
Figure 5: Common Fingerprint Feature:
Abbreviations:
BLM: Bureau of Land Management:
CAC: Common Access Card:
DHS: Department of Homeland Security:
FBI: Federal Bureau of Investigation:
FIPS: Federal Information Processing Standards:
GSA: General Services Administration:
GSC-IS: Government Smart Card Interoperability Specification:
HSPD-12: Homeland Security Presidential Directive 12:
HUD: Housing and Urban Development:
IAB: Smart Card Interagency Advisory Board:
ID: Identification:
NACI: National Agency Check with Written Inquiries:
NASA: National Aeronautics and Space Administration:
NIST: National Institute of Standards and Technology:
OMB: Office of Management and Budget:
OPM: Office of Personnel Management:
PIN: Personal Identification Number:
PIV: personal identity verification:
PKI: public key infrastructure:
Letter February 1, 2006:
The Honorable Tom Davis:
Chairman:
Committee on Government Reform:
House of Representatives:
Dear Mr. Chairman:
As you know, wide variations exist in the quality and security of forms
of identification (ID) used to gain access to federal facilities and
information systems. In an effort to increase the quality and security
of ID and credentialing practices across the federal government, the
President issued Homeland Security Presidential Directive 12 (HSPD-12)
in August 2004. This directive ordered the establishment of a
mandatory, governmentwide standard for secure and reliable forms of
identification for federal government employees and contractors that
access government-controlled facilities and information systems.
In February 2005, the National Institute of Standards and Technology
(NIST) issued the required standard, titled the Federal Information
Processing Standards (FIPS) Publication 201, Personal Identity
Verification (PIV) of Federal Employees and Contractors. Known as FIPS
201, the standard is divided into two parts. The first part, PIV-I,
sets out uniform requirements for identity proofing--verifying the
identity of individuals applying for official agency credentials--as
well as issuing credentials, maintaining related information, and
protecting the privacy of the applicants. The Office of Management and
Budget (OMB), which is responsible for ensuring compliance with the
standard, issued guidance requiring agencies to implement these
requirements, with the exception of the privacy requirements, by
October 27, 2005. The second part, PIV-II, specifies the technical
requirements for credentialing systems for federal employees and
contractors based on interoperable[Footnote 1] smart cards.[Footnote 2]
Agencies are required by OMB to begin issuing credentials that meet
these provisions by October 27, 2006. Subsequent publications from NIST
and the General Services Administration (GSA) provided supplemental
guidance on various aspects of FIPS 201, including an outline of two
alternate approaches that agencies may take to comply with the
standard, depending on their previous experience with smart cards.
Smart cards offer the potential to enhance security by significantly
improving the process of authenticating the identity of people
accessing federal buildings and computer systems, especially when these
cards are used in combination with other technologies, such as
biometrics.[Footnote 3]
This report responds to your request that we conduct a review of
agencies' progress in implementing systems that conform to the new
federal identity card standard, as directed by HSPD-12. Specifically,
our objectives were to determine (1) actions that selected federal
agencies have taken to implement systems, based on the new standard and
(2) challenges that federal agencies are facing in implementing such
systems.
To address these objectives, we selected six agencies with a range of
experience in implementing smart card-based identification systems--
the Departments of Defense, Interior, Homeland Security (DHS), Housing
and Urban Development (HUD), Labor, and the National Aeronautics and
Space Administration (NASA). To obtain information on the actions these
agencies have taken and plan to take to implement the standard, we
analyzed documentation such as agencies' implementation plans and
interviewed their officials. To identify challenges and barriers
associated with implementing the new federal ID standard, we obtained
and analyzed documentation and interviewed officials from these
agencies as well as from GSA, NIST, OMB and the Office of Personnel
Management (OPM). We performed our work at Defense, Interior, DHS, HUD,
Labor, NASA, NIST, OMB, OPM and GSA in the Washington, D.C.,
metropolitan area from April 2005 to December 2005, in accordance with
generally accepted government auditing standards. Further details of
our objectives, scope, and methodology are provided in appendix I.
Results in Brief:
The six agencies that we reviewed--Defense, Interior, DHS, HUD, Labor,
and NASA--have each taken actions to begin implementing the FIPS 201
standard. Their primary focus has been on actions to address the first
part of the standard, which calls for establishing appropriate identity
proofing and card issuance policies and procedures. For example, five
of the six agencies had instituted policies to require that at least a
successful fingerprint check be completed prior to issuing a
credential, and the sixth agency, Defense, was in the process of having
such a policy instituted. Regarding other requirements, however,
efforts were still under way. For example, Defense and NASA reported
that they were making modifications to their background check policies.
Four of the six agencies were still updating their policies and
procedures or gaining formal agency approval for them. Labor and HUD
officials had completed modifications of their policies and gained
approval for their PIV-I processes. Agencies have begun to take actions
to address the second part of the standard, which focuses on
interoperable smart card systems. Defense and Interior conducted
assessments of technological gaps between their existing systems and
the infrastructure required by FIPS 201, for example, but had not yet
developed specific designs for card systems that meet FIPS 201
interoperability requirements.
The federal government faces a number of challenges in implementing
FIPS 201, including the following:
* Testing and acquiring compliant smart cards, card readers, and other
related commercial products may not be completed within OMB-mandated
deadlines.
* Divergent agency implementations based on the two alternate
approaches outlined in NIST guidance may delay governmentwide smart
card interoperability.
* Agencies may face difficulties assessing the risks associated with
specific vendor implementations of the recently chosen biometric
standard.
* Incomplete guidance from OMB regarding the applicability of FIPS 201
to facilities, people, and information systems may make it difficult
for agencies to meet FIPS 201 identity proofing and registration
requirements consistently and economically. Existing guidance, for
example, does not address significant categories of individuals, such
as foreign nationals, who may need access to federal facilities and
systems.
* Planning and budgeting for FIPS 201 compliance with uncertain
knowledge may make it difficult for agencies to prepare accurate
business cases and may affect the overall implementation schedule and
planned performance of smart card investments across government
agencies. For example, agencies have not had reliable information about
product costs and cost elements, which are necessary for cost-benefit
analyses.
Until these implementation challenges are addressed, the benefits of
FIPS 201 may not be fully realized. Specifically, agencies may not be
able to meet implementation deadlines established by OMB, and more
importantly, true interoperability among federal government agencies'
smart card programs--one of the major goals of FIPS 201--may not be
achieved.
To better ensure that the objectives of HSPD-12 are met, we are
recommending that the Director, OMB, take steps to closely monitor
agency implementation progress and the completion of key activities by,
for example, (1) establishing an agency reporting process to fulfill
its role of ensuring that agencies are in compliance with the goals of
HSPD-12 and (2) amending or supplementing governmentwide guidance
regarding compliance with the FIPS 201 standard to provide more
complete direction to agencies on how to address implementation
challenges.
We received written comments on a draft of this report from the
Administrator of E-Government and Information Technology of OMB, the
Acting Associate Administrator of GSA, and the Deputy Secretary of
Commerce. Letters from these agencies are reprinted in appendixes III
through V. We received technical comments from the Director of the
Access Card Office for Defense and, a Special Agent at OPM, via email,
which we incorporated as appropriate. We also received written
technical comments from the Assistant Secretary for Administration for
HUD and the Assistant Secretary of Policy, Management, and Budget at
the Interior. Additionally, representatives from NASA and Labor
indicated via email that they reviewed the draft report and did not
have any comments. Officials from Homeland Security did not respond to
our request for comments. Officials from GSA, Commerce, HUD, Defense,
Interior, and OPM generally agreed with the content of our draft report
and our recommendations and provided updated information and technical
comments, which have been incorporated where appropriate. OMB agreed
with our recommendation on monitoring agency progress but disagreed
with our recommendation on amending or supplementing government-wide
policy guidance, stating that it did not think its guidance was
incomplete. However, we believe OMB has not provided agencies with
adequate guidance about when and how to apply the standard for
important categories of individuals and facilities and for assessing
risks associated with vendor implementations of the recently chosen
biometric standard.
Background:
Today, federal employees are issued a wide variety of ID cards that are
used to access federal buildings and facilities, sometimes solely on
the basis of visual inspection by security personnel. These cards
generally cannot be used to control access to an agency's computer
systems. Furthermore, many can be easily forged or stolen and altered
to permit access by unauthorized individuals. The ease with which
traditional ID cards can be forged has contributed to increases in
identity theft and related security and financial problems for both
individuals and organizations. One means to address such problems is
offered by the use of smart cards.
What Are Smart Cards?
Smart cards are plastic devices about the size of a credit card that
contain an embedded integrated circuit chip capable of storing and
processing data.[Footnote 4] The unique advantage that smart cards have
over traditional cards with simpler technologies like magnetic stripes
or bar codes is that they can exchange data with other systems and
process information, rather than simply serving as static data
repositories. By securely exchanging information, a smart card can help
authenticate the identity of the individual possessing the card in a
far more rigorous way than is possible with traditional ID cards. A
smart card's processing power also allows it to exchange and update
many other kinds of information with a variety of external systems,
which can facilitate applications such as financial transactions or
other services that involve electronic record-keeping. Figure 1 shows a
typical example of a smart card.
Figure 1: A Typical Smart Card:
[See PDF for image]
[End of figure]
Smart cards can also be used to significantly enhance the security of
an organization's computer systems by tightening controls over user
access. A user wishing to log on to a computer system or network with
controlled access must "prove" his or her identity to the system--a
process called authentication. Many systems authenticate users merely
by requiring them to enter secret passwords. This provides only modest
security because passwords can be easily compromised. Substantially
better user authentication can be achieved by supplementing passwords
with smart cards. To gain access under this scenario, a user is
prompted to insert a smart card into a reader attached to the computer
as well as type in a password. This authentication process is
significantly harder to circumvent because an intruder would not only
need to guess a user's password but also possess that same user's smart
card.
Even stronger authentication can be achieved by using smart cards in
conjunction with biometrics. Smart cards can be configured to store
biometric information (such as fingerprints or iris scans) in an
electronic record that can be retrieved and compared with an
individual's live biometric scan as a means of verifying that person's
identity in a way that is difficult to circumvent. An information
system requiring users to present a smart card, enter a password, and
verify a biometric scan provides what security experts call "three-
factor" authentication, the three factors being "something you possess"
(the smart card), "something you know" (the password), and "something
you are" (the biometric). Systems employing three-factor authentication
are considered to provide a relatively high level of security. The
combination of smart cards and biometrics can provide equally strong
authentication for controlling access to physical facilities.[Footnote
5]
Smart cards can also be used in conjunction with public key
infrastructure (PKI) technology to better secure electronic messages
and transactions.[Footnote 6] A properly implemented and maintained PKI
can offer several important security services, including assurance that
(1) the parties to an electronic transaction are really who they claim
to be, (2) the information has not been altered or shared with any
unauthorized entity, and (3) neither party will be able to wrongfully
deny taking part in the transaction. PKI systems are based on
cryptography and require each user to have two different digital "keys"
a public and a private key. Both public and private keys may be
generated on a smart card or on a user's computer. Security experts
generally agree that PKI technology is most effective when used in
tandem with hardware tokens, such as smart cards. PKI systems use
cryptographic techniques to generate and manage electronic
"certificates" that link an individual or entity to a given public key.
