【中英文对照版】商用密码应用安全性评估管理办法.docx

商用密码应用安全性评估管理办法AdministrativeMeasuresfortheSecurityAssessmentofCommercialCryptographyApplication制定机关：国家密码管理局发文字号：国家密码管理局令第3号公布日期：2023.09.26施行日期：2023.11.01效力位阶：部门规章法规类别：商用密码IssuingAuthority：StateEncryptionAdministrationDocumentNumber:OrderNo.3oftheStaleCryptographyAdministrationDateIssued：09-26-2023EffectiveDate：11-01-20231.evelofAuthority：DepartmentalRulesAreaofLaw：CommercialCryptography国家密码管理局令OrderoftheStateCryptographyAdministration(No. 3)（第3号）商用密码应用安全性评估管理 办法已经2023年9月11日国 家密码管理局局务会议审议通 过，现予公布，自2023年11月 1日起施行。局长刘东方2023年9月26日TheAdministrativeMeasuresfortheSecurityAssessmentofCommercialCryptographyApplication,asdeliberatedandadoptedattheexecutivemeetingoftheStateCryptographyAdministrationonSeptember11,2023,areherebyissuedandshallcomeintoforceonNovember1,2023.Director:LiuDongfangSeptember26,2023the SecurityCryptography商用密码应用安全性评估管理办 法AdministrativeMeasuresforAssessmentofCommercialApplication第一条 为了规范商用密码 应用安全性评估工作，保障网络 与信息安全，维护国家安全和社 会公共利益，保护公民、法人和 其他组织的合法权益，根据中 华人民共和国密码法、商用 密码管理条例等有关法律法 规，制定本办法。第二条本办法所称商用密 码应用安全性评估，是指按照有 关法律法规和标准规范，对网络 与信息系统使用商用密码技术、 产品和服务的合规性、正确性、 有效性进行检测分析和评估验证 的活动。第三条国家密码管理局负 责管理全国的商用密码应用安全 性评估工作。县级以上地方各级 密码管理部门负责管理本行政区 域的商用密码应用安全性评估工 作。国家机关和涉及商用密码工作的Article1TheseMeasuresaredevelopedinaccordancewiththeCryptographyLawofthePeople'sRepublicofChina,theRegulationontheAdministrationofCommercialCryptography,andotherrelevantlawsandregulationstoregulatethesecurityassessmentofcommercialcryptographyapplication,guaranteecybersecurityandinformationsecurity,safeguardnationalsecurityandpublicinterest,andprotectthelawfulrightsandinterestsofcitizens,legalpersons,andotherorganizations.Article2ForthepurposesoftheseMeasures,"securityassessmentofcommercialcryptographyapplicationmeanstheactivitiesoftesting,analyzing,assessing,andverifyingthecompliance,accuracy,andeffectivenessofcommercialcryptographytechnologies,products,andservicesusedinnetworkandinformationsystemsinaccordancewithrelevantlaws,regulations,standards,andspecifications.Article3TheStateCryptographyAdministration(SCA)shallberesponsibleforadministeringthesecurityassessmentofcommercialcryptographyapplicationnationwide.Localcryptographyadministrationsatandabovethecountylevelshallberesponsibleforadministeringthesecurityassessmentofcommercialcryptographyapplicationwithintheirrespectiveadministrativeregions.Stateorgansandentitiesinvolvedinthecommercialcryptographyworkshall,withinthe单位在其职责范围内负责指导、 监督本机关、本单位或者本系统 的商用密码应用安全性评估工 作。scopeoftheirduties,beresponsibleforguidingandsupervisingthesecurityassessmentofcommercialcryptographyapplicationwithintheirorgans,entities,orsystems.第四条从事商用密码应用 安全性评估活动，向社会出具具 有证明作用的商用密码应用安全 性评估数据、结果的机构，应当 经国家密码管理局认定，依法取 得商用密码检测机构资质。Article4InstitutionsthatconductthesecurityassessmentofcommercialcryptographyapplicationandprovidedataandresultswiththefunctionofprooftothepublicshallberecognizedbytheSCAandobtainthequalificationofacommercialcryptographytestinginstitutioninaccordancewiththelaw.