1. This presentation was prepared by Georgia Tech Research Institute using Federal funds under award 70NANB13H189 from National Institute of Standards and Technology, U.S. Department of Commerce. The statements, findings, conclusions, and recommendations are those of the author(s) and do not necessarily reflect the view of the National Institute of Standards and Technology or U.S. Department of Commerce.

2. A Perspective from the LE Community Desire to share data across jurisdictions Law Enforcement COI has over 1 million people in the US alone 18,000 US LE agencies LE agencies are autonomous (NOT centrally funded) LE agencies are autonomous (NOT centrally funded) Trust between agencies is a fundamental requirement But must obey applicable access controls when sharing Includes trusted transactions with private sector participants. Federal Agencies State Agencies Local Agencies Public Sector Public Sector Task Forces Fusion Centers LE agencies are highly heterogeneous with legacy investments Legitimate business need to interact with many other COIs Desire to reuse their existing credentials if possible 2

3. Global Information Sharing FACA Program started in 2005 Funded by DOJ, DHS, & PM-ISE, others The need for standards, profiles, reference implementations, conformance testing, technical assistance. Complete standards-based solution to federated ID and authorization Continued evolution and maturation based on operational experience and new technologies 3

4. National Identity Exchange Federation (NIEF) Objectives Share user identity and attribute information for authentication, identification, authorization, auditing Share agency and resource metadata information Provide onramp and roadmap other relevant ICAM initiatives Provide an operational trust framework for doing the above Educate and provide technical assistance Established in 2008 as an outgrowth of the Global Federated Identity and Privilege Management (GFIPM) Initiative with a focus on justice and public safety agencies at the federal, state, and local level. Today, NIEF is beginning to expand support other communities of interest. 4

5. NIEF As a Trust Framework Technical Interoperability Technical Trust & Crypto COI Attribute Vocabulary Legal Agreement Certificate Policy Audit Policy End-User Privacy Policy Membership Lifecycle Policy Bona Fides Policy 5

6. NIEF Onboarding and Trust Fabric Common Artifacts Application Form Authority to Operate Doc(s) Local Security Policy FIPS 200 Checklist IDPO Artifacts Signed IDPO Agreement Local User Agreement Local User Vetting Policy IDPO Attribute Map IDP Implementation Doc Form Publish 6

7. Scaling Challenges 7

8. Achieving Cross-Framework Trust ISE A IDP AP RP IDP RP Federation B Federation B IDP AP RP IDP RP Community of Interest C Community of Interest C IDP AP RP IDP RP Suppose this user needs access to this RP. ID Trust Framework A ID Trust Framework B ID Trust Framework C 8

9. Challenges with “Inter-federation” Federation IDP RP Federation IDP RP 1. No two TFs are the same, so mapping trust and interop requirements between them is hard. Think protocols, attributes, policies, etc. Why? 2. TFs are moving targets, which further complicates the mapping process. 3. Transitive trust is diluted trust, so inter-federation trust cannot be as strong as intra-federation trust. 4. Contractual obligations usually cannot be transferred or assigned to 3 rd parties, which makes inter-federation legal agreements difficult or impossible to execute. (Many other issues exist.) 9

10. Our Approach: Componentization …then we get: If the frameworks were modular… Greater transparency of trust framework requirements Greater ease of comparability between frameworks Greater potential for reusability of framework components Greater potential for participation in multiple trust frameworks by ID Ecosystem members with incremental effort and cost And, most importantly: ID Trust Framework B ID Trust Framework A NIST 800-63 LOA 3 NIST 800-63 LOA 3 OAuth ID Trust Framework C FIPS 200 FICAM SAML SSO FIPPs OpenID 10

11. A Trustmark Framework ID Trust Framework B ID Trust Framework A NIST 800-63 LOA 3 NIST 800-63 LOA 3 ID Trust Framework C FICAM SAML SSO FIPPs OAuth OpenID FIPS 200 These modular components are called Trustmarks. Think of trustmarks as mini reusable certifications. These modular components are called Trustmarks. Think of trustmarks as mini reusable certifications. 11

12. FICAM SAML SSO Profile NIST 800-63 / FICAM LOA 3 Identity Fair Information Practice Principles (FIPPs) FIPS 200 Security Practices GFIPM Metadata Registry (User Attributes) Scope of Trustmarks Trustmark Policies & Trustmark Agreements 12

13. Bundling of Components for Business Context Components COI A Federation B Trust Framework C Privacy Security Interoperability Legal Business Continuity Personnel Other Component Types (Examples) 13

14. A Trustmark-Based Ecosystem IDP AP RP IDP AP RP IDP RP IDP RP IDP RP AP IDP ID Trust Framework B ID Trust Framework A ID Trust Framework C Existing Trust Frameworks could be expressed as a set of components called a TIP. Trust Interoperability Profile B Trust Interoperability Profile A Trust Interoperability Profile C 14