These digital certificates are then used to verify digital signatures
and facilitate data encryption. The digital certificates are created by
a trusted third party called a certification authority, which is also
responsible for providing status information on whether the certificate
is still valid or has been revoked or suspended. The PKI software in
the user's computer can verify that a certificate is valid by first
verifying that the certificate has not expired and then by checking the
online status information to ensure that it has not been revoked or
suspended.
In addition to enhancing security, smart cards have the flexibility to
support a wide variety of uses not related to security, such as
tracking itineraries for travelers, linking to immunization or other
medical records, or storing cash value for electronic purchases.
Currently, a typical smart card can store and process up to 32
kilobytes of data, however newer cards have been introduced that can
accommodate 64 kilobytes. The larger a card's electronic memory, the
more functions it can support.
Smart cards are grouped into two major classes: "contact" cards and
"contactless" cards. Contact cards have gold-plated contacts that
connect directly with the read/write heads of a smart card reader when
the card is inserted into the device. Contactless cards contain an
embedded antenna and work when the card is waved within the magnetic
field of a card reader or terminal. Contactless cards are better suited
to environments that require quick interaction between the card and the
reader, such as places with a high volume of people seeking physical
access. For example, the Washington Metropolitan Area Transit Authority
has deployed an automated fare collection system using contactless
smart cards as a way of speeding patrons' access to the Washington,
D.C., subway system. Smart cards can be configured to include both
contact and contactless capabilities, but two separate interfaces are
needed because standards for the technologies are very different.
Governmentwide Smart Card Efforts Were Under Way Prior to HSPD-12:
Since the 1990s, the federal government has promoted the use of smart
card technology as one option for improving security over buildings and
computer systems.[Footnote 7] In 1996, OMB, which has statutory
responsibility to develop and oversee policies, principles, standards,
and guidelines--used by agencies for ensuring the security of federal
information and systems--tasked GSA with taking the lead in
facilitating a coordinated interagency management approach for the
adoption of smart cards across government.
Because the value of a smart card is greatly enhanced if it can be used
with multiple systems at different agencies, GSA worked with NIST and
smart card vendors to develop the Government Smart Card
Interoperability Specification, which defined a uniform set of commands
and responses for smart cards to use in communicating with card
readers. This specification defined a software interface for smart card
systems that served to bridge the significant incompatibilities among
vendors' proprietary systems. Vendors could meet the specification by
writing software for their cards that translated their unique command
and response formats to the government standard. NIST completed the
first version of the interoperability specification in August 2000.
However, this and subsequent versions did not fully define all
implementation details, and therefore the extent to which systems using
the specification could interoperate was limited.
In 2003, OMB created the Federal Identity Credentialing Committee to
make policy recommendations and develop the Federal Identity
Credentialing component of the Federal Enterprise Architecture[Footnote
8] to include processes such as identity proofing and credential
management. In February 2004, the Federal Identity Credentialing
Committee issued the Government Smart Card Handbook on the use of smart
card-based systems in badge, identification, and credentialing systems
with the objective of helping agencies plan, budget, establish, and
implement identification and credentialing systems for government
employees and their agents.
In September 2004,[Footnote 9] we reported that nine agencies were
planning or implementing agencywide smart card initiatives. Some of
these initiatives included the Defense's Common Access Card (CAC),
which had 3.2 million cards in use at the time of our review, and the
Department of State's Domestic Smart Card Access Control project, which
had issued 25,000 cards as of September 2004.
HSPD-12 Requires Standardized Agency ID and Credentialing Systems:
In August 2004, the President issued HSPD-12, which required the
Department of Commerce to develop a new standard for secure and
reliable forms of ID for federal employees and contractors by February
27, 2005. The directive defined secure and reliable ID as meeting four
control objectives. Specifically, credentials must be:
* based on sound criteria for verifying an individual employee's
identity;
* strongly resistant to identity fraud, tampering, counterfeiting, and
terrorist exploitation;
* rapidly authenticated electronically; and:
* issued only by providers whose reliability has been established by an
official accreditation process.
The directive stipulated that the standard include graduated criteria,
from least secure to most secure, to ensure flexibility in selecting
the appropriate level of security for each application. In addition,
the directive required agencies to implement the standard for IDs
issued to federal employees and contractors in order to gain physical
access to controlled facilities and logical access to controlled
information systems, to the maximum extent practicable, by October 27,
2005.[Footnote 10]
NIST, OMB, and GSA Have Issued Guidance for Implementing HSPD-12:
In response to HSPD-12, NIST published FIPS 201, titled "Personal
Identity Verification of Federal Employees and Contractors" on February
25, 2005. The standard specifies the technical requirements for
personal identity verification (PIV) systems to issue secure and
reliable identification credentials to federal employees and
contractors for gaining physical access to federal facilities and
logical access to information systems and software applications. Smart
cards are the primary component of the envisioned PIV system.
The FIPS 201 standard is composed of two parts. The first part, PIV-I,
sets standards for PIV systems in three areas: (1) identity proofing
and registration, (2) card issuance and maintenance, and (3) protection
of card applicants' privacy. OMB directed agencies to implement the
first two requirements by October 27, 2005, but did not require
agencies to implement the privacy provisions until they start issuing
FIPS 201 compliant identity cards, which is not expected until October
2006.
To verify individuals' identities, agencies are required to adopt an
accredited[Footnote 11] identity proofing and registration process that
is approved by the head of the agency and includes:
* initiating or completing a background investigation, such as a
National Agency Check with Written Inquiries (NACI), or ensuring that
one is on record for all employees and contractors;
* conducting and adjudicating a Federal Bureau of Investigation (FBI)
National Criminal History Fingerprint Check (fingerprint check) for all
employees and contractors prior to credential issuance;[Footnote 12]
* requiring applicants to appear in person at least once before the
issuance of a PIV card;
* requiring applicants to provide two original forms of identity source
documents from an OMB-approved list of documents; and:
* ensuring that no single individual has the capability to issue a PIV
card without the cooperation of another authorized person (separation
of duties principle).
Agencies are further required to adopt an accredited card issuance and
maintenance process that is approved by the head of the agency and
includes standardized specifications for printing photographs, names,
and other information on PIV cards; loading relevant electronic
applications into a card's memory; capturing and storing biometric and
other data; issuing and distributing digital certificates; and managing
and disseminating certificate status information. The process must
satisfy the following requirements:
* ensure complete and successful adjudication of background
investigations required for federal employment and revoke PIV cards if
the results of investigations so justify;
* when issuing a PIV card to an employee or contractor, verify that the
individual is the same as the applicant approved by the appropriate
authority; and:
* issue PIV cards only through accredited systems and providers.
Finally, agencies are required to perform the following activities to
protect the privacy of the applicants, including:
* assigning an individual to the role of senior agency official for
privacy to oversee privacy-related matters in the PIV system,
* conducting a comprehensive privacy impact assessment on systems
containing personal information for the purpose of implementing a PIV
system,
* providing full disclosure of the intended uses of the PIV card and
related privacy implications to the applicants,
* utilizing security controls described in NIST guidance to accomplish
privacy goals where applicable, and:
* ensuring that implemented technologies in PIV systems do not erode
privacy protections.
Figure 2 illustrates PIV-I provisions for identity proofing and
registration, card issuance and maintenance, and protection of
applicants' privacy.
Figure 2: Major Provisions of PIV-I:
[See PDF for image]
[End of figure]
The second part of the FIPS 201 standard, PIV-II, provides technical
specifications for interoperable smart card-based PIV systems. Agencies
are required to begin issuing credentials that meet these provisions by
October 27, 2006. The requirements include the following:
* specifications for the components of the PIV system that employees
and contractors will interact with, such as PIV cards, card and
biometric readers, and personal identification number (PIN) input
devices;
* security specifications for the card issuance and management
provisions;
* a suite of authentication mechanisms supported by the PIV card and
requirements for a set of graduated levels of identity
assurances;[Footnote 13]
* physical characteristics of PIV cards, including requirements for
both contact and contactless interfaces and the ability to pass certain
durability tests;
* mandatory information that is to appear on the front and back of the
cards, such as a photograph, the full name, card serial number and
issuer identification; and:
* technical specifications for electronic identity credentials (i.e.,
smart cards) to support a variety of authentication mechanisms,
including PINs, PKI encryption keys and corresponding digital
certificates, biometrics (specifically, representations of two
fingerprints), and unique cardholder identifier numbers.
As outlined in a NIST special publication,[Footnote 14] agencies can
choose between two alternate approaches to become FIPS 201 compliant,
depending on their previous experience with smart cards. The guidance
sets different specifications for each approach. One approach is to
adopt "transitional" card interfaces, based on the Government Smart
Card Interoperability Specification (GSC-IS). Federal agencies that
have already implemented smart card systems based on the GSC-IS can
elect to adopt the transitional card interface specification to meet
their responsibilities for compliance with part II of the standard. The
other approach is to immediately adopt the "end-point" card interfaces,
which are fully compliant with the FIPS 201 PIV-II card standard. All
agencies without previous large scale smart card implementations are
expected to proceed with implementing PIV systems that meet the end-
point interface specification.
Figure 3 shows an example of a FIPS 201 card.
Figure 3: Example of a FIPS 201 Card Showing Major Required Features:
[See PDF for image]
[End of figure]
NIST has issued several other special publications providing
supplemental guidance on various aspects of the FIPS 201 standard,
including guidance on verifying that agencies or other organizations
have the proper systems and administrative controls in place to issue
PIV cards, and technical specifications for implementing the required
encryption technology. Additional information on NIST's special
publications is provided in appendix II.
In addition, NIST was responsible for developing a suite of tests to be
used by approved commercial laboratories in validating whether
commercial products for the smart card and the card interface are in
conformance with FIPS 201. NIST developed the test suite and designated
several laboratories as interim NIST PIV Program testing facilities in
August 2005. The designated facilities were to use the NIST test suite
to validate commercial products required by FIPS 201 so that they could
be made available for agencies to acquire as part of their PIV-II
implementation efforts. According to NIST, during the next year, these
laboratories will be assessed for accreditation for PIV testing. Once
accreditation is achieved, the "interim" designation will be dropped.
