FIPS PUB 140-3
FEDERAL INFORMATION PROCESSING STANDARDSPUBLICATION(Supersedes FIPS PUB 140-2)

SECURITY REQUIREMENTS FOR CRYPTOGRAPHIC
MODULESCATEGORY: INFORMATION SECURITY

SUBCATEGORY: CRYPTOGRAPHY

Information Technology Laboratory
National Institute of Standards and Technology
Gaithersburg, MD 20899-8900
This publication is available free of charge from:https://doi.org/10.6028/NIST.FIPS.140-3

March 22, 2019

U.S. Department of Commerce
Wilbur L. Ross, Jr., Secretary
National Institute of Standards and Technology
Walter Copan, NIST Director and Under Secretary for Standards and Technology

FOREWORD
The Federal Information Processing Standards Publication Series of the National Institute ofStandards and Technology (NIST) is the official series of publications relating to Standards andGuidelines adopted and promulgated under the provisions of the Federal Information Security
Management Act (FISMA) of 2002.
Comments concerning FIPS publications are welcomed and should be addressed to the Director,
Information Technology Laboratory, National Institute of Standards and Technology, 100 Bureau
Drive, Stop 8900, Gaithersburg, MD 20899-8900.
Charles H. Romine, Director
Information Technology LaboratoryiAbstract
The selective application of technological and related procedural safeguards is an important
responsibility of every federal organization in providing adequate security in its computer andtelecommunication systems.
This standard is applicable to all federal agencies that use
cryptographic-based security systems to provide adequate information security for all agency
operations and assets as defined in 15 U.S.C. § 278g-3.
This standard shall be used in designing and implementing cryptographic modules that federal
departments and agencies operate or are operated for them under contract. The standard provides
four increasing, qualitative levels of security intended to cover a wide range of potential
applications and environments. The security requirements cover areas related to the secure design,implementation and operation of a cryptographic module. These areas include cryptographic
module specification; cryptographic module interfaces; roles, services, and authentication;
software/firmware security; operating environment; physical security; non-invasive security;
sensitive security parameter management; self-tests; life-cycle assurance; and mitigation of otherattacks.
Key words: computer security; telecommunication security; physical security; software security;
cryptography; cryptographic modules; Federal Information Processing Standard (FIPS); ISO/IEC
19790; ISO/IEC 24759.

ii

Federal Information
Processing Standards Publication 140-3
March 22, 2019
Announcing the Standard for

SECURITY REQUIREMENTS FOR CRYPTOGRAPHIC MODULES
Federal Information Processing Standards Publications (FIPS PUBS) are issued by the National
Institute of Standards and Technology (NIST) after approval by the Secretary of Commerce
pursuant 15 USC 278g-3.
1. Name of Standard. Security Requirements for Cryptographic Modules (FIPS PUB 140-3).
2. Category of Standard. Computer Security Standard, Cryptography.
3. Explanation. This standard specifies the security requirements that will be satisfied by acryptographic module utilized within a security system protecting sensitive but unclassified
information (hereafter referred to as sensitive information). The standard provides four increasing,qualitative levels of security: Level 1, Level 2, Level 3, and Level 4. These levels are intended tocover the wide range of potential applications and environments in which cryptographic modules
may be employed. The security requirements cover areas related to the secure design andimplementation of a cryptographic module. These areas include cryptographic module
specification; cryptographic module interfaces; roles, services, and authentication;
software/firmware security; operating environment; physical security; non-invasive security;
sensitive security parameter management; self-tests; life-cycle assurance; and mitigation of otherattacks. This standard supersedes FIPS 140-2, Security Requirements for Cryptographic Modules,
in its entirety.
The Cryptographic Module Validation Program (CMVP) validates cryptographic modules toFederal Information Processing Standard (FIPS) 140-3 and other cryptography-based standards.
The CMVP is a joint effort between the National Institute of Standards and Technology and theCanadian Centre for Cyber Security. Modules validated as conforming to FIPS 140-3 are acceptedby the Federal agencies of both countries for the protection of sensitive information (United States)or Designated Information (Canada). The goal of the CMVP is to promote the use of validated
cryptographic modules and provide Federal agencies with a security metric to use in procuring
equipment containing validated cryptographic modules.
In the CMVP, vendors of cryptographic modules use independent, accredited Cryptographic andSecurity Testing (CST) laboratories to have their modules tested. National Voluntary Laboratory
Accreditation Program (NVLAP) accredited laboratories perform cryptographic module
compliance/conformance testing.
4. Approving Authority. Secretary of Commerce.