第五条国家密码管理局支 持商用密码应用安全性评估技 术、标准、工具创新，完善商用 密码应用安全性评估标准体系， 鼓励设立商用密码应用安全性评 估行业组织，加强行业自律，维 护行业秩序。Article5TheSCAshallsupportinnovationintechnologies,standards,andtoolsforthesecurityassessmentofcommercialcryptographyapplication,improvethesystemofstandardsforthesecurityassessmentofcommercialcryptographyapplication,encouragetheestablishmentofindustryorganizationsforthesecurityassessmentofcommercialcryptographyapplication,strengthenindustryself-regulation,andmaintaintheindustryorder.第六条法律、行政法规和 国家有关规定要求使用商用密码 进行保护的网络与信息系统（以 下简称重要网络与信息系统）， 其运营者应当使用商用密码进行 保护，制定商用密码应用方案， 配备必要的资金和专业人员，同 步规划、同步建设、同步运行商 用密码保障系统，并定期开展商 用密码应用安全性评估。Article6Anoperatorofanetworkandinformationsystemwhichshallbeprotectedbycommercialcryptographyasrequiredbylaws,administrativeregulations,andrelevantrulesofthestate(hereinafterreferredtoastheukeynetworkandinformationsystemn)shallusecommercialcryptographyforprotection,developcommercialcryptographyapplicationplans,allocatenecessaryfundsandprofessionals,concurrentlyplan,construct,andoperatecommercialcryptographysecuritysystems,andassessthesecurityofcommercialcryptographyapplicationonaperiodicalbasis.第七条重要网络与信息系 统规划阶段，其运营者应当依照 相关法律法规和标准规范，根据 商用密码应用需求，制定商用密 码应用方案，规划商用密码保障 系统。Article7Duringtheplanningstageofakeynetworkandinformationsystem,itsoperatorshallmakecommercialcryptographyapplicationplansandplancommercialcryptographysecuritysystemsinaccordancewiththerelevantlaws,regulations,standards,andspecificationsandtheneedsofcommercialcryptographyapplication.重要网络与信息系统的运营者应 当自行或者委托商用密码检测机 构对商用密码应用方案进行商用 密码应用安全性评估。商用密码 应用方案未通过商用密码应用安 全性评估的，不得作为商用密码 保障系统的建设依据。Anoperatorofakeynetworkandinformationsystemshallconductthesecurityassessmentofcommercialcryptographyapplicationorentrustacommercialcryptographytestinginstitutiontodoso.Acommercialcryptographyapplicationplanthatfailstopassthesecurityassessmentofcommercialcryptographyapplicationshallnotbetakenasthebasisfortheconstructionofacommercialcryptographysecuritysystem.第八条重要网络与信息系 统建设阶段，其运营者应当按照 通过商用密码应用安全性评估的 商用密码应用方案组织实施，落 实商用密码安全防护措施，建设 商用密码保障系统。Article8Duringtheconstructionstageofakeynetworkandinformationsystem,itsoperatorshallorganizetheimplementationofthesystemaccordingtothecommercialcryptographyapplicationplanthathaspassedthesecurityassessmentofcommercialcryptographyapplication,implementcommercialcryptographysecurityprotectionmeasures,andbuildacommercialcryptographysecuritysystem.重要网络与信息系统运行前，其 运营者应当自行或者委托商用密 码检测机构开展商用密码应用安 全性评估。网络与信息系统未通 过商用密码应用安全性评估的， 运营者应当进行改造，改造期间 不得投入运行。Beforetheoperationofakeynetworkandinformationsystem,itsoperatorshallconductthesecurityassessmentofcommercialcryptographyapplicationorentrustacommercialcryptographytestinginstitutiontodoso.Ifanetworkandinformationsystemfailstopassthesecurityassessmentofcommercialcryptographyapplication,itsoperatorshallconducttransformationandshallnotputthesystemintooperationduringthetransformationperiod.第九条重要网络与信息系 统建成运行后，其运营者应当自 行或者委托商用密码检测机构每 年至少开展一次商用密码应用安 全性评估，确保商用密码保障系 统正确有效运行。