OMB is responsible for ensuring that agencies comply with the standard,
and in August 2005, it issued a memorandum to executive branch agencies
with instructions for implementing HSPD-12 and the new standard. The
memorandum specifies to whom the directive applies; to what facilities
and information systems FIPS 201 applies; and, as outlined below, the
schedule that agencies must adhere to when implementing the standard:
* October 27, 2005--for all new employees and contractors, adhere to
the identity proofing, registration, card issuance, and maintenance
requirements of the first part (PIV-I) of the standard. Implementation
of the privacy requirements of PIV-I was deferred until agencies are
ready to start issuing FIPS 201 credentials.
* October 27, 2006--start issuing cards that comply with the second
part (PIV-II) of the standard. Agencies may defer implementing the
biometric requirement until the NIST guidance is final.
* October 27, 2007--verify and/or complete background investigations
for all current employees and contractors (Investigations of
individuals who have been employees for more than 15 years may be
delayed past this date.)
* October 27, 2008--complete background investigations for all
individuals who have been federal agency employees for over 15 years.
OMB guidance also includes specific time frames in which NIST and GSA
must provide additional guidance, such as technical references and
Federal Acquisition Regulations.
GSA, in collaboration with the Federal Identity Credentialing
Committee, the Federal Public Key Infrastructure Policy Authority, OMB,
and the Smart Card Interagency Advisory Board--which GSA established to
address government smart card issues and standards--developed the
Federal Identity Management Handbook. This handbook was intended to be
a guide for agencies implementing HSPD-12 and FIPS 201 and includes
guidance on specific courses of action, schedule requirements,
acquisition planning, migration planning, lessons learned, and case
studies. It is to be periodically updated; the most current draft
version of the handbook was released in September 2005.
In addition, on August 10, 2005, GSA issued a memorandum to agency
officials that specified standardized procedures for acquiring FIPS 201-
compliant commercial products that have passed NIST's conformance
tests. According to the GSA guidance, agencies are required to use
these standardized acquisition procedures when implementing their FIPS
201 compliant systems.
Figure 4 is a time line that illustrates when FIPS 201 and additional
guidance were issued as well as the major deadlines for implementing
the standard.
Figure 4: Time Line of FIPS 201 Related Activities:
[See PDF for image]
[End of figure]
Agencies Have Taken Actions to Begin Implementing FIPS 201:
The six agencies that we reviewed--Defense, Interior, DHS, HUD, Labor,
and NASA--have each taken actions to begin implementing the FIPS 201
standard. Their primary focus has been on actions to address the first
part of the standard, including establishing appropriate identity
proofing and card issuance policies and procedures.[Footnote 15] For
example, five of the six agencies had instituted policies to require
that at least a successful fingerprint check be completed prior to
issuing a credential; and the sixth agency, Defense, was in the process
of having such a policy instituted. Regarding other requirements,
efforts were still under way. For example, Defense and NASA reported
that they were still making modifications to their background check
policies. Four of the six agencies were still updating their policies
and procedures or gaining formal agency approval for them. Labor and
HUD officials had completed modifications of their policies and gained
approval for their PIV-I processes.
Agencies have begun to take actions to address the second part of the
standard, which focuses on interoperable smart card systems. Defense
and Interior, for example, have conducted assessments of technological
gaps between their existing systems and the infrastructure required by
FIPS 201, but they have not yet developed specific designs for card
systems that meet FIPS 201 interoperability requirements.
Department of Defense:
Defense has been working on implementing smart card technology since
1993, when the Deputy Secretary of Defense issued a policy directive
that called for the implementation of the CAC program, a standard smart
card-based identification system for all active duty military
personnel, civilian employees, and eligible contractor personnel.
Defense began testing the CAC in October 2000 and started to implement
it departmentwide in November 2001.
Currently, the CAC program is the largest smart card deployment within
the federal government, with approximately 3.8 million cards considered
active or in use as of May 2005. The CAC addresses both physical and
logical access capabilities and incorporates PKI credentials.
Defense officials have taken steps to implement PIV-I requirements but
have not yet completed all planned actions. For example, according to
agency officials, Defense implemented its first PIV-I compliant
credential issuance station, accredited and trained designated
individuals to issue credentials, and took steps to better secure
access to Defense personnel data. However, at the time of our review,
Defense was still drafting modifications to the department's background
check policy to meet PIV-I requirements, and agency officials expected
to issue a revised policy by the end of December 2005. Work was also
under way to modify an automated system used by contractors to apply
for the CAC to comply with the PIV-I background check requirements for
contractors.
To address PIV-II, Defense program officials conducted an assessment to
identify the technological gaps between their existing CAC
infrastructure and the infrastructure required to meet PIV-II
interoperability requirements. This assessment identified that of the
245 requirements specified by FIPS 201, the CAC did not support 98 of
those requirements, which led to a strategy to implement each of the
needed changes. Some of the changes include deploying cards that
contain both contact and contactless capabilities; ensuring that
information on the cards is in both visual and electronic form; and
ensuring that the electronic credentials stored on PIV cards to verify
a cardholder's identity contain all required data elements, including
the cardholder's PIN, PIV authentication data (PKI encryption keys and
corresponding digital certificates), and two fingerprints.
Additionally, program officials prepared rough cost estimates for
specific elements of their planned implementation, such as cards and
card readers. Program officials have also begun developing agency-
specific PIV applications to be stored on the cards. However, Defense
has not yet developed a specific design for a card system that meets
FIPS 201 interoperability requirements.
Department of the Interior:
In January 2002, Interior's Bureau of Land Management (BLM) launched a
smart card pilot project to help improve security over its sites and
employees. About 2,100 employees were given smart cards for personal ID
and for access to sites in the pilot program.
Having successfully implemented the smart card pilot at BLM, Interior
began a program to implement smart cards agencywide. According to
program officials, the agencywide smart card system is in compliance
with the GSC-IS specification. As of October 19, 2005, the department
had deployed approximately 20,000 smart cards, providing access control
for approximately 25 buildings.
Interior officials have taken steps to implement PIV-I requirements but
have not yet had their system accredited or approved, as required by
the standard. For example, Interior revised its policy on identity
proofing and registration to require at least a fingerprint check be
completed before issuing a credential. Regarding card issuance and
maintenance processes, Interior revised its policies to include steps
to ensure the completion and successful adjudication of a NACI or
equivalent background investigation for all employees and contractor
personnel. Additionally, Interior officials reported they had completed
more than 90 percent of all required background checks for existing
employees, and had signed a contract to develop a Web-enabled PIV-I
identity proofing and registration process, which may eventually
replace the current manual process. However, as of November 2005,
Interior's identity proofing, registration, issuing, and maintenance
processes had not been accredited or approved by the head of the
agency. Regarding privacy protection, according to the officials, they
had completed two privacy impact assessments on systems containing
personal information for the purposes of implementing PIV-I.
To meet PIV-II requirements, Interior officials reported that they had
established a pilot PKI and had also conducted a gap analysis to
identify specific areas in which their existing smart card system does
not meet the FIPS 201 standard. In the absence of approved FIPS 201
compliant products, they had not developed a specific design for a card
system that meets FIPS 201 interoperability requirements.
Department of Homeland Security:
Prior to the issuance of FIPS 201, DHS developed a smart card-based
identification and credentialing pilot project that was intended to
serve as a comprehensive identification and credentialing program for
the entire department when fully deployed. This effort was based on the
GSC-IS specification and was intended to use PKI technology for logical
access and proximity cards that are read by electronic readers to gain
building access. As of November 2005, program officials indicated that
they had deployed approximately 150 cards as part of this effort.
However, OMB directed DHS to not issue smart cards until it had
developed and implemented a system based on cards that are fully
compliant with the PIV-II section of FIPS 201.
DHS officials have taken steps to implement PIV-I requirements but, as
of November 2005, were still making necessary modifications to their
policies and procedures. For example, DHS revised its policy on
identity proofing and registration to require at least a fingerprint
check be completed before issuing a credential.
However, other DHS actions to implement PIV-I were still under way. For
example, according to DHS officials, they had not yet fully implemented
the requirements to ensure that background checks are successfully
adjudicated or to establish a credential revocation process. DHS
officials further stated that they were finalizing a security
announcement that would outline the PIV-I process.
DHS officials had begun to take actions to meet PIV-II requirements.
According to program officials, to help plan and prepare the agency for
deployment, they conducted a survey of all DHS components to determine
the types of information systems their various components had deployed.
However, officials have planned to wait until approved FIPS 201
products and services are available before purchasing any equipment or
undergoing any major deployment of a PIV-II compliant system.
National Aeronautics and Space Administration:
NASA officials indicated that they had been working to improve their
identity and credentialing process since 2000. Prior to the issuance of
FIPS 201, NASA officials were planning for the implementation of the
One NASA Smart Card Badge project. This project was intended to be
deployed agencywide and was being designed to provide GSC-IS compliant
smart cards for identity, physical access, and logical access to
computer systems. However, NASA officials were directed by OMB to not
implement this system because it had not initiated large-scale
deployment of its smart cards prior to July 2005. In the meantime, NASA
has been utilizing proximity cards,[Footnote 16] which are read by
electronic readers, to gain building access.
NASA officials have taken steps to implement PIV-I requirements; but,
as of November 2005, they were still making necessary modifications to
their policies and procedures. For example, regarding identity proofing
and registration, NASA officials stated that they had modified their
policy to address the fingerprint check requirement. According to NASA
officials, they have also implemented a process for gathering all
required data elements from individuals, with the exception of the
biometric data. In addition, NASA officials conducted an analysis of
how FIPS 201 requirements impact security within NASA. Other NASA
actions to implement PIV-I were still under way. For example, NASA was
getting its revised policy approved which specifies the completion and
successful adjudication of the NACI. Regarding privacy protection, NASA
was updating its privacy impact assessments for relevant systems
containing personal information for the purpose of implementing PIV-I.
NASA has begun to take actions to implement PIV-II requirements. NASA
officials said they were planning to modify their existing PKI to issue
digital certificates that can be used with the PIV cards that will be
issued under FIPS 201. In the absence of approved FIPS 201 compliant
products, NASA has not developed specific designs for a card system
that meets FIPS 201 interoperability requirements.
Department of Housing and Urban Development:
HUD did not have an existing smart card program in place prior to HSPD-
12. Like NASA, HUD controls physical access to its buildings by using
proximity cards that are read by electronic readers.
HUD officials reported that they have taken steps to implement PIV-I
requirements. To meet identity proofing and registration practices, for
example, officials modified their policies to require that at least a
fingerprint check be completed before issuing a credential. Policies
regarding card issuance and maintenance processes were also modified to
ensure that all necessary steps were in place regarding the completion
and successful adjudication of a NACI or another equivalent background
investigation. Additionally, HUD issued guidelines explaining policies
and procedures to ensure that the issuance of credentials complies with
PIV-I. Program officials have also been analyzing the differences
between their existing processes and those required by FIPS 201. As of
January 2006, HUD's identity proofing, registration, issuing, and
maintenance processes were approved by HUD's Assistant Secretary for
Administration, as required by PIV-I. Finally, regarding privacy
protections, officials have drafted a document describing how personal
information will be collected, used, and protected throughout the
lifetime of the FIPS 201 cards.