15. A Trustmark-Based Ecosystem IDP AP RP IDP AP RP IDP RP IDP RP IDP RP AP IDP Then each member of the community can acquire the necessary Trustmarks based on the TIP. TIP B TIP A TIP C Trustmarks can be acquired through a Trustmark Provider. Trustmark Provider There can be many Trustmark Providers in the ID Ecosystem. Trustmark Provider 15

16. A Trustmark-Based Ecosystem IDP AP RP IDP AP RP IDP RP IDP RP IDP RP AP IDP Trustmarks can be stored in a searchable Trustmark Registries or shared directly with partners. TIP B TIP A TIP C Trustmark Registry IDP X: RP Y: Etc. Trustmark Registry IDP X: RP Y: Etc. Trustmark Registry IDP X: RP Y: Etc. 16

17. Roles and Responsibilities of the Actors Stakeholder Community Requirements Defines Complying Party Complying Party Interested Parties Listing, Certification, Audit Letter, Etc. Listing, Certification, Audit Letter, Etc. Is Used By Is Required By Is Trusted By Requirements Assessor Is Relied on By Issues

18. Trustmark Defining Organization Stakeholder Community Trustmark Definition Is Represented By Defines Trustmark Recipient Trustmark Relying Parties Org. 1 Org. 2 End User Trust Interop Profile Trustmark A Trustmark B Trustmark C Is Used By Is Required By Is Trusted By Trustmark Provider Is Required By Issues The Trustmark Framework Normative Specs Required

19. Trustmark Definitions Metadata: Publisher: U.S. General Services Administration Name: NIST/FICAM LOA 2 IDPO TD URL: Description and Intended Purpose: … Target Stakeholder Audience: … Date of Publication: 15 Apr 2014 Version: 1.0 Visual Icon: Metadata: Publisher: U.S. General Services Administration Name: NIST/FICAM LOA 2 IDPO TD URL: Description and Intended Purpose: … Target Stakeholder Audience: … Date of Publication: 15 Apr 2014 Version: 1.0 Visual Icon: Conformance Criteria: Conformance to the Identity Provider Organization (IDPO) conformance target of this TD requires the following. 1.The IDPO MUST … 2.The IDPO MUST … 3.The IDPO MAY … 4.… Conformance Criteria: Conformance to the Identity Provider Organization (IDPO) conformance target of this TD requires the following. 1.The IDPO MUST … 2.The IDPO MUST … 3.The IDPO MAY … 4.… Assessment Process: Before issuing a trustmark subject to this TD, a Trustmark Provider MUST complete the following assessment steps. 1.The TP MUST … 2.The TP MUST … 3.The TP MUST … Assessment Process: Before issuing a trustmark subject to this TD, a Trustmark Provider MUST complete the following assessment steps. 1.The TP MUST … 2.The TP MUST … 3.The TP MUST … Certification as a Trustmark Provider: Before an entity may issue trustmarks subject to this TD, it MUST complete the following certification process. 1.The entity MUST … 2.The entity MUST … 3.The entity MUST … Certification as a Trustmark Provider: Before an entity may issue trustmarks subject to this TD, it MUST complete the following certification process. 1.The entity MUST … 2.The entity MUST … 3.The entity MUST … Trustmark Extension Schema: Trustmarks issued subject to this TD MUST conform to the Trustmark Base Schema, and MUST also conform to the following Trustmark Extension Schema. Trustmark Extension Schema: Trustmarks issued subject to this TD MUST conform to the Trustmark Base Schema, and MUST also conform to the following Trustmark Extension Schema. XSD XML ?

20. Sample Trustmark Definition https://trustmark.gtri.gatech.edu/operational-pilot/trustmark-definitions/

21. Example Conformance Criteria: Registration and Issuance 21

22. Example Assessment Steps: Registration and Issuance 22

23. Trust Interoperability Profile (TIP): Bundling Trustmarks for Business Context Metadata: Publisher: U.S. Dept. of Justice URL: Name: U.S. Law Enforcement Community Info Sharing TIP Description and Intended Purpose: … Date of Publication: 15 Jun 2014 Version: 1.0 Digital Signature of Issuer: Metadata: Publisher: U.S. Dept. of Justice URL: Name: U.S. Law Enforcement Community Info Sharing TIP Description and Intended Purpose: … Date of Publication: 15 Jun 2014 Version: 1.0 Digital Signature of Issuer: Trust and Interoperability Criteria: Identity Provider Organization (IDPO) Trustmark Requirements: Service Provider Organization (SPO) Trustmark Requirements: Trust and Interoperability Criteria: Identity Provider Organization (IDPO) Trustmark Requirements: Service Provider Organization (SPO) Trustmark Requirements: XML TrustmarkRequirementApproved Trustmark Providers FICAM SAML SSO IDP MUST HAVENIEF or IJIS NIEF/FICAM LOA 2 IDPO MUST HAVENIEF or Kantara NIEF Attribute Profile IDPO MUST HAVE(ANY) XYZ Privacy Policy IDPO SHOULD HAVE(ANY) TrustmarkRequirementApproved Trustmark Providers FICAM SAML SSO SP MUST HAVENIEF or IJIS NIEF Attribute Profile SPO MUST HAVE(ANY) XYZ Privacy Policy SPO MUST HAVE(ANY)

