ISO/IEC TS 20540:2018
(Main)Information technology — Security techniques — Testing cryptographic modules in their operational environment
Information technology — Security techniques — Testing cryptographic modules in their operational environment
This document provides recommendations and checklists which can be used to support the specification and operational testing of cryptographic modules in their operational environment within an organization's security system. The cryptographic modules have four security levels which ISO/IEC 19790 defines to provide for a wide spectrum of data sensitivity (e.g. low-value administrative data, million-dollar funds transfers, life-protecting data, personal identity information, and sensitive information used by government) and a diversity of application environments (e.g. a guarded facility, an office, removable media, and a completely unprotected location). This document includes: a) recommendations to perform secure assessing for cryptographic module installation, configuration and operation; b) recommendations to inspecting the key management system, protection of authentication credentials, and public and critical security parameters in the operational environment; c) recommendations for identifying cryptographic module vulnerabilities; d) checklists for the cryptographic algorithm policy, security guidance and regulation, security manage requirements, security level for each of the 11 requirement areas, the strength of the security function, etc.; and e) recommendations to determine that the cryptographic module's deployment satisfies the security requirements of the organization. This document assumes that the cryptographic module has been validated as conformant with ISO/IEC 19790. It can be used by an operational tester along with other recommendations if needed. This document is limited to the security related to the cryptographic module. It does not include assessing the security of the operational or application environment. It does not define techniques for the identification, assessment and acceptance of the organization's operational risk. The organization's accreditation, deployment and operation processes, shown in Figure 1, is not included to the scope of this document. This document addresses operational testers who perform the operational testing for the cryptographic modules in their operational environment authorizing officials of cryptographic modules.
Technologies de l'information — Techniques de sécurité — Test de modules cryptographiques dans leur environnement d'exploitation
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TECHNICAL ISO/IEC TS
SPECIFICATION 20540
First edition
2018-05
Information technology — Security
techniques — Testing cryptographic
modules in their operational
environment
Technologies de l'information — Techniques de sécurité — Test de
modules cryptographiques dans leur environnement d'exploitation
Reference number
ISO/IEC TS 20540:2018(E)
©
ISO/IEC 2018
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ISO/IEC TS 20540:2018(E)
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© ISO/IEC 2018
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ISO/IEC TS 20540:2018(E)
Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 2
4 Abbreviated terms . 5
5 Document organization . 5
6 Context of operational testing . 6
7 Cryptographic modules . 7
7.1 General . 7
7.2 Types of cryptographic modules . 7
7.2.1 General. 7
7.2.2 Software module . 8
7.2.3 Firmware module . 8
7.2.4 Hardware module . 8
7.2.5 Hybrid software module . 8
7.2.6 Hybrid firmware module . 8
7.3 Cryptographic module application environments . 8
7.4 Security products with cryptographic modules . 9
7.5 Security requirements for cryptographic modules .10
7.5.1 General.10
7.5.2 Security Level 1 .10
7.5.3 Security Level 2 .11
7.5.4 Security Level 3 .11
7.5.5 Security Level 4 .12
7.6 Life-cycle assurance of cryptographic modules .12
7.7 Cryptographic module security policy .12
7.7.1 General.12
7.7.2 Cryptographic module specification .13
7.7.3 Cryptographic module interfaces .13
7.7.4 Roles, services, and authentication .13
7.7.5 Software/firmware security .13
7.7.6 Operational environment .14
7.7.7 Physical security .14
7.7.8 Non-invasive security .14
7.7.9 Sensitive security parameters management.14
7.7.10 Self-tests .14
7.7.11 Life-cycle assurance .15
7.7.12 Mitigation of other attacks .15
7.8 Intended purpose of validated cryptographic modules .15
8 The application environment .16
8.1 Organizational security .16
8.2 Architecture of the application environment .16
9 The operational environment .17
9.1 Security requirements related to cryptographic modules for their operational
environment .17
9.1.1 General.17
9.1.2 Entropy sources .17
9.1.3 Audit mechanism .17
9.1.4 Physically unclonable function .17
9.2 Security assumptions for the operational environment .17
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ISO/IEC TS 20540:2018(E)
9.2.1 General.17
9.2.2 Security Level 1 .18
9.2.3 Security Level 2 .18
9.2.4 Security Level 3 .19
9.2.5 Security Level 4 .20
10 How to select cryptographic modules .21
10.1 General .21
10.2 Use policy .21
10.3 Cryptographic module assurance .23
10.4 Interoperability .23
10.5 Selection of security rating for SSP protection .23
11 Principles for operational testing .23
11.1 General .23
11.2 Assumptions .24
11.3 Operational testing activities .24
11.4 Competence for operational testers .25
11.5 Use of validated evidence .25
11.6 Documentation .25
11.7 Operational testing procedure .26
12 Recommendations for operational testing .26
12.1 General .26
12.2 Recommendations for assessing the installation, configuration, and operation of
the cryptographic module .26
12.2.1 General.26
12.2.2 Assessing installation of the cryptographic module .27
12.2.3 Assessing the configuration of the cryptographic module .27
12.2.4 Assessing the correct operation of the cryptographic module .29
12.3 Recommendations for inspecting a key management system .29
12.4 Recommendations for inspecting the security requirements of authentication
credentials .30
12.5 Recommendations for assessing the availability of cryptographic modules .31
12.6 Recommendations for identifying potential residual vulnerabilities of
cryptographic modules .31
12.7 Checking for the organization’s security policies .32
13 Reporting the results of operational testing .33
Annex A (informative) Examples of validated cryptographic modules lists .34
Annex B (informative) Checklist for operational testing of cryptographic modules .35
Bibliography .39
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ISO/IEC TS 20540:2018(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, IT Security techniques.
