ISO/IEC TS 29003:2018

Information technology — Security techniques — Identity proofing

ISO/IEC TS 29003:2018: ? gives guidelines for the identity proofing of a person; ? specifies levels of identity proofing, and requirements to achieve these levels. ISO/IEC TS 29003:2018 is applicable to identity management systems.

Technologies de l'information — Techniques de sécurité — Vérification de l'identité

General Information

• Status: Published
• Publication Date: 14-Mar-2018
• ICS: 35.030 - IT Security
• ICS: 35.040 - Information coding
• Technical Committee: ISO/IEC JTC 1/SC 27 - Information security, cybersecurity and privacy protection
• Drafting Committee: ISO/IEC JTC 1/SC 27/WG 5 - Identity management and privacy technologies
• Current Stage: 9093 - International Standard confirmed
• Completion Date: 15-Nov-2021

Standards Content (Sample)

TECHNICAL ISO/IEC TS
SPECIFICATION 29003
First edition
2018-03
Information technology — Security
techniques — Identity proofing
Technologies de l'information — Techniques de sécurité —
Vérification de l'identité
Reference number
ISO/IEC TS 29003:2018(E)
©
ISO/IEC 2018

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ISO/IEC TS 29003:2018(E)

COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2018
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
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ISO/IEC TS 29003:2018(E)

Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms, definitions and abbreviated terms . 1
4 Identity proofing concepts . 3
4.1 Identity proofing . 3
4.2 Enrolment . 3
4.3 Proofing information . 3
4.4 Evidence of identity . 4
4.4.1 General. 4
4.4.2 Authoritative evidence. 5
4.4.3 Corroborative evidence . 5
4.5 Actors . 5
4.5.1 General. 5
4.5.2 Subject. 5
4.5.3 Proofing party . 5
4.5.4 Verifier . 5
4.6 Evidence of identity strength considerations . 6
4.7 Levels of identity proofing . 6
4.8 One identity per subject . 7
4.9 Deceased subjects. 8
5 Requirements for identity proofing . 8
5.1 Identity proofing policy . 8
5.2 Determining the level of identity proofing . 8
5.3 Identity is unique . 9
5.4 Existence of identity in evidence . 9
5.5 Identity is bound to a subject .10
Annex A (informative) Evidence of identity and binding examples .11
Annex B (informative) Contra-indications and fraud detection .17
Bibliography .21
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ISO/IEC TS 29003:2018(E)

Foreword
ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
Commission) form the specialized system for worldwide standardization. National bodies that are
members of ISO or IEC participate in the development of International Standards through technical
committees established by the respective organization to deal with particular fields of technical
activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international
organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the
work. In the field of information technology, ISO and IEC have established a joint technical committee,
ISO/IEC JTC 1.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for
the different types of document should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject
of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent
rights. Details of any patent rights identified during the development of the document will be in the
Introduction and/or on the ISO list of patent declarations received (see www .iso .org/ patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following
URL: www .iso .org/ iso/ foreword .html.
This document was prepared by Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 27, Security techniques.
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ISO/IEC TS 29003:2018(E)