Thus far, HUD's actions related to PIV-II have been limited to
analyzing their needs and planning for physical security and
information technology infrastructure requirements. HUD officials said
they had developed rough estimates to determine how much implementing
FIPS 201 would cost. In the absence of approved FIPS 201 compliant
products, HUD officials have not developed a specific design for a card
system that meets FIPS 201 interoperability requirements.
Department of Labor:
Like HUD, Labor did not have an existing smart card program in place
prior to HSPD-12. Labor currently utilizes a nonelectronic identity
card that contains an employee's photograph and identifying
information. The identity cards can only be used for physical access,
which is granted by security personnel once they have observed the
individual's identity card.
As of November 2005, Labor officials reported that they had implemented
the major requirements of PIV-I. As an example of Labor's efforts to
implement identity proofing and registration requirements, the
officials modified their policies to require that, at minimum, a
fingerprint check is conducted and successfully adjudicated prior to
issuing the credential. Regarding issuance and maintenance processes,
Labor officials modified their policies to ensure all necessary steps
were in place regarding the completion and successful adjudication of
the NACI or another equivalent background investigation. In addition,
the officials reported that they had implemented a system of tracking
metrics for background investigations to ensure that they are completed
and successfully adjudicated.
Labor officials stated that they had not made substantial progress
toward implementing PIV-II because they were waiting for compliant FIPS
201 products to become available before making implementation
decisions.
The Federal Government Faces Challenges in Implementing FIPS 201:
The federal government faces a number of significant challenges to
implementing FIPS 201, including testing and acquiring compliant
products within OMB's mandated time frames; reconciling divergent
implementation specifications; assessing risks associated with
implementing the recently-chosen biometric standard; incomplete
guidance regarding the applicability of FIPS 201 to facilities, people,
and information systems; and planning and budgeting with uncertain
knowledge and the potential for substantial cost increases. Addressing
these challenges will be critical in determining whether agencies will
be able to meet fast-approaching implementation deadlines and in
ensuring that agencies' FIPS 201 systems are interoperable with one
another.
Testing and Acquiring Compliant Products within OMB-Mandated Time
Frames:
Based on OMB and GSA guidance, all commercial products, such as smart
cards, card readers, and related software, are required to successfully
complete interdependent tests before agencies can purchase them for use
in their FIPS 201 compliant systems. These tests include (1)
conformance testing developed by NIST to determine whether individual
commercial products conform to FIPS 201 specifications, (2) performance
and interoperability testing to be developed by GSA to ensure that
compliant products can work together to meet all the performance and
interoperability requirements specified by FIPS 201, and (3) agencies'
testing to determine whether the products will work satisfactorily
within the specific system environments at each of the agencies.
Because it is difficult to predict how long each of these tests will
take, and because they must be done in sequence, fully tested FIPS 201
compliant products may not become available for agencies to acquire in
time for them to begin issuing FIPS 201 compliant ID cards by OMB's
deadline of October 27, 2006. According to NIST officials, conformance
testing of individual commercial products, based on the test suite
developed by NIST, was authorized to begin on November 1, 2005. The
officials indicated that it would take a minimum of several weeks to
test and approve a product--assuming the product turned out to be fully
FIPS 201 compliant--and would more likely take significantly longer.
Experience with similar NIST conformance testing regimes, such as FIPS
140-2 cryptography testing, has shown that this process can actually
take several months. According to a FIPS 140-2 consulting
organization,[Footnote 17] the variability in the time it takes to test
products depends on (1) the complexity of the product, (2) the
completeness and clarity of the vendor's documentation, (3) how fast
the vendor is able to answer questions and resolve issues raised during
testing, and (4) the current backlog of work encountered in the lab.
According to officials from NIST and the Smart Card Alliance,[Footnote
18] these factors are likely to keep FIPS 201 compliant products from
completing conformance testing and becoming available for further
testing until at least the early part of 2006.
Furthermore, once commercial products pass conformance testing, they
must then go through performance and interoperability testing. These
tests are intended to ensure that the products meet all the performance
and interoperability requirements specified by FIPS 201. According to
GSA, which was developing the tests, they can only be conducted on
products that have passed NIST conformance testing. GSA will also
conduct performance and interoperability tests on other products that
are required by FIPS 201, but not within the scope of NIST's
conformance tests, such as smart card readers, fingerprint capturing
devices, and software required to program the cards with employees'
data. At the time of our review, GSA officials stated that they were
developing initial plans for these tests and had planned to have the
tests ready in March 2006. GSA officials indicated that once they
finalized the tests, they estimated that it would take approximately 2
to 3 months to test each product. Officials stated that they do not
expect to have multiple products approved until May 2006, at the
earliest. Vendors with approved products and services will be awarded a
blanket-purchase agreement, making them available for agencies to
acquire. According to GSA officials, there will be a modification to
the Federal Acquisition Regulation to require that agencies purchase
PIV products through this blanket-purchase agreement.
Prior to purchasing commercial products, each agency will also need to
conduct its own testing to determine how well the products will work in
conjunction with the rest of the agency's systems. According to agency
officials, this process could take from 1 to 8 months, depending on the
size of the agency. For example, GSA officials estimated that a small
agency could complete this testing in about 1 month. Defense officials,
in contrast, estimated it would take them about 4 months to conduct
testing, and Interior officials have stated that, based on their prior
experience, it would take 6 months to conduct the testing. When Defense
initially implemented their CAC system, it took 8 months to conduct
testing. Following this series of tests, agencies must also acquire
products--which could add at least an additional month to the process-
-and install them at agency facilities.
OMB, which is tasked with ensuring compliance with the standard, has
not indicated how it plans to monitor agency progress in developing
systems based on FIPS 201 compliant products. For example, OMB has not
stated whether it will require agencies to report on the status of
their FIPS 201 implementations in advance of the October 2006 deadline.
While in the best case scenario it may be possible for some agencies to
purchase compliant products and begin issuing FIPS 201 compliant cards
to employees by OMB's deadline of October 27, 2006, it will likely take
significantly longer for many other agencies. With compliance testing
scheduled to be complete in early 2006 and at least two sets of
additional testing required, each of which could potentially take many
months, many agencies are likely to be at risk of not meeting the
deadline to begin issuing FIPS 201 compliant credentials. Given these
uncertainties, it will be important to monitor agency progress and
completion of key activities to ensure that the goals of HSPD-12 are
being met.
Reconciling Divergent Implementation Specifications:
Recognizing that some agencies, such as Defense, have significant
investments in prior smart card technology that does not comply with
the new standard, NIST, in supplemental guidance on FIPS 201,[Footnote
19] allowed such agencies to address the requirements of FIPS 201 by
adopting a "transitional" smart card approach. According to the
guidance, the transitional approach should be based on the existing GSC-
IS specification and should be a temporary measure prior to
implementing the full FIPS 201 specification, known as the "end point"
specification. Agencies without existing large-scale smart card systems
were to implement only systems that fully conform to the end-point
specification. NIST deferred to OMB to set time frames for when
agencies adopting the transitional approach would be required to reach
full compliance with the end-point specification. However, OMB has not
yet set these time frames and has given no indication of how or when it
plans to address this issue.
The provision for transitional FIPS 201 implementations in NIST's
guidance acknowledges that agencies with fully implemented GSC-IS smart
card systems may already be meeting many of the security objectives of
FIPS 201 and that it may be unreasonable to require them to replace all
of their cards and equipment within the short time frames established
by HSPD-12. However, according to NIST officials, the transitional
specification is not technically interoperable with the end-point
specification. Thus, cards issued by an agency implementing a
transitional system will not be able to interoperate with systems at
agencies that have implemented the end-point specification until those
agencies implement the end-state specification, too.
Although allowing for the transitional approach to FIPS 201 compliance
in their guidance, NIST stated that agencies should implement the end-
point specification directly, wherever possible. According to NIST,
agencies that adopt the transitional specification will have to do more
work than if they immediately adopt the end-point specification.
Specifically, major technological differences between the two
interfaces will require agencies to conduct two development efforts--
one to adopt the transitional specification and then another at a later
date to adopt the end-point specification.
Agencies with substantial smart card systems already deployed--such as
Defense and Interior--have chosen the transitional option because they
believe it poses fewer technical risks than the end-point
specification, which is a new standard. These agencies do not plan to
implement end-point systems by the October 2006 deadline for PIV-II
compliance, nor have they determined when they will have end-point
systems in place. According to OMB, these agencies will be allowed to
meet OMB's October 2006 deadline by implementing the transitional
specification. Defense officials stated that, based on their past
experience in implementing the CAC system, they believe the
transitional approach will entail fewer development problems because it
involves implementing hardware and software that is similar to their
current system. Further, Defense officials indicated that implementing
the end-point specification would be risky. For example, Defense
officials conducted a technical evaluation, which determined that the
specification was incomplete. The officials stated that they would not
plan to adopt the end-point specification until at least one other
agency has demonstrated a successful implementation. Similarly,
Interior officials said they also plan to use products based on the
transitional specification until approved end-point products are
readily available.
While NIST and OMB guidance on FIPS 201 compliance allows agencies to
meet the requirements of HSPD-12 using two divergent specifications
that lead to incompatible systems, it does not specify when agencies
choosing the transitional approach need to move from that approach to
the end-point specification. Until OMB provides specific deadlines for
when agencies must fully implement the end-point specification,
achieving governmentwide interoperability--one of the goals of FIPS
201--may not be achieved.
Assessing Risks Associated with Implementing the Recently-Chosen
Biometric Standard:
One of the major requirements of FIPS 201 is that electronic
representations of two fingerprints be stored on each PIV card. In
January 2005, NIST issued initial draft guidance for storing electronic
images of fingerprints on PIV cards in accordance with a preexisting
standard. NIST based its draft guidance on the fact that the existing
fingerprint image standard is internationally recognized and thus can
facilitate interoperability among multiple vendors' products.
When agency officials and industry experts reviewed and commented on
the initial draft guidance, they were strongly opposed to the use of
fingerprint images, arguing instead for a more streamlined approach
that would take less electronic storage space on the cards and could be
accessed more quickly. According to industry experts, because the large
amount of memory required for images can only be accessed very slowly,
it could take approximately 30 seconds for card readers to read
fingerprint information from an electronic image stored on a card--a
length of time that would likely cause unacceptable delays in admitting
individuals to federal buildings and other facilities.
Instead of relying on electronic images, agency officials and industry
experts advocated that the biometric guidance instead be changed to
require the use of "templates" extracted from fingerprint "minutiae." A
minutiae template is created by mathematically extracting the key data
points related to breaks in the ridges of an individual's fingertip. As
shown in figure 6, the most basic minutiae are ridge endings (where a
ridge ends) and bifurcations (where a single ridge divides into two).
