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1、BRITISH STANDARD BS ISO 13491-1:2007 Banking Secure cryptographic devices (retail) Part 1: Concepts, requirements and evaluation methods ICS 35.040; 35.240.40 ? Licensed Copy: London South Bank University, London South Bank University, Fri Nov 16 07:11:33 GMT+00:00 2007, Uncontrolled Copy, (c) BSI B
2、S ISO 13491-1:2007 This British Standard was published under the authority of the Standards Policy and Strategy Committee on 31 October 2007 BSI 2007 ISBN 978 0 580 56307 2 National foreword This British Standard is the UK implementation of ISO 13491-1:2007. It supersedes BS ISO 13491-1:1998 which i
3、s withdrawn. The UK participation in its preparation was entrusted to Technical Committee IST/12, Banking, securities and other financial services. A list of organizations represented on this committee can be obtained on request to its secretary. This publication does not purport to include all the
4、necessary provisions of a contract. Users are responsible for its correct application. Compliance with a British Standard cannot confer immunity from legal obligations. Amendments issued since publication Amd. No. DateComments Licensed Copy: London South Bank University, London South Bank University
5、, Fri Nov 16 07:11:33 GMT+00:00 2007, Uncontrolled Copy, (c) BSI Reference number ISO 13491-1:2007(E) INTERNATIONAL STANDARD ISO 13491-1 Second edition 2007-06-15 Banking Secure cryptographic devices (retail) Part 1: Concepts, requirements and evaluation methods Banque Dispositifs cryptographiques d
6、e scurit (services aux particuliers) Partie 1: Concepts, exigences et mthodes dvaluation BS ISO 13491-1:2007 Licensed Copy: London South Bank University, London South Bank University, Fri Nov 16 07:11:33 GMT+00:00 2007, Uncontrolled Copy, (c) BSI ii Licensed Copy: London South Bank University, Londo
7、n South Bank University, Fri Nov 16 07:11:33 GMT+00:00 2007, Uncontrolled Copy, (c) BSI iii Contents Page Foreword iv Introduction v 1 Scope . 1 2 Normative references. 1 3 Terms and definitions. 2 4 Abbreviated terms 4 5 Secure cryptographic device concepts 4 5.1 General. 4 5.2 Attack scenarios. 5
8、5.3 Defence measures 6 6 Requirements for device security characteristics 8 6.1 Introduction. 8 6.2 Physical security requirements for SCDs 8 6.3 Logical security requirements for SCDs 11 7 Requirements for device management. 12 7.1 General. 12 7.2 Life cycle phases 13 7.3 Life cycle protection requ
9、irements. 14 7.4 Life cycle protection methods. 15 7.5 Accountability. 17 7.6 Device management principles of audit and control 18 8 Evaluation methods 20 8.1 General. 20 8.2 Risk assessment. 21 8.3 Informal evaluation method. 22 8.4 Semi-formal evaluation method 24 8.5 Formal evaluation method. 26
10、Annex A (informative) Concepts of security levels for system security 27 Bibliography. 30 BS ISO 13491-1:2007 Licensed Copy: London South Bank University, London South Bank University, Fri Nov 16 07:11:33 GMT+00:00 2007, Uncontrolled Copy, (c) BSI iv Foreword ISO (the International Organization for
11、Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the r
12、ight to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. Internation
13、al Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. The main task of technical committees is to prepare International Standards. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as
14、 an International Standard requires approval by at least 75 % of the member bodies casting a vote. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. IS
15、O 13491-1 was prepared by Technical Committee ISO/TC 68, Financial services, Subcommittee SC 2, Security management and general banking operations. This second edition cancels and replaces the first edition (ISO 13491-1:1998), which has been technically revised. ISO 13491 consists of the following p
16、arts, under the general title Banking Secure cryptographic devices (retail): Part 1: Concepts, requirements and evaluation methods Part 2: Security compliance checklists for devices used in financial transactions BS ISO 13491-1:2007 Licensed Copy: London South Bank University, London South Bank Univ
17、ersity, Fri Nov 16 07:11:33 GMT+00:00 2007, Uncontrolled Copy, (c) BSI v Introduction ISO 13491 describes both the physical and logical characteristics and the management of the secure cryptographic devices (SCDs) used to protect messages, cryptographic keys and other sensitive information used in a
18、 retail financial services environment. The security of retail electronic payment systems is largely dependent upon the security of these cryptographic devices. This security is based upon the premise that computer files can be accessed and manipulated, communications lines can be “tapped” and autho
