1、 ETSI TR 133 916 V14.1.0 (2017-04) Universal Mobile Telecommunications System (UMTS); LTE; Security Assurance Methodology (SCAS) for 3GPP network products (3GPP TR 33.916 version 14.1.0 Release 14) TECHNICAL REPORT ETSI ETSI TR 133 916 V14.1.0 (2017-04)13GPP TR 33.916 version 14.1.0 Release 14Refere
2、nce RTR/TSGS-0333916ve10 Keywords LTE,SECURITY,UMTS ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16 Siret N 348 623 562 00017 - NAF 742 C Association but non lucratif enregistre la Sous-Prfecture de Grasse (06) N 7803/88 Important no
3、tice The present document can be downloaded from: http:/www.etsi.org/standards-search The present document may be made available in electronic versions and/or in print. The content of any electronic and/or print versions of the present document shall not be modified without the prior written authori
4、zation of ETSI. In case of any existing or perceived difference in contents between such versions and/or in print, the only prevailing document is the print of the Portable Document Format (PDF) version kept on a specific network drive within ETSI Secretariat. Users of the present document should be
5、 aware that the document may be subject to revision or change of status. Information on the current status of this and other ETSI documents is available at https:/portal.etsi.org/TB/ETSIDeliverableStatus.aspx If you find errors in the present document, please send your comment to one of the followin
6、g services: https:/portal.etsi.org/People/CommiteeSupportStaff.aspx Copyright Notification No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm except as authorized by written permission of ETSI. The content of the PDF vers
7、ion shall not be modified without the written authorization of ETSI. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2017. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTMand the ETSI logo are Trade Marks of ETSI regist
8、ered for the benefit of its Members. 3GPPTM and LTE are Trade Marks of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. oneM2M logo is protected for the benefit of its Members GSM and the GSM logo are Trade Marks registered and owned by the GSM Association. ETS
9、I ETSI TR 133 916 V14.1.0 (2017-04)23GPP TR 33.916 version 14.1.0 Release 14Intellectual Property Rights IPRs essential or potentially essential to the present document may have been declared to ETSI. The information pertaining to these essential IPRs, if any, is publicly available for ETSI members
10、and non-members, and can be found in ETSI SR 000 314: “Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in respect of ETSI standards“, which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web server (https:/ipr.etsi.org
11、/). Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become, essential to the pre
12、sent document. Foreword This Technical Report (TR) has been produced by ETSI 3rd Generation Partnership Project (3GPP). The present document may refer to technical specifications or reports using their 3GPP identities, UMTS identities or GSM identities. These should be interpreted as being reference
13、s to the corresponding ETSI deliverables. The cross reference between GSM, UMTS, 3GPP and ETSI identities can be found under http:/webapp.etsi.org/key/queryform.asp. Modal verbs terminology In the present document “should“, “should not“, “may“, “need not“, “will“, “will not“, “can“ and “cannot“ are
14、to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of provisions). “must“ and “must not“ are NOT allowed in ETSI deliverables except when used in direct citation. ETSI ETSI TR 133 916 V14.1.0 (2017-04)33GPP TR 33.916 version 14.1.0 Release 14Cont
15、ents Intellectual Property Rights 2g3Foreword . 2g3Modal verbs terminology 2g3Foreword . 5g31 Scope 6g32 References 6g33 Definitions and abbreviations . 6g33.1 Definitions 6g33.2 Abbreviations . 8g34 Overview 9g34.0 Introduction 9g34.1 Scope of a SECAM SCAS . 9g34.2 Scope of SECAM evaluation 10g34.3
16、 Scope of SECAM Accreditation 10g34.4 Ultimate Output of SECAM Evaluation . 11g34.5 Network product evaluation process 11g34.6 Roles in SECAM 12g34.6.1 SECAM Roles Overview 12g34.6.2 Examples of instantiation of roles in SECAM 13g34.6.2.1 Introduction . 13g34.6.2.2 Example: Complete self-evaluation
17、14g34.7 Operator security acceptance decision . 14g34.8 SECAM Assurance level 14g34.9 Security baseline 15g35 Security Assurance Specification (SCAS) Creation . 16g35.1 Writing process overview . 16g35.2 SCAS documents structure and content . 17g35.2.1 General 17g35.2.2 Security Problem Definition (