Introduction
An International Standard for identity proofing of natural persons is required, to which other identity
management standards can refer.
A large and increasing number of industry and government organizations seek an international identity
proofing standard. This document enables interoperability and federated trust for the purposes of
digital economies and societies, and support international cyber assurance across supply chains and
global commons.
This document relates to: the ISO/IEC 24760 series which specifies a general framework for identity
management, including a life cycle for identity information; and ISO/IEC 29115, which specifies levels
of assurance for entity authentication. These standards focus primarily on the policy and technical
standards for the issuance and operation of identity management and access management systems,
which come after the process of enrolment. The use of these standards can benefit from a standard for
identity proofing of persons.
This document is intended to be used by any entity that performs identity proofing, such as described
in ISO/IEC 29115 and/or the ISO/IEC 24760 series.
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TECHNICAL SPECIFICATION ISO/IEC TS 29003:2018(E)
Information technology — Security techniques — Identity
proofing
1 Scope
This document:
— gives guidelines for the identity proofing of a person;
— specifies levels of identity proofing, and requirements to achieve these levels.
This document is applicable to identity management systems.
2 Normative references
There are no normative references in this document.
3 Terms, definitions and abbreviated terms
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
application
process whereby information to be used for identity (3.9) proofing of a subject (3.15) is provided
3.2
authoritative evidence
evidence that holds identifying attribute(s) (3.8) that are managed by an authoritative party (3.3)
Note 1 to entry: This is one type of evidence of identity.
Note 2 to entry: Authoritative evidence for a particular identifying attribute can be only corroborative evidence
for another.
3.3
authoritative party
entity that has the recognized right to create or record, and has responsibility to directly manage, an
identifying attribute (3.8)
Note 1 to entry: Jurisdiction(s) and/or industry communities sometimes nominate a party as authoritative. It is
possible that such a party is subject to legal controls.
3.4
context
environment with defined boundary conditions in which subjects (3.15) exist and interact
[SOURCE: ITU-T X.1252 (4/2010), 6.20, modified — entities has been replaced by subjects.]
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3.5
corroborative evidence
evidence that holds identifying attribute(s) (3.8) that are not managed by an authoritative party (3.3)
Note 1 to entry: It is possible that the identifying attributes in corroborative evidence are not as up-to-date or
accurate as those in authoritative evidence.
Note 2 to entry: This is one type of evidence of identity.
Note 3 to entry: Corroborative evidence for a particular identifying attribute can be authoritative evidence for
another.
3.6
credential
set of data presented as evidence of a claimed or asserted identity (3.9) and/or entitlements
[SOURCE: ISO/IEC 29115:2013, 3.8, modified — The Note has been deleted.]
3.7
evidence of identity
EOI
evidence that provides a degree of confidence that a subject (3.15) is represented by the identity (3.9)
being claimed
3.8
identifying attribute
attribute that contributes to uniquely identifying a subject (3.15) within a context
3.9
identity
set of attributes related to a person (3.12)
[SOURCE: ISO/IEC 24760-1:2011, 3.1.2, modified — “entity” has been replaced by “person” and the
Notes have been deleted.]
3.10
identity information
set of values of attributes optionally with any associated metadata in an identity (3.9)
[SOURCE: ISO/IEC 24760-1:2011, 3.2.4, modified — The Note has been deleted.]
3.11
level of identity proofing
LoIP
confidence achieved in the identity proofing
3.12
person
human being
3.13
proofing information
information collected for identity proofing
3.14
proofing party
entity that performs identity proofing of a subject (3.15)
3.15
subject
person (3.12) whose identity (3.9) is being proofed
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3.16
supporting attribute
attribute that is used in identity proofing but not as an identifying attribute (3.8)
4 Identity proofing concepts
4.1 Identity proofing
Identity proofing is the process to verify identifying attribute(s) to be entered into an identity
management system and to establish that the identifying attributes pertain to the subject to be enrolled.
Deploying an identity proofing function should include:
— documenting the policy for identity proofing, the processes conducted and the designated team or
person in charge of the process, known as the proofing policy maker;
— determining the context of the identity proofing, the defined boundary and conditions in which the
subject and their identity will interact;
— determining the identifying attributes that are needed to be collected and proofed;
— determining the supporting attributes that will be collected in order to carry out identity proofing;
— establishing the LoIP required by the subsequent enrolment process;
— implementing the infrastructure to deliver identity proofing.
Each identity proofing instance includes steps to:
— collect the proofing information;
— determine the veracity of the identifying attributes collected against objectives specified in Clause 5;
— determine that identifying attributes meet the required LoIP to be achieved;
— bind the subject to the claimed identifying attributes.
4.2 Enrolment
Enrolment is the process by which identity information is collected, verified and entered into an identity
management system. The design, implementation and operation of an identity proofing system should
also consider the ISO/IEC 24760 series and ISO/IEC 29115.
The enrolment process should record information including the outcome of identity proofing.
4.3 Proofing information
The proofing party collects proofing information which can include both identifying and supporting
attributes as shown in Table 1. Proofing information can be a subset of the information required for a
subject to receive services and/or credentials.
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Table 1 — Proofing information and attributes