未通过商用密 码应用安全性评估的，运营者应 当进行改造，并在改造期间采取 必要措施保证网络与信息系统运 行安全。Article9Aftertheconstructionandoperationofakeynetworkandinformationsystem,itsoperatorshallconductthesecurityassessmentofcommercialcryptographyapplicationorentrustacommercialcryptographytestinginstitutiontodosoatleastonceayeartoensurethecorrectandeffectiveoperationofthecommercialcryptographysecuritysystem.Ifthesystemfailstopassthesecurityassessmentofcommercialcryptographyapplication,theoperatorshallconducttransformationandtakenecessarymeasuresduringthetransformationperiodtoensurethesecurityofthenetworkandinformationsystemoperation.第十条 对商用密码应用方 案开展商用密码应用安全性评 估，应当包括以下内容：Article10Thesecurityassessmentofcommercialcryptographyapplicationforacommercialcryptographyapplicationplanshallcoverthefollowing:（一）考量商用密码应用需求的 全面性、合理性和针对性，对照 相关标准规范选取适用指标的准 确性，以及不适用指标论证的充 分性；(1) Consideringthecomprehensiveness,reasonableness,andpertinenceofcommercialcryptographyapplicationneeds,theaccuracyofselectingapplicableindicatorsbyreferencetorelevantstandardsandspecifications,andtheadequacyofthedemonstrationofnon-applicableindicators.（二）分析商用密码应用流程和 机制是否具备可实施性、商用密 码保护措施是否达到相应的商用 密码应用要求、相关描述是否详 尽；(2) Analyzingwhetherthecommercialcryptographyapplicationprocessandmechanismareexecutable,whethercommercialcryptographyprotectionmeasuressatisfythecorrespondingrequirementsfortheapplicationofcommercialcryptography,andwhethertherelevantdescriptionsaredetailed.（三）论证商用密码技术、产品 和服务选用的合规性，密钥管理 的安全性，以及使用商用密码解 决安全风险的科学性；(3) Demonstratingthecomplianceoftheselectionofcommercialcryptographytechnologies,products,andservices,thesecurityofkeymanagement,andthescientificnatureofusingcommercialcryptographytoresolvesecurityrisks.（四）编制形成商用密码应用安 全性评估报告。(4) Preparingandformingreportsonthesecurityassessmentofcommercialcryptographyapplication.第十一条 对建设完成的网 络与信息系统开展商用密码应用 安全性评估，应当包括以下内 容：Article11Thesecurityassessmentofcommercialcryptographyapplicationforacompletednetworkandinformationsystemshallcoverthefollowingcontent:（一）对照商用密码应用方案, 了解网络与信息系统基本情况, 准确划定评估范围；(1) Byreferencetothecommercialcryptographyapplicationplan,obtainingthebasicinformationonthenetworkandinformationsystemandaccuratelydefiningtheassessmentscope.（二）确定评估指标及评估对 象，论证编制商用密码应用安全 性评估实施方案；(2) Determiningassessmentindicatorsandtargetsanddemonstratingandpreparingimplementationplansforthesecurityassessmentofcommercialcryptographyapplication.（三）依据商用密码应用安全性 评估实施方案，开展现场评估， 做好数据采集和信息汇总，研判 商用密码保障系统配置及运行情 况；(3) Conductingon-siteassessmentaccordingtotheimplementationplanforthesecurityassessmentofcommercialcryptographyapplication,collectingdataandsummarizinginformation,andstudyinganddeterminingtheconfigurationandoperationofcommercialcryptographysecuritysystems.（四）根据客观凭据逐项对评估 指标进行判定，编制形成商用密(4) Determiningtheassessmentindicatorsitembyitembasedonobjectiveevidenceandpreparingreportsonthesecurityassessmentof码应用安全性评估报告。commercialcryptographyapplication.第十二条运营者开展商用 密码应用安全性评估活动，应当 遵守法律法规、标准规范要求， 遵循客观实际、科学公正、诚实 信用原则。