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ISO/IEC TS 20540:2018(E)
Introduction
In information technology, there is an ever-increasing need to use cryptographic mechanisms such as
the protection of data against unauthorized disclosure or manipulation, for entity authentication and
for non-repudiation. The security and reliability of such mechanisms are directly dependent on the
cryptographic modules in which they are implemented. Cryptographic modules are utilized within a
security system to protect sensitive information in their application environment.
The purpose of this document is to describe the recommendations and checklists which help in the
selection of cryptographic modules for deployment in a diversity of application environments. This
document is helpful for a user and operational tester to verify correct deployment in the application
environment.
Operational tests are performed to determine the suitability and proper usage of a cryptographic
module in its application environment.
Cryptographic modules and their application environments are generally complex. When cryptographic
modules are deployed in an operational environment, a minor error or mistake can affect the security
of the whole operational and application environment. It is important to perform operational tests to
ensure the proper usage of a cryptographic module in their operational environment. This document
identifies the operational tests by providing:
— recommendations to perform a secure assessment of the cryptographic module installation,
configuration and operation;
— recommendations for inspecting the key management system, protection of authentication
credentials, and public and critical security parameters in the operational environment;
— recommendations for identifying cryptographic module vulnerabilities;
— checklists for the cryptographic algorithm policy, security guidance and regulation, security
manage requirements, security level for each of the 11 requirement areas, the strength of the
security function, etc.; and
— inspection recommendations to determine that the cryptographic module’s deployment satisfies
the security requirements.
When the operational testing is performed by using this document, access to the text of ISO/IEC 19790
and ISO/IEC 24759 can be required.
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TECHNICAL SPECIFICATION ISO/IEC TS 20540:2018(E)
Information technology — Security techniques — Testing
cryptographic modules in their operational environment
1 Scope
This document provides recommendations and checklists which can be used to support the
specification and operational testing of cryptographic modules in their operational environment within
an organization’s security system.
The cryptographic modules have four security levels which ISO/IEC 19790 defines to provide for a
wide spectrum of data sensitivity (e.g. low-value administrative data, million-dollar funds transfers,
life-protecting data, personal identity information, and sensitive information used by government)
and a diversity of application environments (e.g. a guarded facility, an office, removable media, and a
completely unprotected location).
This document includes:
a) recommendations to perform secure assessing for cryptographic module installation, configuration
and operation;
b) recommendations to inspecting the key management system, protection of authentication
credentials, and public and critical security parameters in the operational environment;
c) recommendations for identifying cryptographic module vulnerabilities;
d) checklists for the cryptographic algorithm policy, security guidance and regulation, security
manage requirements, security level for each of the 11 requirement areas, the strength of the
security function, etc.; and
e) recommendations to determine that the cryptographic module’s deployment satisfies the security
requirements of the organization.
This document assumes that the cryptographic module has been validated as conformant with ISO/
IEC 19790.
It can be used by an operational tester along with other recommendations if needed.
This document is limited to the security related to the cryptographic module. It does not include
assessing the security of the operational or application environment. It does not define techniques for
the identification, assessment and acceptance of the organization’s operational risk.