Types of
Explanation Examples of attributes
attribute
Identifying One or more attributes that, when Pseudonym(s)
attributes combined, uniquely identifies the
Name(s)
subject in a context
Date of birth
Place of birth
A parent’s name at their birth
Biometric characteristic(s)
Address(es)
Phone number(s)
E-mail(s)
Time of birth (if known)
National identification number(s)
Supporting Attributes that contribute to identity Other names
attributes proofing
Relationships and associations
Reference numbers from EOI
Relevant information from EOI provided
NOTE Proofing information does not include eligibility or capability attributes. Any assessment of eligibility
or capability of a subject is potentially unreliable if the identity has not been proofed to the required LoIP. The
nature and accuracy of information collected to determine eligibility or capability (not identity) for a service
and/or credential is out of the scope of this document.
4.4 Evidence of identity
4.4.1 General
Evidence of identity is used during identity proofing to provide confidence that a subject has the
identity being claimed that is appropriate to a specific LoIP. An application can occur using a number
of channels (e.g. in-person, over the phone or online). The subject applies in order to receive services
and/or credentials, which determine the necessary LoIP. The LoIP requirements to be met for each of
the LoIP objectives are specified in Clause 5.
Evidence of identity can be either authoritative evidence or corroborative evidence. Evidence of identity
typically includes one or more of the following:
— proofing information provided by the subject;
— issued evidence containing or linking to subject proofing information;
— databases and registers containing subject proofing information;
— proofing information provided by other known sources.
Any evidence used by a proofing party during identity proofing is to contain proofing information
consistent with the application information and with the requirements set forth in Clause 5.
NOTE EOI can be provided in different types. It is possible that the level of identity proofing that can be
achieved depends on the type provided.
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4.4.2 Authoritative evidence
A subject can use various identifying attributes to create identities in different contexts. For each
identifying attribute, there can be authoritative evidence available. That is evidence recognized as
the point of truth for the identifying attribute, often characterized as being the very first instance of
identity establishment (i.e. the first identity proofing the person is the subject of) and/or controlled by
legislation.
Examples of national authoritative evidence are given in A.1.
4.4.3 Corroborative evidence
Where the proofing party does not have access to authoritative evidence for an identifying attribute
(or does not need to for the LoIP desired), the residual risk may be mitigated by verifying against
corroborative evidence. Where corroborative evidence stores identifying attributes from authoritative
evidence, the attributes are not recognized as authoritative.
Examples of national corroborative evidence are given in A.1.
4.5 Actors
4.5.1 General
Checking the evidence of identity involves relationships between subject, proofing party and potentially
a verifier. Evidence of identity performs a role in this process.
4.5.2 Subject
The subject or other applicant applies for the subject to undergo identity proofing by the proofing party.
An application may be made by either the subject of the application or a person acting on their behalf.
Identity proofing is carried out on the subject by the proofing party.
4.5.3 Proofing party
A proofing party establishes the validity of the claimed identifying attributes of the subject in
accordance with the LoIP required. Identity information verification is performed against evidence of
identity for each identifying attribute.
The proofing party chooses to:
— examine evidence of identity, which contains identifying attributes and, for each attribute,
determines whether to accept the attribute; or
— verify the presented identifying attributes with a service provider who has authorized access to the
evidence for this purpose. The service provider provides a response to the proofing party.
A proofing party that is carrying out identity proofing relies on the accuracy and integrity of the
proofing information in the evidence of identity to which it refers.
4.5.4 Verifier
A verifier is an entity, system, device or software that has the ability to answer a verification request
from a proofing party. They can include entities such as authoritative parties or other parties that
control evidence. The subject themselves can be a verifier if they can activate evidence to respond.
The response provided by the verifier does not necessarily include a verification judgement but can be
proofing information which enables the proofing party to make their judgement on whether successful
verification has occurred.
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4.6 Evidence of identity strength considerations
Unless the identity proofing event is the inaugural establishment of identity for the subject, some
evidence (documents, digital identities, etc.) can be the product of an earlier formal identity proofing
process. Registration of birth is an example of an inaugural event where there is no previous identity
proofing activity for the subject.
The proofing party should evaluate the earlier identity proofing event to determine the extent to which
the evidence can be accepted for the current identity proofing event and LoIP, and any further validation
that can be necessary.
Not all evidence of identity issued is able to be used in subsequent identity proofing outside the context
in which it was issued. It is possible that evidence does not contain any proofing information and/or
cannot be linked to proofing information that is externally accessible. Physical documents presented as
evidence of identity can include anti-tampering and anti-counterfeit features. Where appropriate and
practical, the verification of identity information in physical evidence of identity includes the checking
of the anti-tampering and anti-counterfeit features. Electronic forms of evidence of identity can be
obtained in a manner that tampering and counterfeiting can be detected.