24. Trustmark Assessment Tool Process Flow Trustmark Assessment Tool Database Trustmark Assessment Tool Registration and Issuance Requirements TD Registration and Issuance Requirements TD Trustmark Provider Trustmark Recipient Candidate Trustmark Definitions 1. Load TDs into Assessment Tool 2. Receive request for trustmark from Trustmark Recipient Candidate 3. Perform assessment of Trustmark Recipient Candidate 4. Store assessment artifacts / evidence in database 5. Issue trustmark to Trustmark Recipient

25. Sample Screen Shot from Trustmark Assessment Tool

26. Trustmark Binding Trustmark 1 Trustmark 2 Trustmark N Endpoint Metadata TM1 Attr TM2 Attr TMN Attr [3 rd Party] Issued Trustmarks Trustmark Relying Party (TRP) Trustmark Definition 1 Attribute Definition Trustmark Definition 2 Attribute Definition Trustmark Definition N Attribute Definition Other Attrs Trustmark Attributes expressed in Endpoint Metadata -We do this today in SAML -Metadata structure could be that of [OIDC Disc], [OIDC DCR], or [OAuth DCR] Trustmark Attribute values are URLs of locations of issued Trustmarks Trustmark Attributes defined by Trustmark Definitions

27. “Levels” of Trustmark Reliance Trustmark 1 Trustmark 2 Trustmark N Endpoint Metadata TM1 Attr TM2 Attr TMN Attr Trustmark Relying Party (TRP) Trustmark Definition 1 Attribute Definition Trustmark Definition 2 Attribute Definition Trustmark Definition N Attribute Definition Other Attrs 0. TRP does not have to rely on Trustmarks (backwards- compatibility). 1. TRP can check for presence of appropriate Trustmark Attributes according to TDs it cares about. 2. TRP can follow Trustmark links and verify Trustmark legitimacy and Binding legitimacy.

28. NIEF Trustmark Issuance and Binding NIEF Trust Fabric Registry NIEF Trust Fabric Registry NIEF Trustmark Assessment Processes Trustmark 1 Trustmark 2 Trustmark N NIEF Trust Fabric Entry Trustmark 1 Trustmark 2 Trustmark N Signed by NIEF NIEF Member Agency (Trustmark Recipient) NIEF Member Agency (Trustmark Recipient) Trustmark Assessment Tool Trust Fabric Entry Editor Trust Fabric Registry Manager Tool

29. NIEF Trustmark Usage by TRPs NIEF Trust Fabric Registry NIEF Trust Fabric Registry Trustmark Relying Party 1. Query for trust fabric entries with required trustmarks, in accordance with local TIP Trust Interoperability Profile (TIP) 2. Receive matching trust fabric entries 3. Install entries in local product

30. Trustmark Legal Framework Trustmark Provider Trustmark Recipient Trustmark Relying Party Trustmark Policy Trustmark Trustmark Recipient Agreement Trustmark Relying Party Agreement Explicit Relationship Explicit Relationship Implicit Relationship Explicit Reference

31. Development & Refinement of Trustmark Concept Technical Framework 1.0 https://trustmark.gtri.gatech.edu/specifications/trustmark- framework/1.0/https://trustmark.gtri.gatech.edu/specifications/trustmark- framework/1.0/ NIEF Trustmark (Component) Definitions (62) https://trustmark.gtri.gatech.edu/operational-pilot/trustmark- definitions/https://trustmark.gtri.gatech.edu/operational-pilot/trustmark- definitions/ NIEF Trust Interoperability Profiles (10) https://trustmark.gtri.gatech.edu/operational-pilot/trust- interoperability-profiles/https://trustmark.gtri.gatech.edu/operational-pilot/trust- interoperability-profiles/ Development of Software Tools Trustmark Assessor Tool, Trust Fabric Registry, & Others Socialization of Trustmark Concept Trustmark Pilot Website: https://trustmark.gtri.gatech.eduhttps://trustmark.gtri.gatech.edu Conducting Operational Pilots Progress to Date

32. Some Trustmark Pilot Participants

33. https://trustmark.gtri.gatech.edu To Learn More…