Using minutiae templates allows for capturing only the critical data
needed to confirm a fingerprint match, and storing just those key data
points rather than a full representation of an individual's
fingerprint. Thus, this technique requires much less storage space than
a full electronic image of a fingerprint.
Figure 5: Common Fingerprint Feature:
[See PDF for image]
[End of figure]
An additional benefit of using minutiae templates is rapid processing
capability. Because minutiae data require a much smaller amount of
storage space than fingerprints in image format, the smaller data size
allows for decreased transmission time of fingerprint data between the
cards and the card readers--approximately 7 to 10 seconds, according to
industry experts at Smart Card Alliance. Short transmission times are
especially important for high traffic areas such as entrances to
federal buildings.[Footnote 20]
Despite these advantages, existing minutiae template technology suffers
from two significant drawbacks. One disadvantage is that vendors'
techniques for converting fingerprint images to minutiae are generally
proprietary and incompatible; a minutiae template that one vendor uses
cannot be used by another. Another disadvantage of template technology
is its questionable reliability. Different algorithms for extracting
minutiae produce templates with varying reliability in producing
accurate matches with the original fingerprints.
To resolve these issues, NIST began systematically testing minutiae
template algorithms submitted by 14 vendors to determine if it is
possible to adopt a standard minutiae template that can accurately
match templates to individuals. NIST officials anticipate that testing
will be completed by February 2006, when they expect to be able to
determine the accuracy and level of interoperability that can be
achieved for the 14 vendors being tested, using standard minutiae
templates.
In December 2005, NIST officials stated that they had conducted enough
tests to determine that the reliability, accuracy, and interoperability
of minutiae data among these 14 vendors were generally within the
bounds of what was likely to be required for many applications of the
technology. However they noted that the tests showed that the products
of the 14 vendors varied significantly in their reliability and
accuracy--by as much as a factor of 10. NIST officials expect that once
they complete testing in February 2006, they will have sufficient data
to establish the reliability and accuracy of each of the 14 vendors.
Despite the fact that the testing of minutiae template technology was
still under way, NIST was requested by the Executive Office of the
President to issue revised draft guidance[Footnote 21] that replaced
the previously proposed image standard with a minutiae standard. While
the minutiae standard resolves the problems of storage and access speed
associated with the image standard, it opens new questions about how
agencies should choose vendor implementations of the minutiae standard,
due to their varying reliability and accuracy. Agencies will need to
ensure that the vendors they select to provide minutiae template
matching will provide systems that provide the level of reliability and
accuracy needed for their applications. Agencies will also have to
determine the level of risk they are willing to accept that
fingerprints may be incorrectly matched or incorrectly fail to match.
According to NIST officials, agencies may find that in order to
preserve interoperability across agencies' systems, they may need to
allow for less reliability and accuracy in determining whether
fingerprints match. This reduction in reliability and accuracy--and the
associated higher security risk--could pose problems for secure
facilities that require very high levels of assurance. Further,
according to NIST officials, any vendors beyond the 14 currently being
tested would need to undergo similar testing in order to determine
their levels of reliability and accuracy. If agencies do not fully
understand the implications of the variation in accuracy among the
biometric vendors, the security of government facilities could be
compromised and interoperability between agencies could be hindered.
Incomplete Guidance Regarding the Applicability of FIPS 201 to
Facilities, People, and Information Systems:
FIPS 201 and OMB's related guidance provide broad and general criteria
regarding the facilities, people, and information systems that are
subject to the provisions of FIPS 201. For instance, according to FIPS
201, compliant identification credentials must be issued to all federal
employees and contractors who require physical access to federally
controlled facilities--including both federally owned buildings and
leased space--and logical access to federally controlled information
systems. OMB guidance adds that agencies should make risk-based
decisions on how to apply FIPS 201 requirements to individuals and
information systems that do not fit clearly into the specified
categories. For example, OMB guidance states that applicability of FIPS
201 for access to federal systems from a nonfederally controlled
facility (such as a researcher uploading data through a secure Web site
or a contractor accessing a government system from its own facility)
should be based on a risk determination made by following NIST guidance
on security categorizations for federal information and information
systems (FIPS 199).
Although this guidance provides general direction, it does not provide
sufficient specificity regarding when and how to apply the standard.
For example, OMB's guidance does not explain how NIST's security
categories can be used to assess types of individuals accessing
government systems. FIPS 199 provides guidance only on how to determine
the security risk category of government information and information
systems, not how such a category relates to providing access from
nonfederally controlled facilities. As a result, agencies are unlikely
to make consistent determinations about when and how to apply the
standard. HUD is one example of an agency that has not been able to
finalize how it would implement FIPS 201, with regard to allowing
access to federal information systems from remote locations; and
according to a HUD official, they are considering multiple options.
Further, the guidance does not address all categories of people who may
need physical and logical access to federal facilities and information
systems. Specifically, for individuals such as foreign nationals,
volunteers, and unpaid researchers, meeting some of the FIPS 201
requirements--such as conducting a standard background investigation--
may be difficult. For example, Defense and NASA employ a significant
number of foreign nationals--individuals who are not U.S. citizens and
work outside the U.S. foreign nationals generally cannot have their
identity verified through the standard NACI process. In order to
conduct a NACI, an individual must have lived in the United States long
enough to have a traceable history, which may not be the case for
foreign nationals. According to NASA officials, approximately 85
percent of NASA's staff at its Jet Propulsion Laboratory are foreign
nationals. However, OMB's guidance for such individuals states only
that agencies should conduct an "equivalent investigation," without
providing any specifics that would ensure the consistent treatment of
such individuals.
Specifically regarding foreign nationals, the Smart Card Interagency
Advisory Board (IAB) and OMB have recognized that FIPS 201 may not
adequately address this issue. The IAB obtained data from agencies who
hire foreign nationals to more specifically identify the issues with
identity proofing of foreign nationals. According to IAB
representatives, these data were provided to OMB. In addition, OMB
indicated that they planned to establish an interagency working group
to assess whether additional guidance is necessary concerning
background investigations for foreign nationals. However, no time
frames have been set for issuing revised or supplemental guidance
regarding foreign nationals.
In addition to foreign nationals, other types of workers also have not
been addressed. For example, Interior has approximately 200,000
individuals that serve as volunteers, some of whom require access to
facilities and information systems. OMB's guidance provides no
specifics on what criteria to use to make a risk-based decision
pertaining to access to facilities and systems by volunteers.
Moreover, the guidance is not clear on the extent to which FIPS 201
should be implemented at all federal facilities. While the standard
provides for a range of identity authentication assurance levels based
on the degree of confidence in the identity of cardholders,[Footnote
22] it does not provide guidance on establishing risk levels for
specific facilities or how to implement FIPS 201 based on an assessment
of the risks associated with facilities. Therefore, agencies such as
HUD, which has 21 field offices with five or fewer employees, and
Interior, which has 2,400 field offices, many of which are also quite
small, do not have the guidance necessary to make decisions
consistently about how to implement FIPS 201 at each of their
facilities. Depending on how risks are assessed, to implement a FIPS
201 compliant access control system at each facility could represent a
significant expense, including possibly acquiring and installing card
readers, network infrastructure, biometric hardware and software. As of
November 2005, OMB officials reported no specific plans to supplement
or revise its FIPS 201 implementation guidance to address these issues.
Without more specific and complete guidance on the scope of
implementing FIPS 201 regarding individuals, facilities, and
information systems, the objectives of HSPD-12 could be compromised.
For instance, agencies could adopt varying and inconsistent approaches
for identity proofing and issuing PIV cards to foreign nationals and
volunteers needing physical and logical access to their facilities and
information systems, thus undermining the objective of FIPS 201 to
establish consistent processes across the government. Variations from
the standard could also pose problems within each agency. Specifically,
if agencies choose to make exceptions to implementing FIPS 201
requirements for specific categories of individuals, information
systems, or facilities, such exceptions could undermine the security
objectives of the agency's overall FIPS 201 implementation. Conversely,
some agencies could expend resources implementing FIPS 201
infrastructure at locations where it is not really needed or may impose
unnecessary constraints on access, due to the lack of clarity of FIPS
201 guidance.
Planning and Budgeting with Uncertain Knowledge:
Agencies have been faced with having to potentially make substantial
new investments in smart card technology systems with little time to
adequately plan and budget for such investments and little cost
information about products they will need to acquire. To comply with
budget submission deadlines, agencies would have had to submit budget
requests for new systems to meet the October 2006 PIV-II deadline in
the fall of 2004, several months prior to the issuance of FIPS 201. If
a major information technology (IT) investment were expected, agencies
also would have had to submit business cases at the same time. Agencies
were not in a position to prepare such documentation in the fall of
2004, nor were they able to determine whether a major new investment
would be required.
As part of the annual federal budget formulation process, agencies are
required to submit their budget requests 1 year in advance of the time
they expect to spend the funds. In addition, in the case of major IT
investments, which could include new smart-card based credentialing
systems, OMB requires agencies to prepare and submit formal businesses
cases, which are used to demonstrate that agencies have adequately
defined the proposed cost, schedule, and performance goals for the
proposed investments.[Footnote 23] In order for agencies to prepare
business cases for future funding requests, they need to conduct
detailed analyses such as a cost-benefit analysis, a risk analysis, and
an assessment of the security and privacy implications of the
investment.
However, agencies have lacked the information necessary to conduct such
reviews. For example, agencies have not had reliable information about
product costs and cost elements, which are necessary for cost-benefit
analyses. In addition, without FIPS 201 compliant products available
for review, agencies have been unable to adequately conduct risk
analyses of the technology. Most importantly, the lack of FIPS 201
compliant products has inhibited planning for addressing the
investment's security and privacy issues.
Several officials from the agencies we reviewed reported that they
based their cost estimates on experience with existing smart card
systems because they could not predict the costs of FIPS 201 compliant
products. For example, HUD officials reported that in order to
formulate their preliminary budget, they developed implementation
estimates based on discussions with various vendors about similar
technology as well as discussions with other agencies regarding their
past experiences with smart card implementation. Furthermore, Defense
and Labor officials reported that the only information they had on
which to base costs was Defense's CAC--a smart card system that has
significant differences from FIPS 201.
While it is not known how much FIPS 201 compliant systems will cost,
OMB maintains that agencies should be able to fund their new FIPS 201
compliant systems with funds they are spending on their existing ID and
credentialing systems. However, officials from agencies such as HUD--
who stated that they estimate that implementing a FIPS 201 system will
cost approximately 400 percent more than their existing identification
system--have indicated that existing funds will be insufficient to
finance implementation of the FIPS 201 system. As of November 2005, OMB
officials did not report any specific plans to monitor agencies'
funding of FIPS 201 compliant card systems to ensure that the systems
can be implemented in a timely fashion.