The strength of the evidence includes these three aspects:
— the original identity proofing undertaken;
— the quality and robustness of the security measures to prevent tampering, counterfeiting and
forgery;
— the process used to issue it.
The number of evidence items required depends on the ability of the evidence of identity to meet the
identity proofing objectives. Where multiple pieces of evidence are required, additional strength can be
achieved by drawing the evidence of identity from the whole life of the subject.
4.7 Levels of identity proofing
The LoIP for an application is based on the extent to which the identity proofing objectives have been
met. The target LoIP is determined through an identity-related risk assessment of the subsequent
service and/or credential to be provided. This risk assessment is undertaken by the organization
providing the service and/or credential, and can contribute to the design and implementation of the
identity proofing function by the proofing party.
Table 2 describes each LoIP and the objectives that deliver the strength of each.
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Table 2 — Levels of identity proofing
LoIP Description Objective
Identity is unique within the context
and
Low confidence in the claimed or asserted
LoIP 1 there is an assumption the identity exists
identity
and
the subject is assumed to be bound to the identity
Identity is unique within the context
and
Moderate confidence in the claimed or
a
LoIP 2 moderately establish the identity exists
asserted identity
and
the subject has some binding to the identity
Identity is unique within the context
and
High confidence in the claimed or asserted
a
LoIP 3 strongly establish the identity exists
identity
and
the subject has a strong binding to the identity
a
The concept requires the values of the identifying attribute to match that of the evidence of identity.
NOTE As LoIP increases, requirements for processes to achieve some objectives become more stringent, as
specified in Clause 5.
Individual implementations of identity proofing processes will vary depending on the policy and
evidence of identity available to the subject and the proofing party. The reliability and accuracy of
the evidence will impact the LoIP that can be achieved. Where the identity-related risk is extreme, a
proofing party can achieve one or more objectives in multiple ways.
The LoIP is one element that contributes to the overall level of assurance, of entity authentication. For
more information on levels of assurance refer to ISO/IEC 29115.
LoIP requirements are defined by the entity handling the subsequent process, for example, enrolment or
credential management. This is in order to ensure that the risks involved are assessed and adequately
mitigated to address both the risks involved in making the determination to accept the identity, as well
as those inherent in the operation of the service.
4.8 One identity per subject
Depending on the context of the application for which the identity proofing is performed, it can be
necessary to ensure that each subject is only registered once, i.e. each subject has only one identity in
the context.
Possible controls to achieve this are:
— requiring documents or information from authoritative evidence which are known to be one-
per-person;
— comparing the subject’s biometric sample against other biometric samples in the context for
detecting and preventing duplication of a person. The biometric information collected should be
sufficient and effective for de-duplicating the identity.
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4.9 Deceased subjects
The proofing party needs to consider whether the subject is still living or is deceased. This is useful
in the detection of attempts to reuse the identities of deceased persons. If necessary, the verification
against authoritative evidence can be used to accomplish this task.
Where it is determined that the subject is deceased, and enrolment is still required, the relevant parts
of identity proofing should verify the legitimacy of the application and the applicant.
5 Requirements for identity proofing
5.1 Identity proofing policy
The proofing party shall perform identity proofing in accordance with a documented identity
proofing policy.
The identity proofing policy shall state, as a minimum:
— the LoIP(s) at which the identity proofing service is offered;
— the jurisdiction in which the identity proofing service operates and in which it is offered, and the
applicable legislation;
— the intended context for which identity proofing is being undertaken;
— whether identity proofing is in-person or remote;
— what identifying attributes applicants are required to provide;
— which evidence of identity (authoritative or corroborative) for the identifying attributes shall be
used, when verifying proofing information;
— what are the possible outcomes of the identity proofing operations;
— how the results of the proofing process will be communicated to the applicant or appropriate
parties;
— what records of the proofing processes will be retained, by whom and for how long, as determined
by the policy maker.
A proofing party’s identity proofing policy maker should publish its identity proofing policy. If
published, an identity proofing policy document shall be dated.
5.2 Determining the level of identity proofing
In order to achieve identity proofing at a specific LoIP, the process shall successfully prove both the
existence of identity at that LoIP and identity/subject binding at that target LoIP. Identity proofing
requires that each identity is unique in its context, see 5.3.
Table 3 shows how the resulting LoIP is determined.
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Table 3 — Determining level of identity proofing
Identity exists at LoIP 1 Identity exists at LoIP 2 Identity exists at LoIP 3
Identity is bound
LoIP 1 LoIP 1 LoIP 1
at LoIP 1
Identity is bound
LoIP 1 LoIP 2 LoIP 2
at LoIP 2
Identity is bound
LoIP 1 LoIP 2 LoIP 3
at LoIP 3
5.3 Identity is unique
The proofing party shall check the identifying attributes provided by the subject to evaluate the
duplication of those already managed for other subjects within the context. Any duplication detected
is resolved according to the identity proofing policy. Table 4 shows the minimum requirements for
identity uniqueness.
NOTE Duplication of identifying attributes can be determined either as full duplication of
...