委托商用密码检测机 构开展商用密码应用安全性评估 的，不得对评估结果施加不当影 响，并应当提供以下支持：Article12Anoperatorconductingthesecurityassessmentofcommercialcryptographyapplicationshallcomplywiththerequirementsoflaws,regulations,standards,andspecificationsandadheretotheprinciplesofobjectivityandpracticality,Scientificity,impartiality,andintegrity.Ifacommercialcryptographytestinginstitutionisentrustedtoconductthesecurityassessmentofcommercialcryptographyapplication,itshallnotexertundueinfluenceontheassessmentresultsandshallprovidethefollowingsupport:（一）对网络与信息系统的重要 数据进行备份；(1) Itshallbackupimportantdataofthenetworkandinformationsystem.（二）提供完整有效的网络与信 息系统设备清单和网络拓扑；(2) Itshallprovideacompleteandeffectivelistofnetworkandinformationsystemequipmentandnetworktopology.（三）提供详细的网络与信息系 统商用密码应用方案、密码相关 管理制度和密码配置、运行、维 护记录；(3) Itshallprovideadetailedcommercialcryptographyapplicationplanforthenetworkandinformationsystem,relevantmanagementrulesforcryptography,andcryptographyconfiguration,operation,andmaintenancerecords.（四）提供商用密码产品管理入 口、网络交换设备接入端口等相 关信息、数据接入分析条件，并 配合进行数据采集；(4) Itshallproviderelevantinformationsuchascommercialcryptographyproductmanagementaccess,networkswitchingequipmentaccessports,dataaccessanalysisconditions,andassistindatacollection.（五）安排网络与信息系统相关 网络管理员、系统管理员、密钥(5) Itshallassignnetworkandinformationsystem-relatednetworkadministrators,systemadministrators, key administrators, password security auditors, and password operators, among others, to cooperate.管理员、密码安全审计员、密码 操作员等做好配合；(6) Other matters requiring cooperation.（六）其他需要配合的事项。Article 13 An operator of a network and information system that conducts the security assessment of commercial cryptography application shall satisfy the following requirements:第十三条 自行开展商用密 码应用安全性评估的网络与信息 系统，其运营者应当符合以下要 求：(1) It hastheequipmentand facilitiesappropriateforconductingthe securityassessmentofcommercialcryptographyapplication.（一）具有与开展商用密码应用 安全性评估活动相适应的设备设 施；（二）具有与开展商用密码应用 安全性评估活动相适应的项目管 理、质量管理、人员管理、档案 管理、安全保密管理等规章制 度；(3) It has professionals competent conducting the security assessment commercial cryptography application.for （三）具有与开展商用密码应用of安全性评估活动相适应的专业人员；(2)Ithasprojectmanagement,qualitymanagement,personnelmanagement,archivesmanagement,securityandconfidentialitymanagement,andotherrulesandregulationsappropriateforconductingthesecurityassessmentofcommercialcryptographyapplication.（四）具有与开展商用密码应用 安全性评估活动相适应的专业能 力O自行开展商用密码应用安全性评估形成的商用密码应用安全性评估报告，应当符合相关国家标准、行业标准和有关规定的要(4)Ithasprofessionalcapabilitiesappropriateforconductingthesecurityassessmentofcommercialcryptographyapplication.Thereportsonthesecurityassessmentofcommercialcryptographyapplicationformedthroughtheself-assessmentofthesecurityofcommercialcryptographyapplicationshall求，由本单位密码或者网络安全 负责人签字确认并加盖本单位公 章Qsatisfytherequirementsoftherelevantnationalstandards,industrystandards,andtherelevantprovisions,andbesignedandconfirmedbythepersoninchargeofcryptographysecurityorcybersecurityandbeartheofficialsealoftheentity.运营者应当对商用密码应用安全 性评估原始记录和商用密码应用 安全性评估报告归档留存，保证 其具有可追溯性。商用密码应用 安全性评估原始记录和商用密码 应用安全性评估报告的保存期限 不得少于6年。