Cryptographic Module 

Validation Program

Where security starts ....

Testing methods for protecting biometric templates

Randall J. Easter

Director, NIST CMVP

March 05, 2010
Agenda

• What is a Crypto Module?

• Organization

• CMVP

• FIPS 140-2

• CST Laboratories

• Testing and Validation Process

• Status

• Maintaining validation

• Cryptographic Algorithm Validation Program

• Benefits

• Contacts
What is a Cryptographic Module?

• A set of hardware, software or firmware that implements at 

least one Approved cryptographic function and service

• Vendor defines the Cryptographic Module Boundary

– Integrated Circuit

– Integrated Circuit Plus Plastic Housing 

– Product

• A defined Approved Mode of Operation
Cryptographic Module vs. Product

“Area” defined by the cryptographic boundary

– Could be a complete product

– Could be a sub-system of a larger product

– Could be component of a product
Examples
NIST Information Technology Laboratory 

Computer Security Division Security

Management and Assurance Group

Matt Scholl

Group Manager

Randall J. Easter

Director, CMVP

Sharon Keller

Director, CAVP Others

Purpose: to test and validate 

cryptographic modules to FIPS 140-2

Purpose: to test and validate Approved 

algorithmic implementations
Cryptographic Module Validation Program 

(CMVP)

• Established by NIST and the Communications Security 

Establishment Canada (CSEC) in 1995

• Original FIPS 140-1 requirements and updated FIPS 140-2 

requirements developed with industry input 

• Independent 3rd party conformance testing
International Recognition

• International Standards Organization

– ISO/IEC 19790 Security Requirements for Cryptographic Modules

• Published March 2006

– ISO/IEC 24759 Test requirements for cryptographic modules

• Published July 2008 

• Japanese Government Relationship (October 11, 2006)

– Japan Cryptographic Module Validation Program (JCMVP)

• Managed by the Information-Technology Promotion Agency (IPA), Japan

• Support Japanese Laboratories to become accredited by NVLAP

• Assist JCMVP regarding CMVP requirements and technical guidance
FIPS 140-2 and Applicability

• FIPS 140-2 specifies the security requirements that will be satisfied by a cryptographic 

module utilized within a security system protecting sensitive but unclassified 

information.

– The standard provides four increasing, qualitative levels of security: Level 1, Level 2, Level 3, 

and Level 4. 

– The security requirements cover areas which include cryptographic module specification, 

cryptographic module ports and interfaces; roles, services, and authentication; finite state 

model; physical security; operational environment; cryptographic key management; 

electromagnetic interference/electromagnetic compatibility (EMI/EMC); self-tests; design 

assurance; and mitigation of other attacks.

• U.S. Federal organizations must use validated cryptographic modules

• With the passage of the Federal Information Security Management Act of 2002, there is 

no longer a statutory provision to allow for agencies to waive mandatory Federal 

Information Processing Standards.

– Also includes enforcement mechanisms
FIPS 140-2: Security Areas

8. EMI/EMC requirements

9. Self Tests

10. Design Assurance

11. Mitigation of Other Attacks

Appendix C – Security Policy

Annex A – Approved Security Functions

Annex B – Approved Protection Profiles

Annex C – Approved RNGs

Annex D – Approved Key Establishment

1. Cryptographic Module Specification

2. Cryptographic Module Ports and 

Interfaces

3. Roles, Services, and Authentication

4. Finite State Model

5. Physical Security

6. Operational Environment

7. Cryptographic Key Management
Section 4.1 Cryptographic Module Specification

• Define the Cryptographic Module Boundary

– Integrated Circuit

– Integrated Circuit Plus Plastic Housing 

• Define Approved Mode of Operation

• Provide Description of the Module

– Hardware

– Software

– Firmware
Appendix C - Security Policy

• Mandatory document developed by the vendor

• Security policy shall contain:

– Description of the module: picture if hardware

– Tested operating system if software

– Description of how to place the module in FIPS Approved Mode

– Roles, services, authentication method and strength of 

authentication

– List of CSPs, and services and roles accessing them

– Physical security policy

– Mitigation of other attacks
FIPS 140-2: Security Levels

How does the module itself protect Critical Security Parameters?