As a result of the lack of cost and product information necessary for
the development of accurate budget estimates, agency officials believe
they may not have sufficient funds to implement FIPS 201 within the
time frames specified by OMB. Further, the overall implementation
schedules and planned performance of FIPS 201 investments across the
government could be affected.
Conclusions:
Agencies have been focusing their efforts on a range of actions to
establish appropriate identity proofing and card issuance policies and
procedures to meet the first part of the FIPS 201 standard. They have
also begun to take actions to implement new smart card-based ID systems
that will be compliant with the second part of the standard. With the
deadline for implementing the second part of the standard approaching
in October 2006, the government faces significant challenges in
implementing the requirements of the standard.
Several of these challenges do not have easy solutions--testing and
acquiring compliant smart cards, card readers, and other related
commercial products within OMB-mandated deadlines; implementing fully
functional systems; and planning and budgeting for FIPS 201 compliance
with uncertain knowledge. OMB officials have not indicated any plans to
monitor the impact on agencies of the constrained testing time frames
and funding uncertainties, which could put agencies at risk of not
meeting the compliance goals of HSPD-12 and FIPS 201. Without close
monitoring of agency implementation progress through, for example,
establishing an agency reporting process, it could be difficult for OMB
to fulfill its role of ensuring that agencies are in compliance with
the goals of HSPD-12.
Other challenges have arisen because guidance to agencies has been
incomplete. For example, time frames have not been set for agencies
implementing transitional smart card systems to migrate to the fully
compliant end-point specification. Additionally, existing guidance
related to the draft biometric standard does not offer the necessary
information to help agencies understand the implications of variation
in the reliability and accuracy of fingerprint matching among the
biometric systems being offered by vendors. Further, complete guidance
for implementing FIPS 201 with regard to specific types of individuals,
facilities, and information systems has not been established. Without
more complete time frames and guidance, agencies may not be able to
meet implementation deadlines; and more importantly, true
interoperability among federal government agencies' smart card
programs--one of the major goals of FIPS 201--could be jeopardized.
Recommendations:
We recommend that the Director, OMB, take steps to closely monitor
agency implementation progress and completion of key activities by, for
example, establishing an agency reporting process, to fulfill its role
of ensuring that agencies are in compliance with the goals of HSPD-12.
Further, we also recommend that the Director, OMB, amend or supplement
governmentwide policy guidance regarding compliance with the FIPS 201
standard to take the following three actions:
* provide specific deadlines by which agencies implementing
transitional smart card systems are to meet the "end-point"
specification, thus allowing for interoperability of smart card systems
across the federal government;
* provide guidance to agencies on assessing risks associated with the
variation in the reliability and accuracy among biometric products, so
that they can select vendors that best meet the needs of their agencies
while maintaining interoperability with other agencies, and:
* clarify the extent to which agencies should make risk-based
assessments regarding the applicability of FIPS 201 to specific types
of facilities, individuals, and information systems, such as small
offices, foreign nationals, and volunteers. The updated guidance should
(1) include criteria that agencies can use to determine precisely what
circumstances call for risk-based assessments and (2) specify how
agencies are to carry out such risk assessments.
Agency Comments and Our Evaluation:
We received written comments on a draft of this report from the
Administrator of E-Government and Information Technology of OMB, the
Acting Associate Administrator of GSA, and the Deputy Secretary of
Commerce. Letters from these agencies are reprinted in appendixes III
through V. We received technical comments from the Director of the Card
Access Office for Defense and, a Special Agent at OPM, via e-mail,
which we incorporated as appropriate. We also received written
technical comments from the Assistant Secretary for Administration for
HUD and the Assistant Secretary of Policy, Management, and Budget for
Interior. Additionally, representatives from NASA and Labor indicated
via e-mail that they reviewed the draft report and did not have any
comments. Officials from DHS did not respond to our request for
comments. Officials from GSA, Commerce, HUD, Defense, Interior, and OPM
generally agreed with the content of our draft report and our
recommendations and provided updated information and technical
comments, which have been incorporated where appropriate.
In response to our recommendation that OMB monitor agency
implementation progress and completion of key activities, OMB stated
that it would continue to oversee agency implementation using their
existing management and budget tools to ensure compliance. However, as
agencies continue to move forward with implementing FIPS 201, we
believe that in order for OMB to successfully monitor agencies'
progress, it will be essential for OMB to develop a process
specifically for agencies to report on their progress toward
implementing the standard.
Regarding our recommendation to OMB to amend or supplement government
wide policy guidance regarding compliance with the HSPD-12 standard,
OMB stated that it did not think that its guidance was incomplete.
Officials stated that their guidance provides the appropriate balance
between the need to aggressively implement the President's deadlines,
while ensuring agencies have the flexibility to implement HSPD-12,
based on the level of risk their facilities and information systems
present. While we agree that it is important for agencies to have
flexibility in implementing the standard based on their specific
circumstances, we believe that OMB has not provided agencies with
adequate guidance in order for them to make well-informed, risk-based
decisions about when and how to apply the standard for important
categories of individuals and facilities that affect multiple agencies.
For example, while multiple agencies employ foreign nationals to work
at their facilities, OMB does not provide guidance on how agencies
should investigate these foreign nationals prior to allowing them to
access U.S. government facilities and information systems. Similarly,
several agencies maintain very small facilities, yet OMB does not
provide guidance on the extent to which FIPS 201 should be applied at
these facilities. In addition, guidance has not been provided on
assessing risks associated with the variation in the reliability and
accuracy among biometric products, so that agencies can select vendors
that best meet their needs while maintaining interoperability across
the government.
Additionally, OMB indicated that at this time, they do not have a full
understanding of whether interoperability among the transitional and
end-point specifications is a concern and stated that it can not
comment on our recommendation to specify the time frame for when
agencies implementing transitional smart card systems are to implement
the end-point specification. However, our review showed that these two
specifications are not interoperable and, until all agencies implement
the end-state specification the interoperability objective of HSPD-12
may not be achieved.
In commenting on our report, GSA stated that they agreed with our
findings, conclusions, and recommendations. In addition, it provided us
with technical comments that we incorporated as appropriate. It also
suggested that in order to fully demonstrate the scope and scale of
implementing HSPD-12 and FIPS 201 that we provide, as background, the
current state of identity management systems across the government and
industry and the impact of compliance with HSPD-12. We believe that we
have adequately explained the benefits of using smart card-based ID
systems and have outlined several of the significant requirements that
agencies must implement as part of their new PIV systems.
In Commerce's written comments, it stated that our report was fair and
balanced. It also provided technical comments that we incorporated,
where appropriate.
Additionally, OMB and Commerce noted that NIST's biometric
specification had recently been revised. We have made changes to our
report to reflect the revised specification.
Unless you publicly announce the contents of this report earlier, we
plan no further distribution until 30 days from the report date. At
that time, we will send copies to the Secretaries of Homeland Security,
Labor, Interior, Defense, and HUD; the Directors of OMB, OPM and NIST;
the Administrators of NASA and GSA; and interested congressional
committees. In addition, the report will be available at no charge on
the GAO Web site at [Hyperlink, http://www.gao.gov].
Should you or your staff have any questions on matters discussed in
this report, please contact me at (202) 512-6240 or by e-mail at
[Hyperlink, koontzl@gao.gov]. Contact points for our Offices of
Congressional Relations and Public Affairs may be found on the last
page of this report. Other contacts and key contributors to this report
are listed in appendix VI.
Sincerely yours,
Signed by:
Linda D. Koontz:
Director, Information Management Issues:
[End of section]
Appendixes:
Appendix I: Objectives, Scope, and Methodology:
Our objectives were to determine (1) actions that selected federal
agencies have taken to implement the new standard and (2) challenges
that federal agencies are facing in implementing the standard.
We reviewed Homeland Security Presidential Directive 12 (HSPD-12),
Federal Information Processing Standards 201 (FIPS 201), related
National Institute of Standards and Technology (NIST) special
publications, Office of Management and Budget (OMB) guidance, and
General Services Administration (GSA) guidance. On a nonprobability
basis and using the results of the 2005 Federal Computer Security
Report Card--which includes an assessment of agencies' physical
security--and the results of our previous reports on federal agencies'
progress in adopting smart card technology,[Footnote 24] we selected
six agencies that represented a range of experience in implementing
smart card-based identification systems. For example, we included
agencies with no prior experience implementing smart card systems as
well as agencies with years of experience in implementing smart card
systems. The agencies we selected were the Departments of Defense,
Interior, Homeland Security (DHS), Housing and Urban Development (HUD),
Labor, and the National Aeronautics and Space Administration (NASA).
To obtain information on the actions these agencies have taken and plan
to take to implement the standard, we analyzed documentation such as
agencies' implementation plans. We also interviewed officials from
selected agencies to obtain additional information on the actions their
agencies took. We reviewed the completeness and appropriateness of
actions reported to us. However, we did not determine whether agencies
were fully compliant with HSPD-12 and FIPS 201.
To identify challenges and barriers associated with implementing the
new federal identification (ID) standard, we analyzed documentation and
interviewed program officials as well as officials from GSA, NIST, the
Office of Personnel Management (OPM), and OMB. In addition, we
presented the preliminary challenges that we identified to agency
officials to obtain their feedback and concurrence on the challenges.
We performed our work at the offices of Defense, Interior, DHS, HUD,
Labor, NASA, NIST, OMB, OPM, and GSA in the Washington, D.C.,
metropolitan area from April 2005 to December 2005, in accordance with
generally accepted government auditing standards.
[End of section]
Appendix II: NIST Guidelines on Implementing FIPS 201:
NIST has issued several special publications providing supplemental
guidance on various aspects of the FIPS 201 standard. These special
publications are summarized below.
NIST Special Publication 800-73, Interfaces for Personal Identity
Verification, April 2005:
SP 800-73 is a companion document to FIPS 201 that specifies the
technical aspects of retrieving and using the identity credentials
stored in a personal identity verification (PIV) card's memory. This
special publication aims to promote interoperability among PIV systems
across the federal government by specifying detailed requirements
intended to constrain vendors' interpretation of FIPS 201.[Footnote 25]
SP 800-73 also outlines two distinct approaches that agencies might
take to become FIPS 201 compliant and specifies a set of requirements
for each: one set for "transitional" card interfaces that are based on
the Government Smart Card Interoperability Specification (GSC-IS),
Version 2.1 and another set for "end-point" card interfaces that are
more fully compliant with the FIPS 201 PIV-II card specification.
Federal agencies that have implemented smart card systems based on the
GSC-IS can elect to adopt the transitional specification as an
intermediate step before moving to the end-point specification.
However, agencies with no existing implementation are required to
implement PIV systems that meet the end-point specification.