Theoperatorshallarchiveandretaintheoriginalrecordsofthesecurityassessmentofcommercialcryptographyapplicationandthereportsonthesecurityassessmentofcommercialcryptographyapplicationtoensuretheirtraceability.Theoriginalrecordsofthesecurityassessmentofcommercialcryptographyapplicationandthereportsonthesecurityassessmentofcommercialcryptographyapplicationshallbekeptforatleastsixyears.第十四条重要网络与信息 系统的运营者应当在商用密码应 用安全性评估报告形成后30日 内，将评估报告和相关工作情况 按照国家有关规定报送国家密码 管理局或者网络与信息系统所在 地省、自治区、直辖市密码管理 部门备案。Article14Anoperatorofakeynetworkandinformationsystemshall,within30daysaftertheformationofthereportonthesecurityassessmentofcommercialcryptographyapplication,submittheassessmentreportandreportrelevantworktotheSCAorthecryptographyadministrationoftheprovince,autonomousregion,ormunicipalitydirectlyundertheCentralGovernmentwherethenetworkandinformationsystemislocatedforrecordationinaccordancewiththerelevantrulesissuedbythestate.国家密码管理局或者省、自治 区、直辖市密码管理部门对商用 密码应用安全性评估结果备案材 料进行形式审查。形式审查未通 过的，相关运营者应当重新提交 备案材料。TheSCAorthecryptographyadministrationofaprovince,autonomousregion,ormunicipalitydirectlyundertheCentralGovernmentshallconductaformalreviewofmaterialsontherecordationoftheresultsofthesecurityassessmentofcommercialcryptographyapplication.Iftheformalreviewisnotpassed,therelevantoperatorshallresubmitrecordationmaterials.国家密码管理局可以对商用密码 应用安全性评估结果进行抽样检 查Q抽样检查不合格的，相关运 营者应当重新开展商用密码应用 安全性评估。TheSCAmayconductsamplinginspectionsoftheresultsofthesecurityassessmentofcommercialcryptographyapplication.Iftheapplicationofcommercialcryptographyfailstopassthesampleinspection,therelevantoperatorshallconductthesecurityassessmentofcommercialcryptographyapplicationonceagain.省、自治区、直辖市密码管理部 门应当按季度向国家密码管理局 报送本地区商用密码应用安全性 评估工作开展情况。Thecryptographyadministrationofaprovince,autonomousregion,ormunicipalitydirectlyundertheCentralGovernmentshall,onaquarterlybasis,reporttheinformationonthesecurityassessmentofcommercialcryptographyapplicationinitsregiontotheSCA.、第十五条运营者发现密码 相关重大安全事件、重大密码安 全隐患或者特殊紧急情况的，应 当及时向国家密码管理局或者网 络与信息系统所在地省、自治 区、直辖市密码管理部门报告， 并启动应急处置方案，必要时开 展商用密码应用安全性评估。第十六条县级以上地方各 级密码管理部门、国家机关和涉 及商用密码工作的单位可以根据 工作需要，对本地区、本机关、 本单位或者本系统的重要网络与 信息系统商用密码应用安全性评 估情况开展专项检查。Article15Whereanoperatorfindsanymajorcryptography-reIatedsecurityincident,majorpotentialcryptographysecurityhazard,oranyparticularemergency,itshallpromptlyreporttheinformationtotheSCAorthecryptographyadministrationoftheprovince,autonomousregion,ormunicipalitydirectlyundertheCentralGovernmentwherethenetworkandinformationsystemislocated,launchanemergencyresponseplan,andcarryoutthesecurityassessmentofcommercialcryptographyapplicationifnecessary.Article16Localcryptographyadministrationsatorabovethecountylevel,stateorgans,andentitiesinvolvedinthecommercialcryptographyworkmay,asrequiredforwork,conductspecialinspectionsofthesecurityassessmentofcommercialcryptographyapplicationofkeynetworkandinformationsystemswithintheirrespectiveregions,organs,entities,orsystems.第十七条重要网络与信息 系统的运营者违反中华人民共 和国密码法、商用密码管