• Level 1 is the lowest, Level 4 most stringent

• Requirements are primarily cumulative by level

• Overall rating is lowest rating in all sections

• Validation is applicable when a module is configured and operated in 

accordance with the level to which it was tested and validated

The cryptography is not dependant on the security level

Security Spectrum
Section 4.5: Physical Security

• Level 1: Production Grade Components

• Level 2: Provide Evidence of an Attack

– Tamper evident seals

– Opacity

• Level 3: Deterrence of Moderately Aggressive Attacks

– Strong enclosure or covered with hard coating or potting material 

– Tamper response and zeroization for any doors or removable covers

• Level 4: Deterrence of Aggressive Attacks

– Attacker assumed to have prior knowledge, specialized tools, unfettered access and 

no time restriction.

– Tamper Response and Zeroization Envelope

– Mitigation of Temperature and Voltage Attacks
FIPS PUB 

140-2

Requirements

DTR

Test

Assertions

Vendor

Requirements

Tester

Requirements

Derived Test 

Requirements

Implementation 

Guidance Document

Direct traceability 

between the FIPS and 

the DTR

Each assertion levies 

requirements on the vendor 

and the tester of the 

cryptographic module
CMVP Testing: Process

• CMVP 

– Conformance testing of cryptographic modules using the Derived 

Test Requirements (DTR)

– Not evaluation of cryptographic modules. Not required are:

• Vulnerability assessment

• Design analysis, etc.

• Laboratories

– Test submitted cryptographic modules

• NIST/CSEC

– Validate tested cryptographic modules
NVLAP

National Voluntary Laboratory Accreditation Program

Accredits laboratories in 23 technologies

– Handbook 150-17: 

Cryptographic and Security Testing

• Conformance Test Methods

– FIPS 140-1 and FIPS 140-2 Levels 1, 2 and 3 

testing

– FIPS 140-1 and FIPS 140-2 Level 4 testing

– FIPS 201 PIV card application testing

– FIPS 201 PIV middleware testing 

– FIPS 201 Evaluation Program

– SCAP 
Cryptographic and Security Testing 

(CST) Laboratories

• Seventeen NVLAP-accredited testing laboratories

– True independent 3rd party accredited testing laboratories

– Cannot test and provide design assistance

– US, Canada, Germany, Spain, Japan and Taiwan

– Additional domestic and international labs in FY10
CST Accredited Laboratories

CEAL

COACT

EWA

DOMUS

Atlan

Aspect

TÜViT

atsec

SAIC

ICSA

InfoGard

Ægisolve

ECSEC

TTC

E&E ITSC CSC
CMVP Testing and Validation Flow

Vendor

Designs and 

Produces

Hardware • Software • Firmware

Define Boundary

Define Approved Mode 

of Operation

Security Policy

CST Lab

Tests for 

Conformance

Derived Test Requirements

Algorithm Testing

Documentation Review

Source Code Review

Operational and 

Physical Testing

CMVP

NIST and CSEC

Validates

Review Test Results

Ongoing NVLAP 

Assessment

Issue Certificates

NIST Cost Recovery Fee

User

Specifies and 

Purchases

Security and 

Assurance

Applications or products 

with embedded modules
NVLAP Accredited

FIPS 140-2

CST Lab

Cryptographic Module 

Vendor

Module Test Report to CMVP for review CMVP

Test for conformance

to FIPS 140-2

Vendor selects a lab;

Submits module for testing;

