---
title: "FIPS 140-3 Vendor Affirmation FAQ"
canonical_url: "https://www.sorena.io/artifacts/global/fips-140-3/faq/vendor-affirmation"
source_url: "https://www.sorena.io/artifacts/global/fips-140-3/faq/vendor-affirmation"
author: "Sorena AI"
description: "When vendor affirmation can support a FIPS 140-3 module claim, what it does not supersede, and which Security Policy, CAVP, CSTL, and test-report evidence to keep."
published_at: "2026-05-09"
updated_at: "2026-05-09"
keywords:
  - "FIPS 140-3"
  - "CMVP vendor affirmation"
  - "HSS vendor affirmation"
  - "SP 800-133"
  - "CAVP certificates"
  - "CMVP"
  - "Vendor Affirmation"
  - "CAVP"
  - "Security Policy"
---
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---

# FIPS 140-3 Vendor Affirmation FAQ

When vendor affirmation can support a FIPS 140-3 module claim, what it does not supersede, and which Security Policy, CAVP, CSTL, and test-report evidence to keep.

*FAQ* *GLOBAL* *FIPS 140-3*

## FIPS 140-3 Vendor affirmation

A grounded answer for teams checking whether a vendor-affirmed algorithm or key-generation method can be used in a FIPS 140-3 module evidence package.

Focuses on CMVP Implementation Guidance, CAVP certificate evidence, Security Policy disclosures, and CSTL review records.

Short answer: treat vendor affirmation as a narrow CMVP Implementation Guidance path, not as a replacement for FIPS 140-3 module validation or required CAVP certificates. Use it only when the applicable IG permits it, then preserve the Security Policy language, CAVP certificate references, CSTL review results, and test-report mapping that support the claim.

## When can vendor affirmation be used under FIPS 140-3?

Vendor affirmation is available only for specific cases described in CMVP Implementation Guidance. The clearest HSS example is IG C.O for SP 800-208: HSS can be vendor-affirmed when the implementation performs the required cryptographic algorithm self-tests, the underlying LMS operations have the required CAVP certificates, and the CSTL verifies each supported HSS operation through source-code review.

Do not describe vendor affirmation as a general validation status. The FIPS 140-3 standard says cryptographic modules are validated through CMVP, with testing by accredited CST laboratories, while CAVP addresses approved security function and sensitive security parameter generation and establishment method testing.

- Confirm the exact IG section that allows the vendor affirmation claim, such as IG C.O for SP 800-208 HSS or IG D.H for SP 800-133 key generation.
- Keep CAVP certificate numbers for the underlying algorithms that the IG requires, including the LMS operations used by an HSS implementation.
- Make sure the Security Policy places the claim in the correct table or disclosure location required by the applicable IG.

Sources for this answer:

- [CMVP Implementation Guidance for FIPS 140-3](https://csrc.nist.gov/csrc/media/Projects/cryptographic-module-validation-program/documents/FIPS%20140-3/FIPS%20140-3%20IG.pdf?ref=sorena.io) - Supports the specific IG C.O conditions for SP 800-208 HSS vendor affirmation, including CASTs, LMS CAVP certificates, CSTL source-code review, Security Policy placement, and transition when CAVP testing becomes available.
- [NIST FIPS 140-3 security requirements for cryptographic modules](https://doi.org/10.6028/NIST.FIPS.140-3?ref=sorena.io) - Supports the distinction between CMVP module validation, accredited CST laboratory testing, and the procurement role of validated modules.
- [NIST CAVP validation search](https://csrc.nist.gov/projects/cryptographic-algorithm-validation-program/validation-search?ref=sorena.io) - Public NIST search page for checking algorithm-validation certificate evidence that an IG may require before a vendor-affirmed claim is usable.

## What does vendor affirmation require for HSS?

For SP 800-208 HSS, IG C.O lists concrete conditions rather than a self-attestation shortcut. If HSS key generation or signature generation is implemented, the underlying LMS key generation and LMS signature generation operations need CAVP certificates. If HSS signature verification is implemented, the underlying LMS signature verification operation needs a CAVP certificate.