The organization’s accreditation, deployment and operation processes, shown in Figure 1, is not
included to the scope of this document.
This document addresses operational testers who perform the operational testing for the cryptographic
modules in their operational environment authorizing officials of cryptographic modules.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO/IEC 19790:2012, Information technology — Security techniques — Security requirements for
cryptographic modules
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ISO/IEC TS 20540:2018(E)
ISO/IEC 24759, Information technology — Security techniques — Test requirements for cryptographic
modules
3 Terms and definitions
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
accreditation
administrative process whereby authority is granted for the operation of the cryptographic module in
its full operational environment including all of its non-IT parts
Note 1 to entry: The results of the operational testing (3.12) process may be an input to the accreditation process.
3.2
administrator guidance
written material that is used by the Crypto Officer and/or other administrative roles for the correct
configuration, maintenance, and administration of the cryptographic module
[SOURCE: ISO/IEC 19790:2012, 3.2]
3.3
application environment
set of all software and hardware consisting of an operating system and hardware platform required for
an application, which will call a cryptographic module for services, to operate securely
Note 1 to entry: The application environment may be identical to the operational environment (e.g. both the
crypto module and application are executing in the same environment).
3.4
competence
ability to apply knowledge and skills to achieve intended results
Note 1 to entry: It represents the set of knowledge, skill, and effectiveness needed to carry out the job activities
associated with one or more roles in an employment position.
[SOURCE: ISO/IEC 17024:2012, 3.6, modified — Note 1 to entry has been added,]
3.5
critical security parameter
CSP
security-related information whose disclosure or modification can compromise the security of a
cryptographic module
EXAMPLE Secret and private cryptographic keys, authentication data such as passwords, PINs, certificates
or other trust anchors.
Note 1 to entry: A CSP can be plaintext or encrypted.
[SOURCE: ISO/IEC 19790:2012, 3.18]
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ISO/IEC TS 20540:2018(E)
3.6
cryptographic algorithm
well-defined computational procedure that takes variable inputs, which may include cryptographic
keys, and produces an output
[SOURCE: ISO/IEC 19790:2012, 3.20]
3.7
cryptographic module
CM
module
set of hardware, software, and/or firmware that implements security functions and are contained
within the cryptographic boundary
[SOURCE: ISO/IEC 19790:2012, 3.25, modified — CM has been added as an admitted term.]
3.8
cryptographic module security policy
security policy
precise specification of the security rules under which a cryptographic module (3.7) shall operate,
including the rules derived from the requirements specified in ISO/IEC 19790:2012, Annex B and
additional rules imposed by the module or validation authority (3.22)
[SOURCE: ISO/IEC 19790:2012, 3.26, modified — In the definition, “this document” has been changed to
reference ISO/IEC 19790.]
3.9
non-administrator guidance
written material that is used by the users (3.20) and/or other non-administrative roles for operating
the cryptographic module (3.7) in an approved mode of operation
Note 1 to entry: The non-administrator guidance describes the security functions of the cryptographic module
and contains information and procedures for the secure use of the cryptographic module, including instructions,
guidelines, and warnings.
[SOURCE: ISO/IEC 19790:2012, 3.77]
3.10
operational environment
set of all software and hardware consisting of an operating system and hardware platform required for
the module to operate securely
[SOURCE: ISO/IEC 19790:2012, 3.83]
3.11
operational tester
tester
individual assigned by an organization (3.15) to perform test activities in accordance with the
operational testing process (3.13)
3.12
operational testing
OT
test to determine the correct installation, configuration and operation of a module and that it operates
securely in the operational environment (3.10)
3.13
operational testing process
OTP
process to support determining the correct installation, configuration and operation of a module and
that it operates securely in the operational environment (3.10)
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ISO/IEC TS 20540:2018(E)
3.14
operator
individual or a process (subject) operating on behalf of the individual, authorized to assume one or
more roles
[SOURCE: ISO/IEC 19790:2012, 3.85]
3.15
organization
entity specifying, deploying and operating a cryptographic module (3.7)
3.16
pre-operational test
operational testing (3.12) to be performed by a vendor (3.23) during the development of a cryptographic
module (3.7) or on behalf of a validation authority (3.22) during the validation under ISO/IEC 19790:2012
for the intended operational environment (3.10)
3.17
public security parameter
PSP
security-related public information whose modification can compromise the security of a cryptographic
module (3.7)
EXAMPLE Public cryptographic keys, public key certificates, self-signed certificates, trust anchors, one-time
passwo
...
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