Module IUT

Lab submits

questions for

guidance and

clarification

Testing 

and 

Report Generation

Testing and

Implementation

Guidance

List of Validated

FIPS 140-2 Modules

Module validation entries at 

www.nist.gov/cmvp

Module 

Certificate

Module Validation
CMVP Status

• Continued record growth in the number of 

cryptographic modules validated

– 1264 Validations representing over 2624 modules

• All four security levels of FIPS 140-2 represented 

on the Validated Modules List

• Over 305 vendors of validated modules


Modules In Process Listing

• Posted each Friday afternoon - http://csrc.nist.gov/groups/STM/cmvp/inprocess.html

• Describes five stages that a module report is progressing:

– Implementation Under Test

– Review Pending

– In Review

– Coordination

– Finalization

DISCLAIMER: The Cryptographic Module Validation Program (CMVP) FIPS 140-1 and FIPS 140-2 Modules In 

Process List is provided for information purposes only. Participation on the list is voluntary and is a joint decision by 

the vendor and Cryptographic and Security Testing (CST) laboratory. Modules are listed alphabetically by name. 

Blank entries indicate modules in process but joint decision made not to post. Posting on the list does not imply 

guarantee of final FIPS 140-1 or FIPS 140-2 validation.
FIPS 140-2 IG G.8 - Revalidation

• No Security Relevant Changes

– CMTL tests changes

– Letter sent to CMVP 

– Existing certificate entry updated

• Additional Security Relevant Features Claimed

– Testing of previously un-tested features

– CMTL submits revalidation test report

– Existing certificate entry updated

• <30% Security Relevant Changes

– Testing of new features and operational regression testing

– CMTL submits revalidation test report

– New certificate issued

• Physical boundary only Change

– Testing of physical features

– CMTL submits physical test report 

– Existing certificate entry updated

• New Module

– Full testing by CMTL 

– CMTL submits full test report

– New Certificate
Using FIPS Validated 

Cryptographic Modules

• Cryptographic modules may be embedded in other products

– Applicable to hardware, software, and firmware cryptographic 

modules

– Must use the validated version and configuration

– e.g. software applications, cryptographic toolkits, postage metering 

devices, radio encryption modules

• Does not require the validation of the larger product

– Larger product is deemed compliant to requirements of FIPS 140-2 
• Certificate number

• Vendor Name

– Address

– Contact

• Module Name

– Version

– Security Policy

– Certificate

• Module Type

• Validation Date

• Overall Level

– Section Levels

– Algorithms

– Embodiment

– Vendor supplied text
Cryptographic Algorithm Validation Program 

(CAVP)

• Purpose: Provide assurance that cryptographic algorithm 

implementations adhere to the specifications detailed in the 

associated cryptographic algorithm standards.

– Originally part of CMVP – algorithm validation tests 

were not standardized

• The validation of cryptographic algorithm implementations 

is a prerequisite to the validation of cryptographic module
Cryptographic Algorithm Validation Program 

(CAVP)

CAVP Validation Status by FYs
Benefits! ... Making a Difference

• Cryptographic Modules Surveyed (during testing)

– Contained at least one non-conformance

• 59% Level 1 and Level 2 Modules

• 65% Level 3 and Level 4 Modules

– 96.3% FIPS Interpretation and Documentation Errors

– ~10% Algorithm Implementation Errors

• Areas of Greatest Difficulty 

– Key Management

– Physical Security

– Self Tests

– Random Number Generation
www.nist.gov/cmvp

• FIPS 140-1, FIPS 140-2 and FIPS 140-3 draft

• Derived Test Requirements (DTR)

• Annexes to FIPS 140-2

• Implementation Guidance

• Points of Contact

• Laboratory Information

• Validated Modules List
NIST

• Randall J. Easter – Director, CMVP, NIST

reaster@nist.gov

• Sharon Keller – Director, CAVP, NIST

skeller@nist.gov

CSEC

• Jean Campbell – Technical Authority, CMVP, CSEC 

jean.campbell@CSE-CST.GC.CA

Points of Contact