19、rized data or control inputs into system equipment can be replaced with unauthorized inputs. When Personal Identification Numbers (PINs), message authentication codes (MACs), cryptographic keys and other sensitive data are processed, there is a risk of tampering or other compromise to disclose or mo
20、dify such data. The risk of financial loss is reduced through the appropriate use of cryptographic devices that have proper characteristics and are properly managed. BS ISO 13491-1:2007 Licensed Copy: London South Bank University, London South Bank University, Fri Nov 16 07:11:33 GMT+00:00 2007, Unc
21、ontrolled Copy, (c) BSI blank Licensed Copy: London South Bank University, London South Bank University, Fri Nov 16 07:11:33 GMT+00:00 2007, Uncontrolled Copy, (c) BSI 1 Banking Secure cryptographic devices (retail) Part 1: Concepts, requirements and evaluation methods 1 Scope This part of ISO 13491
22、 specifies the requirements for secure cryptographic devices (SCDs) based on the cryptographic processes defined in ISO 9564, ISO 16609 and ISO 11568. This part of ISO 13491 has two primary purposes: to state the requirements concerning both the operational characteristics of SCDs and the management
23、 of such devices throughout all stages of their life cycle, and to standardize the methodology for verifying compliance with those requirements. Appropriate device characteristics are necessary to ensure that the device has the proper operational capabilities and provides adequate protection for the
24、 data it contains. Appropriate device management is necessary to ensure that the device is legitimate, that it has not been modified in an unauthorized manner (e.g. by “bugging”) and that any sensitive data placed within the device (e.g. cryptographic keys) has not been subject to disclosure or chan
25、ge. Absolute security is not achievable in practical terms. Cryptographic security depends upon each life cycle phase of the SCD and the complementary combination of appropriate management procedures and secure cryptographic characteristics. These management procedures implement preventive measures
26、to reduce the opportunity for a breach of SCD security. These aim for a high probability of detection of any unauthorized access to sensitive or confidential data, should device characteristics fail to prevent or detect the security compromise. Annex A provides an informative illustration of the con
27、cepts of security levels described in this part of ISO 13491 as being applicable to SCDs. This part of ISO 13491 does not address issues arising from the denial of service of an SCD. Specific requirements for the characteristics and management of specific types of SCD functionality used in the retai
28、l financial services environment are contained in ISO 13491-2. 2 Normative references The following referenced documents are indispensable for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document
29、 (including any amendments) applies. ISO 11568-1, Banking Key management (retail) Part 1: Principles ISO 11568-2:2005, Banking Key management (retail) Part 2: Symmetric ciphers, their key management and life cycle BS ISO 13491-1:2007 Licensed Copy: London South Bank University, London South Bank Uni
30、versity, Fri Nov 16 07:11:33 GMT+00:00 2007, Uncontrolled Copy, (c) BSI 2 ISO 11568-4, Banking Key management (retail) Part 4: Key management techniques using public key cryptosystems ISO 13491-2, Banking Secure cryptographic devices (retail) Part 2: Security compliance checklists for devices used i
31、n financial transactions 3 Terms and definitions For the purposes of this document, the following terms and definitions apply. 3.1 accreditation authority authority responsible for the accreditation of evaluation authorities and supervision of their work in order to guarantee the reproducibility of
32、the evaluation results 3.2 accredited evaluation authority body accredited in accordance with a set of rules and accepted by the accreditation authority for the purpose of evaluation NOTE An example of a set of rules is ISO/IEC 17025. 3.3 assessment checklist list of claims, organized by device type
33、, and contained in ISO 13491-2 3.4 assessment report output of the assessment review body, based on the results from an assessor 3.5 assessment review body group with responsibility for reviewing and making judgements on the results from the assessor 3.6 assessor person who checks, assesses, reviews
34、 and evaluates compliance with an informal evaluation on behalf of the sponsor or assessment review body 3.7 attack attempt by an adversary on the device to obtain or modify sensitive information or a service he is not authorized to obtain or modify 3.8 certification report output of the evaluation