18、SPD) 17g35.2.2.1 Introduction. 17g35.2.2.2 Threats 18g35.2.2.3 Security Objectives . 19g35.2.3 Security Requirements 19g35.2.3.1 Introduction . 19g35.2.3.1.1 Level of detail of security requirements 21g35.2.3.2 Incorporation of security requirements from existing 3GPP TSs in current releases 21g35.2
19、.3.3 Handling of security requirements 22g35.2.3.4 Guidelines for writing test cases . 24g35.2.3.4.1 General 24g35.2.3.4.2 Verifiability and repeatability 24g35.2.3.4.3 System under test . 25g35.2.3.4.4 Template to be used for writing the test cases . 25g35.3 Improvement of SCAS and new security req
20、uirements 25g36 Vendor development and product lifecycle processes and test laboratory accreditation . 25g36.1 Overview 25g36.2 Audit and accreditation of Vendor network product development and network product lifecycle management processes . 26g36.3 Audit and accreditation of test laboratories 27g3
21、6.4 Monitoring 27g36.5 Dispute resolution. 27g37 Evaluation and SCAS instantiation 28g37.1 Security Assurance Specification instantiation documents creation 28g3ETSI ETSI TR 133 916 V14.1.0 (2017-04)43GPP TR 33.916 version 14.1.0 Release 147.2 Evaluation and evaluation report 28g37.2.1 Network produ
22、ct development process and network product lifecycle management . 28g37.2.2.3 Process 32g37.2.3 Security Compliance testing 34g37.2.3.1 Inputs . 34g37.2.3.2 Outputs 34g37.2.3.3 Activities . 34g37.2.4 Basic Vulnerability Testing . 34g37.3 Self-declaration 35g37.4 Partial compliance and use of SECAM r
23、equirements in network product development cycle 35g37.5 Comparison between two SECAM evaluations . 35g37.6 The evaluation of a new version . 35g3Annex A: Summary of SECAM documents 37g3Annex B: Summary of actors involved in SECAM . 38g3Annex C: Change history 41g3History 42g3ETSI ETSI TR 133 916 V1
24、4.1.0 (2017-04)53GPP TR 33.916 version 14.1.0 Release 14Foreword This Technical Report has been produced by the 3rdGeneration Partnership Project (3GPP). The contents of the present document are subject to continuing work within the TSG and may change following formal TSG approval. Should the TSG mo
25、dify the contents of the present document, it will be re-released by the TSG with an identifying change of release date and an increase in version number as follows: Version x.y.z where: x the first digit: 1 presented to TSG for information; 2 presented to TSG for approval; 3 or greater indicates TS
26、G approved document under change control. Y the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections, updates, etc. z the third digit is incremented when editorial only changes have been incorporated in the document. ETSI ETSI TR 133 916 V14.1.0 (2017-04
27、)63GPP TR 33.916 version 14.1.0 Release 141 Scope The present document defines the complete Security Assurance Methodology (SECAM) evaluation process (evaluation, relation to SECAM Accreditation Body, roles, etc.) as well as the components of SECAM that are intended to provide the expected security
28、assurance. It will thus describe the general scheme providing an overview of the entire scheme and explaining how to create and apply the Security Assurance Specifications (SCASs). It will detail the different evaluation tasks (vendor network product development and network product lifecycle managem
29、ent process assessment, Security Compliance Testing, Basic Vulnerability Testing and Enhanced Vulnerability Analysis) and the different actors involved. Enhanced Vulnerability Analysis is outside the scope of the present release of SECAM. The present document will help all involved parties to have a
30、 clear understanding of the overall process and the covered threats. The concrete security requirements will be part of the Security Assurance Specifications (SCASs) for each network product class and not part of this overall process document. Some of the tasks described in the SECAM scheme are mean
31、t to be performed by 3GPP, while other tasks are meant to be performed by the SECAM Accreditation Body. This accreditation body has been agreed to be the GSMA. 3GPP maintains the overall responsibility for the SECAM scheme and creates the SCASs. The SECAM Accreditation Body is tasked to develop requ
32、irements on vendor network product development, the network product lifecycle management process, and SECAM-accreditation for vendors and test laboratories, and describe these requirements in separate documents that will complement the present document. The SECAM Accreditation Body defines its own s
33、cheme that covers all these tasks. 2 References The following documents contain provisions which, through reference in this text, constitute provisions of the present document. - References are either specific (identified by date of publication, edition number, version number, etc.) or non-specific.
