1、 ETSI TR 133 916 V15.0.0 (2018-07) Universal Mobile Telecommunications System (UMTS); LTE; Security Assurance Methodology (SCAS) for 3GPP network products (3GPP TR 33.916 version 15.0.0 Release 15) TECHNICAL REPORT ETSI ETSI TR 133 916 V15.0.0 (2018-07)13GPP TR 33.916 version 15.0.0 Release 15Refere
2、nce RTR/TSGS-0333916vf00 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
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7、ion shall not be modified without the written authorization of ETSI. The copyright and the foregoing restriction extend to reproduction in all media. ETSI 2018. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTMand the ETSI logo are trademarks of ETSI registered for the benefit of its Members. 3GPPTM
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9、3.916 version 15.0.0 Release 15Intellectual Property Rights Essential patents IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can
10、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/). Pursuant to the ETSI
11、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 present document. Trademarks
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13、 those trademarks in the present document does not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks. Foreword This Technical Report (TR) has been produced by ETSI 3rd Generation Partnership Project (3GPP). The present document may refer to tec
14、hnical specifications or reports using their 3GPP identities, UMTS identities or GSM identities. These should be interpreted as being references to the corresponding ETSI deliverables. The cross reference between GSM, UMTS, 3GPP and ETSI identities can be found under http:/webapp.etsi.org/key/queryf
15、orm.asp. Modal verbs terminology In the present document “should“, “should not“, “may“, “need not“, “will“, “will not“, “can“ and “cannot“ are 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 allowe
16、d in ETSI deliverables except when used in direct citation. ETSI ETSI TR 133 916 V15.0.0 (2018-07)33GPP TR 33.916 version 15.0.0 Release 15Contents Intellectual Property Rights 2g3Foreword . 2g3Modal verbs terminology 2g3Foreword . 5g31 Scope 6g32 References 6g33 Definitions and abbreviations . 7g33
17、.1 Definitions 7g33.2 Abbreviations . 8g34 Overview 9g34.0 Introduction 9g34.1 Scope of a SECAM SCAS . 9g34.2 Scope of SECAM evaluation 10g34.3 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
18、 Roles Overview 12g34.6.2 Examples of instantiation of roles in SECAM 12g34.6.2.1 Introduction . 12g34.6.2.2 Example: Complete self-evaluation 13g34.7 Operator security acceptance decision . 13g34.8 SECAM Assurance level 13g34.9 Security baseline 14g35 Security Assurance Specification (SCAS) Creatio
19、n . 15g35.1 Writing process overview . 15g35.2 SCAS documents structure and content . 16g35.2.1 General 16g35.2.2 Security Problem Definition (SPD) 16g35.2.2.1 Introduction . 16g35.2.2.2 Threats . 17g35.2.2.3 Security Objectives . 18g35.2.3 Security Requirements 18g35.2.3.1 Introduction . 18g35.2.3.
20、1.1 Level of detail of security requirements 20g35.2.3.2 Incorporation of security requirements from existing 3GPP TSs in current releases 20g35.2.3.3 Handling of security requirements 21g35.2.3.4 Guidelines for writing test cases . 23g35.2.3.4.1 General 23g35.2.3.4.2 Verifiability and repeatability
21、 23g35.2.3.4.3 System under test . 24g35.2.3.4.4 Template to be used for writing the test cases . 24g35.3 Improvement of SCAS and new security requirements 24g36 Vendor development and product lifecycle processes and test laboratory accreditation . 24g36.1 Overview 24g36.2 Audit and accreditation of
22、 Vendor network product development and network product lifecycle management processes . 25g36.3 Audit and accreditation of test laboratories 26g36.4 Monitoring 26g36.5 Dispute resolution. 26g37 Evaluation and SCAS instantiation 27g37.1 Security Assurance Specification instantiation documents creati
23、on 27g3ETSI ETSI TR 133 916 V15.0.0 (2018-07)43GPP TR 33.916 version 15.0.0 Release 157.2 Evaluation and evaluation report 27g37.2.1 Network product development process and network product lifecycle management . 27g37.2.2 SCAS instantiation evaluation 28g37.2.2.1 Overview . 28g37.2.2.2 Content 28g37
24、.2.2.2.1 Scope of the evaluation . 28g37.2.2.2.2 Mapping of SCAS security requirements to the network product and assets in the network product . 29g37.2.2.2.3 Operational guidance documents and configuration of the network product for evaluation . 30g37.2.2.2.4 Information needed to execute the req
25、uired tests for SCT and BVT activities 30g37.2.2.3 Process 31g37.2.3 Security compliance testing 32g37.2.3.1 Inputs . 32g37.2.3.2 Outputs 32g37.2.3.3 Activities . 32g37.2.4 Basic Vulnerability Testing 32g37.3 Self-declaration 33g37.4 Partial compliance and use of SECAM requirements in network produc
26、t development cycle 33g37.5 Comparison between two SECAM evaluations . 33g37.6 The evaluation of a new version . 33g3Annex A: Summary of SECAM documents 35g3Annex B: Summary of actors involved in SECAM . 36g3Annex C: Change history 38g3History 39g3ETSI ETSI TR 133 916 V15.0.0 (2018-07)53GPP TR 33.91
27、6 version 15.0.0 Release 15Foreword 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 modify the contents of the pres
28、ent 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 TSG approved document under cha
29、nge 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 V15.0.0 (2018-07)63GPP TR 33.916 version 15.0
30、.0 Release 151 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 assurance. It will thus descr
31、ibe 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 management process assessment, Secur
32、ity 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 clear understanding of the o
33、verall 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 meant to be performed by 3GPP, wh
34、ile 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 requirements on vendor network pr
35、oduct 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 scheme that covers all these t
36、asks. 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. - For a specific reference,
37、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 as the present document. 1 3G
38、PP 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 Evolution (SAE)“. 5 3GPP TS 33.102:
39、 “3G security; Security architecture“. 6 3GPP TR 33.926: “Security Assurance Specification (SCAS) threats and critical assets in 3GPP network product classes“. 7 GSMA FS.13: “Network Equipment Security Assurance Scheme Overview“, g346g410g410g393g855g876g876g449g449g449g856g336g400g373g258g856g272g3
40、81g373g876g69g28g94g4g94g890g75g448g286g396g448g349g286g449. 8 GSMA FS.14: “Network Equipment Security Assurance Scheme Security Test Laboratory Accreditation Requirements and Process“, http:/ 9 GSMA FS.15: “Network Equipment Security Assurance Scheme Vendor Development and Product Lifecycle Require
41、ments and Accreditation Process“, http:/ 10 GSMA FS.16: “Network Equipment Security Assurance Scheme Dispute Resolution Process“, http:/ ETSI ETSI TR 133 916 V15.0.0 (2018-07)73GPP TR 33.916 version 15.0.0 Release 153 Definitions and abbreviations 3.1 Definitions For the purposes of the present docu
42、ment, the terms and definitions 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. 3GPP Security Assurance Methodology (SECAM): SECAM is a process used to measure the security features of
43、 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 context of SECAM, it would be recognition that a test
44、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. Assurance: confidence that a network product meets its
45、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 required, and this information will be analysed more rig
46、orously. 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 of Free and Open Source Software (FOSS) and Commerc
47、ial 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 evaluation has been properly carried out. NOTE 5: Certif
48、ication 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 step described in Clause 7.2.5. This activity takes th
49、e 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 delivered 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 eval