35、review body, based on the results from an accredited evaluation authority 3.9 controller entity responsible for the secure management of an SCD 3.10 deliverables documents, equipment and any other items or information needed by the evaluators to perform an evaluation of the SCD BS ISO 13491-1:2007 L
36、icensed Copy: London South Bank University, London South Bank University, Fri Nov 16 07:11:33 GMT+00:00 2007, Uncontrolled Copy, (c) BSI 3 3.11 device compromise successful defeat of the physical or logical protections provided by the SCD, resulting in the potential disclosure of sensitive informati
37、on or unauthorized use of the SCD 3.12 device security security of the SCD related to its characteristics only, without reference to a specific operational environment 3.13 environment-dependent security security of an SCD as part of an operational environment 3.14 evaluation agency organization tru
38、sted by the design, manufacturing and sponsoring authorities, which evaluates the SCD (using specialist skills and tools) in accordance with this part of ISO 13491 3.15 evaluation report output of the evaluation review body, based on the results from an evaluation agency or auditor 3.16 evaluation r
39、eview body group with responsibility for reviewing, and making judgements on, the results of the evaluation agency 3.17 formal claim statement about the characteristics and functions of an SCD 3.18 logical security ability of a device to withstand attacks through its functional interface 3.19 operat
40、ional environment environment in which the SCD is operated, i.e. the system of which it is part, the location where it is placed, the persons operating and using it and the entities communicating with it 3.20 physical security ability of a device to withstand attacks against its physical constructio
41、n, including physical characteristics such as electromagnetic emissions and power fluctuations, the analysis of which can lead to side channel attacks 3.21 secure cryptographic device SCD device that provides physically and logically protected cryptographic services and storage (e.g. PIN entry devic
42、e or hardware security module), and which may be integrated into a larger system, such as an automated teller machine (ATM) or point of sale (POS) terminal 3.22 sensitive data sensitive information data, status information, cryptographic keys, etc., which need to be protected against unauthorized di
43、sclosure, alteration, or destruction BS ISO 13491-1:2007 Licensed Copy: London South Bank University, London South Bank University, Fri Nov 16 07:11:33 GMT+00:00 2007, Uncontrolled Copy, (c) BSI 4 3.23 sensitive state device condition that provides access to the secure operator interface, such that
44、it can only be entered when the device is under dual or multiple control 3.24 sponsoring authority sponsor individual, company or organization that requires the SCD to undergo evaluation 3.25 tamper evident characteristic characteristic that provides evidence that an attack has been attempted 3.26 t
45、amper resistant characteristic characteristic that provides passive physical protection against an attack 3.27 tamper response characteristic characteristic that provides an active response to the detection of an attack 4 Abbreviated terms ATM automated teller machine MAC message authentication code
46、 PIN Personal Identification Number POS point of sale SCD secure cryptographic device 5 Secure cryptographic device concepts 5.1 General Cryptography is used in retail financial services to help ensure the following objectives: a) the integrity and authenticity of sensitive data, e.g. by MAC-ing tra
47、nsaction details; b) the confidentiality of secret information, e.g. by encrypting customer PINs; c) the confidentiality, integrity and authenticity of cryptographic keys; d) the security of other sensitive operations, e.g. PIN verification. To ensure that the above objectives are met, the following
48、 threats to the security of the cryptographic processing shall be countered: disclosure or modification of cryptographic keys and other sensitive information; unauthorized use of cryptographic keys and services. BS ISO 13491-1:2007 Licensed Copy: London South Bank University, London South Bank Unive
49、rsity, Fri Nov 16 07:11:33 GMT+00:00 2007, Uncontrolled Copy, (c) BSI 5 A secure cryptographic device (SCD) is a physically and logically secure hardware device providing a defined set of cryptographic functions, access controls and secure key storage. SCDs are employed to protect against these threats. The requirements of this part of ISO 13491 pertain to the SCD and not the system in which the SCD may be integrated. However, it is important to analyse the interface