iii

5. Maintenance Agency. Department of Commerce, National Institute of Standards andTechnology, Information Technology Laboratory (ITL).
6. Applicability. This standard is applicable to all Federal agencies that use cryptography-based
security systems to protect sensitive information in computer and telecommunication systems(including voice systems) as defined in Section 5131 of the Information Technology Management
Reform Act of 1996, Public Law 104-106. This standard shall be used in designing andimplementing cryptographic modules that Federal departments and agencies operate or areoperated for them under contract. Cryptographic modules that have been approved for classified
use may be used in lieu of modules that have been validated against this standard. The adoption
and use of this standard is available to private and commercial organizations.
7. Applications. Cryptography-based security systems may be utilized in various computer andtelecommunication applications (e.g., data storage, access control and personal identification,
network communications, radio, facsimile, and video) and in various environments (e.g.,centralized computer facilities, office environments, and hostile environments). The cryptographic
services (e.g., encryption, authentication, digital signature, and key management) provided by acryptographic module are based on many factors that are specific to the application andenvironment. The security level to which a cryptographic module is validated must be chosen toprovide a level of security appropriate for the security requirements of the application andenvironment in which the module will be utilized and the security services that the module will
provide. The security requirements for a particular security level include both the security
requirements specific to that level and the security requirements that apply to all modules
regardless of the level.
8. Specifications.
Federal Information Processing Standard (FIPS) 140-3, Security
Requirements for Cryptographic Modules (affixed).
9. Implementations. This standard covers implementations of cryptographic modules including,but not limited to, hardware components or modules, software/firmware programs or modules orany combination thereof. Cryptographic modules that are validated under the CMVP will beconsidered as conforming to this standard. Information about the CMVP can be obtained from thea. National Institute of Standards and Technology, Information Technology Laboratory, 100
Bureau Drive, Stop 8900, Gaithersburg, MD 20899-8900.
b. Canadian Centre for Cyber Security, P.O. Box 9703, Terminal, Ottawa, Ontario K1G 3Z4c. CMVP URL https://www.nist.gov/cmvp.
10. Approved Security Functions. Cryptographic modules that conform to this standard shall
employ Approved security functions such as cryptographic algorithms, cryptographic key
management techniques, and authentication techniques that have been approved for protecting
Federal government sensitive information. Approved security functions include those that areeither:a. specified in a Federal Information Processing Standard (FIPS),iv

b. adopted in a FIPS and specified either in an appendix to the FIPS or in a document
referenced by the FIPS,
c. specified in NIST SP 800-140C as an Approved security function, ord. specified in NIST SP 800-140D as an Approved sensitive security parameter establishment
method.
11. Interpretation. Questions concerning the content and specifications of this standard should
be addressed to: Director, Information Technology Laboratory, ATTN: FIPS 140-3 Interpretation,
National Institute of Standards and Technology, 100 Bureau Drive, Stop 8900, Gaithersburg, MD
20899-8900. Resolution of questions regarding this standard will be provided by the validation
authorities at the National Institute of Standards and Technology and the Canadian Centre for
Cyber Security.
12. Implementation Schedule. This standard becomes effective six months after approval by theSecretary of Commerce. A minimum transition period of 6 months after approval is provided fortesting labs to develop and implement FIPS 140-3 testing. A test report for modules demonstratingcompliance will be submitted to the CMVP for review and validation. The review process schedulevaries, as it is dependent on coordination between the vendor, testing lab, and CMVP. Agencies
should develop plans for the acquisition of products that are compliant with FIPS 140-3; however,agencies may purchase any of the products on the CMVP validated modules list. (Note: the CMVPHistorical list should not be used for procurement decisions. This list is provided for reference
purposes only.) Figure 1 summarizes the CMVP implementation schedule when FIPS 140-3
testing may begin.
FIPS 140-2

FIPS 140-3

APPROVAL DATE OF FIPS 140-3
EFFECTIVE DATE OF FIPS 140-3(6 months after approval date)