SP 800-73 includes requirements for both the transitional and end-point
specifications and is divided into the following three parts:
* Part 1 specifies the requirements for a PIV data model that is
designed to support dual interface (contact and contactless) cards. The
mandatory data elements outlined in the data model are common to both
the transitional and end-point interfaces and include strategic
guidance for agencies that are planning to take the path of moving from
the transitional interfaces to the end-point interfaces.
* Part 2 describes the transitional interface specifications and is for
use by agencies with existing GSC-IS based smart card systems.
* Part 3 specifies the requirements for the end-point PIV card and
associated software applications.
NIST SP 800-79, Guidelines for the Certification and Accreditation of
PIV Card Issuing Organizations, July 2005:
SP 800-79 is a companion document to FIPS 201 that describes the
attributes that a PIV card issuer--an organization that issues PIV
cards that comply with FIPS 201--should exhibit in order to be
accredited. Agency officials need complete, accurate, and trustworthy
information about their PIV credential issuers to make decisions about
whether to authorize their operation. Agencies can use the guidelines
in this document to certify and accredit[Footnote 26] the reliability
of such organizations.[Footnote 27]
There are four phases (initiation, certification, accreditation, and
monitoring) in the certification and accreditation processes that cover
a PIV credential issuer's ability to carry out its primary
responsibilities in identity proofing and registration, PIV card
creation and issuance, and PIV card life-cycle management.
By following the guidelines, federal agencies should be able to
accomplish the following:
* Satisfy the HSPD-12 requirement that all identity cards be issued by
PIV credential issuers whose reliability have been established by an
official accreditation process;
* Ensure that a PIV credential provider (1) understands the
requirements in FIPS 201; (2) is reliable in providing the required
services; and (3) provides credible evidence that its processes were
implemented as designed and adequately documented the processes in its
operations plan;
* Ensure more consistent, comparable, and repeatable assessments of the
required attributes of PIV credential issuers;
* Ensure more complete, reliable, and trusted identification of federal
employees and contractors in controlling access to federal facilities
and information systems; and:
* Make informed decisions in the accreditation process in a timely
manner and by using available resources in an efficient manner.
NIST SP 800-78, Cryptographic Algorithms and Key Sizes for PIV, April
2005:
FIPS 201 specifies mechanisms for implementing cryptographic
techniques[Footnote 28] to authenticate cardholders, secure the
information stored on a PIV card, and secure the supporting
infrastructure. SP 800-78 contains the technical specifications needed
to implement the encryption technology specified in the standard,
including cryptographic requirements for PIV keys (e.g., algorithm and
key size) and information stored on the PIV card (i.e., requiring the
use of digital signatures to protect the integrity and authenticity of
information stored on the card).
In addition, this document specifies acceptable algorithms and key
sizes for digital signatures on PIV status information (i.e., digital
signatures on the certificate revocation lists or online certificate
status protocol status response messages) and card management keys,
which are used to secure information stored in the PIV card. For
additional information on public key infrastructure technology, see our
2001 report.[Footnote 29]
NIST SP 800-85, PIV Middleware and PIV Card Application Conformance
Test Guidelines (SP 800-73 Compliance), October 2005:
SP 800-85 outlines a suite of tests to validate a software developer's
PIV middleware[Footnote 30] and card applications to determine whether
they conform to the requirements specified in SP 800-73. This special
publication also includes detailed test assertions[Footnote 31] that
provide the procedures to guide the tester in executing and managing
the tests. This document is intended to allow (1) software developers
to develop PIV middleware and card applications that can be tested
against the interface requirements specified in SP 800-73; (2) software
developers to develop tests that they can perform internally for their
PIV middleware and card applications during the development phase; and
(3) certified and accredited test laboratories to develop tests that
include the test suites specified in this document and that can be used
to test the PIV middleware and card applications for conformance to SP
800-73.
NIST SP 800-87, Codes for the Identification of Federal and Federally
Assisted Organizations, October 2005:
SP 800-87 outlines the organizational codes necessary to establish the
unique cardholder identifier numbers.
[End of section]
Appendix III: Comments from the Office of Management and Budget:
EXECUTIVE OFFICE OF THE PRESIDENT:
OFFICE OF MANAGEMENT AND BUDGET:
WASHINGTON, D.C. 20503:
January 6, 2006:
Ms. Linda D. Koontz:
Director:
Information Management Issues:
Government Accountability Office:
441 G Street, SW:
Washington, DC 20548:
Dear Ms. Koontz:
Thank you for the opportunity to comment on Government Accountability
Office's (GAO's) draft report titled "Electronic Government: Agencies
Face Challenges in Implementing New Federal Employee Identification
Standard" (GAO-06-178).
We appreciate GAO's effort to determine the extent to which selected
agencies have taken actions to implement the Federal Information
Processing Standard (FIPS) 201 and your analysis of the challenges
facing the Federal government during implementation. While agencies are
implementing their plans and taking the necessary steps to address many
of the challenges, we acknowledge much more work must be done in order
to be successful. Over the next year, we face a number of challenges in
the areas of testing and acquiring commercial products and ensuring
approved products are available in time for agency implementation.
I am pleased to report the recent progress made in the area of
biometrics. On December 15, 2005, the National Institute of Standards
and Technology (NIST) posted Draft NIST Special Publication 800-76,
"Biometric Data Specification for Personal Identity Verification." This
progress ensures compliant identification cards using biometric
technology will be available in time to meet the Federal government's
upcoming deadlines. We suggest the draft report be updated to reflect
this progress.
In the draft report, GAO made two recommendations to the Office of
Management and Budget (OMB). They are as follows:
1. The Director of OMB should take steps to closely monitor agency
implementation progress and key activities. As required by the
Directive, OMB will continue to oversee agency implementation using our
numerous management and budget tools to ensure compliance.
2. OMB should amend or supplement government-wide policy guidance
regarding compliance with the HSPD-12 standard. We disagree with GAO's
assertion that our guidance is "incomplete." Our guidance provides the
appropriate balance between the need to aggressively implement the
President's deadlines while ensuring agencies have the flexibility to
implement Directive based on the level of risk their facilities and
information systems present.
The Federal government operates a wide variety of information systems
and facilities. Any guidance developed by OMB could neither properly
nor appropriately address every type of situation. It does not make
sense to treat a remote location in Wyoming the same as a government
office building in Washington D.C. In your draft report, you mention
there is no consistent guidance for volunteers and unpaid researchers.
Given that agencies operate in a wide variety of situations, it is
extremely important for the head of the agency to say whether a
volunteer cleaning up campsites at Yellowstone National Park should be
handled the same way as a volunteer who is filing Social Security
Administration records. We firmly believe departments and agencies
should have flexibility to make these determinations on the basis of
the risks they face. While it may appear to promote uniformity to
attempt to provide guidance on how to implement HSPD-12 in every single
situation, this approach will not ensure facilities and information
systems are appropriately secured in a manner balancing cost and risk.
Your draft report requested OMB to provide specific deadlines by which
agencies implementing transitional smart card systems are to meet the
"end-point" specification, thus allowing for interoperability of smart
card. As reported by NIST, both interfaces share the same data content
and format requirements, thus interoperability may not be a concern.
OMB will be in a better position to comment on this recommendation once
the first round of products have completed conformance testing and we
have a better understanding if interoperability is a concern.
Thank you for the opportunity to review and comment on your draft
report on this important issue.
Sincerely,
Signed by:
Karen S. Evans:
Administrator for E-Government and Information Technology:
Office of Management and Budget:
[End of section]
Appendix IV: Comments from the General Services Administration:
GSA:
GSA Office of Governmentwide Policy:
JAN 06 2005:
Ms. Linda D. Koontz:
Director, Information Management Issues:
General Accounting Office:
441 G Street NW.
Washington DC 20548:
Dear Ms. Koontz:
We appreciate the opportunity to provide comments to the General
Accounting Office (GAO) draft report GA)-06-178 "ELECTRONIC GOVERNMENT:
Agencies Face Challenges in Implementing New Federal Employee
Identification Standard". We agree that the Federal Government faces
major challenges in the governmentwide implementation of Homeland
Security Presidential Directive 12. There has never been such a broad
directive in establishing identity management and security standards
and requirements for systems' interoperability on a governmentwide
basis. We have seen extraordinary efforts by multiple Federal agencies
to work collaboratively to meet the mandates of the Presidential
Directive. These efforts have produced the Personal Identity
Verification Standard for the Federal Government and associated
technical specifications and implementation guidance in incredibly
short timeframes. This alone is a major accomplishment. However, the
Presidential Directive also calls for the deployed systems and
credentials to interoperate in supporting authentication for both
physical and logical access. This will require product and systems
testing and integration on an enormous scale. While there are huge
benefits within and external to the Federal Government to such an
undertaking, there are certainly major challenges for all agencies and
industry partners to meet mandated implementation timeframes and
objectives.
As a general comment, we believe that the report is well written and
accurate. However, we are doubtful that uninitiated readers will fully
comprehend the full impacts and scale in implementing the Presidential
Directive. In order for readers of this report to truly understand the
scope and scale of the governmentwide effort mandated by the
Presidential Directive, we recommend that the GAO report provide as
background the context of the current state of identity management
systems across government and industry (e.g., current stand-alone
systems, no common standards, no interoperability across systems, no
industry inter-operability testing) and the impacts of "end-state"
compliance with the Presidential Directive and the resulting increase
to governmentwide security and systems' interoperability.
We are providing specific comments to the draft audit as an enclosure.
Any questions should be directed to Mary Mitchell, Deputy Associate
Administrator, Office of Technology Strategy, at 202-501-0202.
Sincerely,
Signed by:
John G. Sindelar:
Acting Associate Administrator:
Enclosure:
[End of section]
Appendix V: Comments from the Department of Commerce:
THE DEPUTY SECRETARY OF COMMERCE:
Washington, D.C. 20230:
January 11, 2006:
Ms. Linda Koontz:
Director, Information Management Issues:
Government Accountability Office:
441 G Street NW, Room 4T21:
Washington, D.C. 20548:
Dear Ms. Koontz:
Thank you for the opportunity to review and comment on the draft
Government Accountability Office (GAO) report entitled "Electronic
Government: Agencies Face Challenges in Implementing New Federal
Employee Identification Standard" (GAO-06-178).
Overall, the draft report is fair and balanced. There are, however, two
areas that we believe should be revised in light of information
provided in the enclosure. These areas include the card interface
characteristics reported by the Department of Defense to GAO, and the
status of the Biometrics Interface Specification [National Institute of
Standards and Technology Special Publication 800-76]. Since the
initiation of the draft report there has been significant progress in
biometrics standards development that has led to a change to the
context for the report's recommendations.
We are looking forward to receiving your final report. Please contact
Steve Willett on (301) 975-8707, should you have any questions
regarding this response.