34、 - For a specific reference, subsequent revisions do not apply. - For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document (including a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same Release
35、as the present document. 1 3GPP TR 21.905: “Vocabulary for 3GPP Specifications“. 2 3GPP TS 33.401: “3GPP System Architecture Evolution (SAE); Security architecture“. 3 void 4 3GPP TR 33.821: “Rationale and track of security decisions in Long Term Evolution (LTE) RAN / 3GPP System Architecture Evolut
36、ion (SAE)“. 5 3GPP TS 33.102: “3G security; Security architecture“. 6 3GPP TR 33.926: “Security Assurance Specification (SCAS) threats and critical assets in 3GPP network product classes“. 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the terms and definit
37、ions given in TR 21.905 1 and the following apply. A term defined in the present document takes precedence over the definition of the same term, if any, in TR 21.905 1. ETSI ETSI TR 133 916 V14.1.0 (2017-04)73GPP TR 33.916 version 14.1.0 Release 143GPP Security Assurance Methodology (SECAM): SECAM i
38、s a process used to measure the security features of 3GPP network products studied and described in the present document. Accreditation: Formal recognition by an accreditation body that a test laboratory is impartial and competent to carry out specific tests or types of assessments. NOTE1: In the co
39、ntext of SECAM, it would be recognition that a test laboratory is competent to assess the 3GPP network product against the requirements from the 3GPP SCAS and to produce an evaluation report. SECAM Accreditation Body: the entity responsible for the accreditation process. This entity is the GSMA. Ass
40、urance: confidence that a network product meets its specific security objectives. NOTE 2: Assurance is usually verified by performing an evaluation. Assurance level: evaluation effort in terms of scope, depth and rigor. For higher assurance level, more information with more details is typically requ
41、ired, and this information will be analysed more rigorously. NOTE 3: The “3GPP Assurance Levels“ have nothing to do with “Evaluated Assurance Levels“ used in Common Criteria. Basic Vulnerability Testing (BVT): The process of running security tools against a network product. BVT is defined by the use
42、 of Free and Open Source Software (FOSS) and Commercial off-the-shelf (COTS) security testing tools on the external interfaces of the network product. NOTE 4: Details on these tools can be found in clause 7.2.4. Certification: confirmation by an independent Certification Authority (CA) that the eval
43、uation has been properly carried out. NOTE 5: Certification of network products is out of scope for SECAM. However, SECAM does not preclude certification activities for network products which would e.g. complement the Self-declaration step. Enhanced Vulnerability Testing (EVA): Evaluation process st
44、ep described in Clause 7.2.5. This activity takes the output of the earlier Security Compliance Testing (SCT) and Basic Vulnerability Testing (BVT) into account. NOTE6: Enhanced Vulnerability Analysis is outside the scope of the present release of SECAM. Evaluation report: the output document delive
45、red by the test laboratory for its evaluation task, in which the test procedures, the test results and other related information may be included. For three specific evaluation tasks defined in SECAM (SCT, BVT, EVA), the according output document is SCT report, BVT report, EVA report respectively. Te
46、st laboratory: enityt that evaluates the network product and produces an evaluation report. The vendor, the operator, GSMA, NVIOT, 3GPP, GCF or some other party, could take the test laboratory role. Hardening: contributes to the security baseline of a network product, achieved for example by configu
47、rations, settings, and protocol restrictions, to decrease the attack surface for a network product. The difference in hardening is one aspect that influences the security baseline of a network product. Network Product: A network product is the instantiation of one or more network product class(es).
48、Network Product Class: A network product class, in the context of SECAM, is the class of products that all implements a common set of 3GPP defined functionalities. Network Equipment Security Assurance Scheme (NESAS): the name given to the scheme that will provide an administrative framework for impl
49、ementation of SECAM for security evaluation of 3GPP compliant network equipment. NOTE 7: NESAS is a GSMA term but is not used in this document. SECAM evaluation: A SECAM evaluation comprises of the Vendor Network Product Development process evaluation, the product lifecycle management process evaluation and the Network Product evaluation. Security Assurance Specification (SCAS): The SCAS for a given network product class provides a description of the security requirements (which are including test cases) pertaining to that network product class. ETSI ETSI TR 1