FIPS 140-3 TESTING BEGINS(18 months after approval date)

FIPS 140-2 TESTING ENDS

FUTURE

Figure 1. FIPS 140-3 Implementation Schedule

13. Qualifications. The security requirements specified in this standard are based upon
information provided by many sources within the Federal government and private industry. The
requirements are designed to aid in protecting against adversaries mounting attacks on sensitivev

government or commercial data (e.g., hackers, political activists, and economic competitors). The
primary goal in designing an effective security system is to make the cost of any attack greaterthan the possible payoff.
While the security requirements specified in this standard are intended to maintain the security
provided by a cryptographic module, conformance to this standard is not sufficient to ensure thata particular module is secure. The operator of a cryptographic module is responsible for ensuringthat the security provided by a module is sufficient and acceptable to the owner of the informationthat is being protected and that any residual risk is acknowledged and accepted. The responsible
authority in each agency shall ensure that the security of the system is sufficient and acceptable.
A standard of this nature must be flexible enough to adapt to advancements and innovations inscience and technology. New or revised requirements may be needed to meet technological andeconomic changes. This standard will be reviewed at least every five years in order to consider
necessary updates or replacement.
14. Where to obtain copies of this Standard. This publication is available electronically at
https://csrc.nist.gov/publications. Other computer security publications issued by NIST areavailable at the same web site.

viSecurity Requirements for Cryptographic Modules
Table of Contents
1.

INTRODUCTION ......................................................................................... 1

2.

DOCUMENT BASIS .................................................................................... 1

3.

APPLICABLE STANDARDS ....................................................................... 2
3.1
3.2
3.3
3.4

Normative References .................................................................... 2
International standards ................................................................... 2
Documents Modifying ISO/IEC 19790:2012(E)............................... 2
Documents Modifying ISO/IEC 24759:2017(E)............................... 3FIPS 140-3

1.

SECURITY REQUIREMENTS FOR
CRYPTOGRAPHIC MODULESINTRODUCTION

This standard specifies the security requirements for a cryptographic module utilized within asecurity system protecting sensitive information in computer and telecommunication systems(including voice systems) as defined in Section 5131 of the Information Technology Management
Reform Act of 1996, (Public Law 104-106) and the Federal Information Security Management
Act of 2002 (Public Law 107-347).
FIPS 140-1, first published in 1994, was developed by a government and industry working group.
The working group identified requirements for four security levels for cryptographic modules toprovide for a wide spectrum of data sensitivity (e.g., low value administrative data, million dollar
funds transfers, and life protecting data) and a diversity of application environments (e.g., aguarded facility, an office, and a completely unprotected location). Four security levels werespecified for each of eleven requirement areas. Each security level offered an increase in security
over the preceding level. These four increasing levels of security allowed cost-effective solutions
that were appropriate for different degrees of data sensitivity and different application
environments.
In 2001, FIPS 140-2 superseded FIPS 140-1. FIPS 140-2 incorporated changes in applicablestandards and technology since the development of FIPS 140-1 as well as changes that were basedon comments received from the vendor, laboratory, and user communities. Though the standard
was reviewed after 5 years, consensus to move forward was not achieved until publication of the2012 revision of International Organization for Standardization/International ElectrotechnicalCommission (ISO/IEC) 19790.
FIPS 140-3 supersedes FIPS140-2. FIPS 140-3 aligns with ISO/IEC 19790:2012(E) and includesmodifications of the Annexes that are allowed to CMVP (as a validation authority). The testing forthese requirements will be in accordance with ISO/IEC 24759:2017(E), with the modifications,additions or deletions of vendor evidence and testing allowed as a validation authority underparagraph 5.2. Major changes in FIPS 140-3 are limited to the introduction of non-invasive
physical requirements.
2.

DOCUMENT BASIS

ISO/IEC 19790:2012(E), Information technology — Security techniques — Security requirements
for cryptographic modules, is an international standard based on updates of the earlier versions ofFIPS 140, Security Requirements for Cryptographic Modules. ISO/IEC 24759:2017(E),Information technology — Security techniques — Test requirements for cryptographic modules is
an international standard based on the Derived Test Requirements for FIPS 140-2, Security
Requirements for Cryptographic Modules. It is currently in the best interest to use these standards,superseding those sections where national standards are permitted. Therefore, FIPS 140-3 is basedon ISO/IEC 19790:2012/Cor.1:2015(E) and ISO/IEC 24759:2017(E). The following documents
identify those elements that are superseded or modified.