Sincerely yours,
Signed by:
David A. Sampson:
Enclosure:
[End of section]
Appendix VI: Contacts and Staff Acknowledgments:
GAO Contact:
John de Ferrari, (202) 512-6335:
Staff Acknowledgments:
In addition to the person named above, Devin Cassidy, Derrick Dicoi,
Neil Doherty, Sandra Kerr, Steven Law, Shannin O'Neill, and Amos
Tevelow.
[End of section]
Glossary:
Application programming interface:
The interface between the application software and the application
platform (i.e., operating system), across which all services are
provided.
Authentication:
The process of confirming an asserted identity with a specified or
understood level of confidence.
Authorization:
The granting of appropriate access privileges to authenticated users.
Biometrics:
Measures of an individual's unique physical characteristics or the
unique ways that an individual performs an activity. Physical
biometrics include fingerprints, hand geometry, facial patterns, and
iris and retinal scans. Behavioral biometrics include voice patterns,
written signatures, and keyboard typing techniques.
Biometric template:
A digital record of an individual's biometric features. Typically, a
"livescan" of an individual's biometric attributes is translated
through a specific algorithm into a digital record that can be stored
in a database or on an integrated circuit chip.
Card edge:
The set of command and response messages that allow card readers to
communicate effectively with the chips embedded on smart cards.
Certificate:
A digital representation of information that (1) identifies the
authority issuing the certificate; (2) names or identifies the person,
process, or equipment using the certificate; (3) contains the user's
public key; (4) identifies the certificate's operational period; and
(5) is digitally signed by the certificate authority issuing it. A
certificate is the means by which a user is linked--"bound"--to a
public key.
Confidentiality:
The assurance that information is not disclosed to unauthorized
entities or computer processes.
Contactless smart card:
A smart card that can exchange information with a card reader without
coming in physical contact with the reader. Contactless smart cards use
13.56 megahertz radio frequency transmissions to exchange information
with card readers.
Credential:
An object such as a smart card that identifies an individual as an
official representative of a government agency.
Digital signature:
The result of a transformation of a message by means of a cryptographic
system using digital keys such that a relying party can determine (1)
whether the transformation was created using the private key that
corresponds to the public key in the signer's digital certificate and
(2) whether the message has been altered since the transformation was
made. Digital signatures may also be attached to other electronic
information and programs so that the integrity of the information and
programs may be verified at a later time.
Electronic credentials:
The electronic equivalent of a traditional paper-based credential--a
document that vouches for an individual's identity.
Identification:
The process of determining to what identity a particular individual
corresponds.
Identity:
The set of physical and behavioral characteristics by which an
individual is uniquely recognizable.
Identity proofing:
The process of providing sufficient information, such as identity
history, credentials, and documents, to facilitate the establishment of
an identity.
Interoperability:
The ability of two or more systems or components to exchange
information and to use the information that has been exchanged.
Middleware:
Software that allows applications running on separate computer systems
to communicate and exchange data.
Minutiae:
Key data points--especially ridge bifurcations and end lines--within an
individual's fingerprint that can be extracted and used to match
against the same individual's live fingerprint.
Online certificate status protocol:
A communications protocol that is used to determine whether a public
key certificate is still valid or has been revoked or suspended.
Personal Identity Verification (PIV) card:
A smart card that contains stored identity credentials--such as a
photograph, digital certificate and cryptographic keys, or digitized
fingerprint representations--that is issued to an individual so that
the claimed identity of the cardholder can be verified against the
stored credentials by another person or through an automated process.
PIV issuer:
An accredited and certified organization that procures FIPS 201
compliant blank smart cards, initializes them with appropriate software
and data elements for the requested identity verification and access
control application, personalizes the cards with the identity
credentials of the authorized cardholders, and delivers the
personalized cards to the authorized cardholders along with appropriate
instructions for protection and use.
PIV registrar:
An entity that authenticates an individual's identity applying for a
PIV card by checking the applicant's identity source documents through
an identity proofing process, and to ensures that a proper background
check was completed before the credential and the PIV card is issued to
the individual.
Privacy:
The ability of an individual to control when and on what terms his or
her personal information is collected, used, or disclosed.
Public key infrastructure (PKI):
A system of hardware, software, policies, and people that, when fully
and properly implemented, can provide a suite of information security
assurances--including confidentiality, data integrity, authentication,
and nonrepudiation--that are important in protecting sensitive
communications and transactions.
Risk:
The expectation of loss expressed as the probability that a particular
threat will exploit a particular vulnerability with a particular
harmful result.
Smart card:
A tamper-resistant security device--about the size of a credit card--
that relies on an integrated circuit chip for information storage and
processing.
Standard:
A statement published by organizations such as NIST, Institute of
Electrical and Electronics Engineers, International Organization for
Standardization, and others on a given topic--specifying the
characteristics that are usually measurable, and must be satisfied in
order to comply with the standard.
(310733):
FOOTNOTES
[1] Interoperability is the ability of two or more systems or
components to exchange information and to use the information
exchanged.
[2] Smart cards are plastic devices--about the size of a credit card--
that use integrated circuit chips to store and process data, much like
a computer. This processing capability distinguishes these cards from
traditional magnetic stripe cards, which cannot process or exchange
data with automated information systems.
[3] A biometric measures a person's unique physical characteristics
(such as fingerprints, hand geometry, facial patterns, or iris and
retinal scans) or behavioral characteristics (voice patterns, written
signatures, or keyboard typing techniques) and can be used to recognize
the identity, or verify the claimed identity, of an individual.
[4] The term "smart card" also may be used to refer to cards with a
computer chip that store information but do not provide any processing
capability. Such cards, known as stored-value cards, are widely used
for services such as prepaid telephone service or satellite television
reception.
[5] For more information about biometrics, see GAO, Technology
Assessment: Using Biometrics for Border Security, GAO-03-174
(Washington, D.C.: Nov. 15, 2002).
[6] PKI is a system of computers, software, and data that relies on
certain cryptographic techniques for some aspects of security. For more
information, see GAO, Information Security: Advances and Remaining
Challenges to Adoption of Public Key Infrastructure Technology, GAO-01-
277 (Washington, D.C.: Feb. 26, 2001).
[7] For more information about previous smart card efforts, see GAO,
Electronic Government: Progress in Promoting Adoption of Smart Card
Technology, GAO-03-144 (Washington, D.C.: Jan. 3, 2003).
[8] The Federal Enterprise Architecture is intended to provide a
governmentwide framework to guide and constrain federal agencies'
enterprise architectures and information technology investments.
[9] GAO, Electronic Government: Federal Agencies Continue to Invest in
Smart Card Technology, GAO-04-948 (Washington, D.C.: Sept. 2004).
[10] In August 2005, OMB issued additional guidance to agencies
clarifying which elements of the standard needed to be implemented by
October 27, 2005.
[11] NIST's SP 800-79, Guidelines for the Certification and
Accreditation of PIV Card Issuing Organizations describes a set of
attributes that should be exhibited by a PIV Card Issuer in order to be
accredited. The guidelines should be used by each agency for assessing
the reliability of any organization providing its PIV card issuing
services.
[12] In its August memorandum, OMB modified this requirement to state
that if a National Agency Check is not completed within 5 days, the
identity credential can be issued based solely on a FBI National
Criminal History Check (fingerprint check).
[13] The PIV assurance levels are (a) some confidence, (b) high
confidence, and (c) very high confidence in authenticating the identity
of PIV cardholders. For example, authentication mechanisms such as
biometric and PKI technology could be implemented to provide a high or
very high confidence level of assurance for physical access to federal
facilities.
[14] NIST, Interfaces for Personal Identity Verification, Special
Publication 800-73 (April 2005).
[15] The specific requirements for the first part of the standard (PIV-
I) are outlined earlier in this report.
[16] This is a security system utilizing cards with embedded radio
frequency technology.
[17] Corsec Security, Inc., provides consulting services to companies
that are aiming to certify their products as being FIPS 140-2
compliant.
[18] According to the Smart Card Alliance, it is a not-for profit,
multi-industry association working to influence standards that are
relevant to smart card adoption and implementation, maintain a voice in
public policy that affects smart card adoption and implementation,
serve as an educational resource to its members and the industry, and
provide a forum for discussions and projects on issues surrounding
smart cards.
[19] NIST, Interfaces for Personal Identity Verification, Special
Publication 800-73 (April 2005).
[20] Agencies are not required to implement biometric authentication at
all facilities. Instead, each agency must make a risk-based decision to
determine where it will require the use of biometrics.
[21] NIST, Biometric Data Specification for Personal Identity
Verification, Special Publication 800-76 (Draft, December 2005).
[22] FIPS 201 defines three levels of assurance for identity
authentication supported by the PIV card, such as the card holder
unique identification number, biometrics, and PKI. Each assurance level
refers to the degree of confidence established in the identity of the
PIV card holder.
[23] In response to the Clinger-Cohen Act and other statutes, OMB
developed section 300 ("business case") of Circular A-11, which
provides policy for planning, budgeting, acquisition, and management of
federal capital assets. This reporting mechanism, as part of the budget
formulation and review process, is intended to enable an agency to
demonstrate to its own management, as well as OMB, that it has employed
the disciplines of good project management, developed a strong business
case for the investment, and met other administration priorities in
defining the cost, schedule, and performance goals proposed for the
investment.
[24] GAO-03-144 and GAO-04-948.
[25] Interoperability is defined as the use of PIV identity
credentials, such that client-application programs, compliant card
applications, and compliant integrated circuit cards can be used
interchangeably by all information processing systems across the
federal government.
[26] Certification is a formal process of assessing the attributes of a
PIV credential issuer to verify that the issuer is reliable and capable
of enrolling approved applicants and issuing PIV cards. Accreditation
is the official management decision of a Designated Accreditation
Authority to authorize the operation of a PIV credential issuer after
determining that the issuer's reliability has been established through
appropriate assessment and certification processes.
[27] The use of SP 800-79 for accrediting the reliability of a PIV
credential issuer and accrediting the security of computer systems used
by the PIV credential issuer need to follow the guidance in SP 800-37,
Guide for Security Certification and Accreditation of Federal
Information Systems, May 2004; and SP 800-53, Recommended Security
Controls for Federal Information Systems, February 2005.
[28] Cryptography is the transformation of ordinary data (commonly
referred to as "plaintext") into a code form (ciphertext) and back into
plaintext using a special value known as a key and a mathematical
process called an algorithm. Cryptographic techniques are used in
public key infrastructure systems to generate and manage electronic
"certificates," which link an individual or entity to a given public
key.
[29] GAO-01-277.
[30] Middleware is software that allows software applications running
on separate computer systems to communicate and exchange data. In this
case, middleware allows external software applications to interact with
applications on a smart card.
[31] Test assertions are statements of behavior, action, or condition
that can be measured or tested.
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