Federal Public Key Infrastructure (FPKI) Annual Review … - dfas tri annual review guide

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Federal Public Key Infrastructure (FPKI)
Annual Review Requirements
Version 1.2
May 6, 2022
Revision History
Document Version Document Date Revision Details
1.0 April 11, 2017 Initial Release
1.1 September 29, 2021 Minor update to correct annual review submission email
address
1.2 May 6, 2022 Document updated to:
Reorganize related topics
Remove redundant or out of scope items
Reorganize and expand Appendices
2
Table of Contents
1. Introduction 5
1.1. Scope 5
1.2. Audience 5
1.3. Participant Responsibilities 5
1.3.1 Entity Responsibilities 5
1.3.2 Auditor Responsibilities 5
1.3.3 FPKIPA Responsibilities 6
1.4. Package Submission 6
2. Types of Entities 7
2.1. Shared Service Providers (SSPs) 7
2.2. Affiliate PKI 7
2.3. PKI Bridges 8
3. Annual Review Package Elements 9
3.1. Assertion of Scope 9
3.2. Architectural Overview 9
3.3. CA Inventory and Certificate Statistics 10
3.4. Current Policy and Practices Documents 10
3.5. Registration Authority Agreement 11
3.6. Audit Letter(s) 11
3.7. Audit Issues and Audit Remediation Plan 11
3.8. Certificate Artifacts for Interoperability Testing 12
3.9. PIV and PIV-I Card Issuer Configurations 12
3.10. Bridge Governance Documents 13
4. Submission Artifact Summary 14
5. Annual PKI Audit Requirements 15
5.1. Audit Methodology 15
5.1.1 Documentation Review 15
5.1.2 Use of Sampling 15
5.2. Types of Audit 16
5.2.1 Full Operational Audit 16
5.2.2 Day-Zero Audit 16
5.2.3 Special Provisions associated with a WebTrust for CA 16
Appendix A: FPKI Member Continuous Maintenance Requirements 17
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What is a classification line in DFAs? CLASSIFICATION Affix full line of accounting classi - fication that is funding the ex- penditure (see DFAS-IN 37-100 for specific de- tails). NOTE: The Miscellaneous Payments SOP is not to be used as a reference in cre- ating the account - ing classification).

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