1FIPS 140-3

3.

APPLICABLE STANDARDS

3.1

Normative References

SECURITY REQUIREMENTS FOR
CRYPTOGRAPHIC MODULES

When referring to ISO/IEC 19790:2012(E) and ISO/IEC 24759:2017(E), the latest edition of thereferenced document (including any amendments) applies. “NIST SP” denotes a NIST Special
Publication series document. For those NIST SP documents that are not referenced by a specificversion or date, the latest edition of the referenced document (including any amendments) applies.
3.2

International standards

These documents form the technical requirements and the basis for the testing methods of thisFIPS.
ISO/IEC 19790:2012(E), Information technology — Security techniques — Securityrequirements for cryptographic modules
ISO/IEC 24759:2017(E), Information technology — Security techniques — Test requirements forcryptographic modules
3.3

Documents Modifying ISO/IEC 19790:2012(E)

These documents modify the annex requirements of the technical requirements document ISO/IEC
19790:2012(E) as specified by the CMVP validation authority. All of these NIST SPs will beavailable at https://csrc.nist.gov/publications/.
NIST SP 800-140A
CMVP Documentation Requirements

modifies:

ISO/IEC 19790:2012(E)Annex ANIST SP 800-140B
CMVP Security Policy Requirements

modifies:

ISO/IEC 19790:2012(E)Annex BNIST SP 800-140C
CMVP Approved Security Functions

modifies:

ISO/IEC 19790:2012(E)Annex CNIST SP 800-140D
CMVP Approved Sensitive Security
Parameter Generation and Establishment
Methods

modifies:

ISO/IEC 19790:2012(E)Annex DNIST SP 800-140E
CMVP Approved Authentication
Mechanisms

modifies:

ISO/IEC 19790:2012(E)Annex ENIST SP 800-140F
CMVP Approved Non-Invasive Attack
Mitigation Test Metrics

modifies:

ISO/IEC 19790:2012(E)Annex F2FIPS 140-33.4

SECURITY REQUIREMENTS FOR
CRYPTOGRAPHIC MODULES

Documents Modifying ISO/IEC 24759:2017(E)

These documents modify the vendor documentation and testing requirements of ISO/IEC24759:2017(E) as specified by the CMVP validation authority. All of these NIST SPs will beavailable at https://csrc.nist.gov/publications/.
NIST SP 800-140
FIPS 140-3 Derived Test Requirements(DTR)

modifies:

ISO/IEC 24759:2017(E)(6.1 through 6.12)

NIST SP 800-140A
CMVP Documentation Requirements

modifies:

ISO/IEC 24759:2017(E)(6.13)NIST SP 800-140B
CMVP Security Policy Requirements

modifies:

ISO/IEC 24759:2017(E)(6.14)NIST SP 800-140C
CMVP Approved Security Functions

modifies:

ISO/IEC 24759:2017(E)(6.15)NIST SP 800-140D
CMVP Approved Sensitive Security
Parameter Generation and Establishment
Methods

modifies:

ISO/IEC 24759:2017(E)(6.16)NIST SP 800-140E
CMVP Approved Authentication Mechanisms

modifies:

ISO/IEC 24759:2017(E)(6.17)NIST SP 800-140F
CMVP Approved Non-Invasive Attack
Mitigation Test Metrics

modifies:

ISO/IEC 24759:2017(E)(6.18)

Table 1: NIST SPs that Modify ISO/IEC StandardsISO/IEC
19790:2012(E)

ISO/IEC
24759:2017(E)SP 800-140--§6.1 through §6.12

SP 800-140A

Annex A

§6.13

SP 800-140B

Annex B

§6.14

Annex C

§6.15

Annex D

§6.16

SP 800-140E

Annex E

§6.17

SP 800-140F

Annex F

§6.18

SP 800-140C
SP 800-140D

modifies

NIST
Special Publication

This table is provided to simplify locating where the changes to the ISO/IEC document sections
are addressed in the CMVP documentation.
3