The same IG requires every LMS parameter set used inside the HSS tree to have the applicable CAVP certificates. It also requires CSTL source-code review of each supported HSS operation against RFC 8554 key generation, signature generation, and signature verification sections, with the results documented in TE02.20.04 of the Test Report.

- Record the HSS operations implemented by the module: key generation, signature generation, signature verification, or a subset.
- Map each implemented HSS operation to the required LMS CAVP certificates and parameter sets.
- Verify that HSS appears in the Security Policy's Vendor-Affirmed Algorithms table and that LMS appears in the Approved Algorithms table with the associated certificate references.

Sources for this answer:

- [CMVP Implementation Guidance for FIPS 140-3](https://csrc.nist.gov/csrc/media/Projects/cryptographic-module-validation-program/documents/FIPS%20140-3/FIPS%20140-3%20IG.pdf?ref=sorena.io) - Grounds the HSS-specific evidence requirements: required self-tests, LMS CAVP certificates, all HSS tree parameter sets, CSTL source-code review, Test Report documentation, and Security Policy tables.
- [NIST SP 800-208 stateful hash-based signature schemes](https://doi.org/10.6028/NIST.SP.800-208?ref=sorena.io) - Referenced by IG C.O as the source for LMS, XMSS, HSS, and XMSSMT stateful hash-based signature schemes.
- [NIST CAVP validation search](https://csrc.nist.gov/projects/cryptographic-algorithm-validation-program/validation-search?ref=sorena.io) - Use this public source to verify the underlying LMS algorithm certificate evidence referenced by an HSS vendor-affirmation claim.

## What evidence should teams keep for vendor affirmation?

Keep a compact evidence packet for each vendor-affirmed claim. It should identify the IG section, the module and version, the exact algorithm or key-generation method, the Security Policy table or disclosure, the CAVP certificates that remain required, and the CSTL or test-report evidence that the IG says must exist.

For SP 800-133 key generation, IG D.H says vendor affirmation is required for methods covered by Sections 4 and 6.3 when a symmetric key or seed for asymmetric key generation starts with a random bit string. It also says the Security Policy must provide details for each method, and that the validation certificate has a CKG entry only when the module generates keys for symmetric-key algorithms.

- For HSS: keep the Vendor-Affirmed Algorithms table entry, Approved Algorithms table LMS entries, CAVP certificate references, CSTL source-code review record, and TE02.20.04 Test Report reference.
- For SP 800-133: keep the Section 4 or Section 6.3 method mapping, DRBG-output explanation, independence rationale where relevant, CKG certificate-entry rationale, and Security Policy method details.
- Set a review trigger when CAVP testing becomes available for a previously vendor-affirmed algorithm, because IG C.O points to the Management Manual transition process for moving from vendor affirmation to CAVP testing.

Sources for this answer:

- [CMVP Implementation Guidance for FIPS 140-3](https://csrc.nist.gov/csrc/media/Projects/cryptographic-module-validation-program/documents/FIPS%20140-3/FIPS%20140-3%20IG.pdf?ref=sorena.io) - Supports both the HSS evidence package in IG C.O and the SP 800-133 key-generation vendor-affirmation requirements in IG D.H.
- [NIST SP 800-133 Rev. 2 cryptographic key generation](https://doi.org/10.6028/NIST.SP.800-133r2?ref=sorena.io) - Referenced by IG D.H for key-generation methods used when claiming vendor affirmation to SP 800-133.
- [NIST CAVP validation search](https://csrc.nist.gov/projects/cryptographic-algorithm-validation-program/validation-search?ref=sorena.io) - Use this public source to verify algorithm certificate numbers that remain required even when a related vendor-affirmed claim is permitted.

## Primary sources

- [CMVP Implementation Guidance for FIPS 140-3](https://csrc.nist.gov/csrc/media/Projects/cryptographic-module-validation-program/documents/FIPS%20140-3/FIPS%20140-3%20IG.pdf?ref=sorena.io) - Primary source for the vendor-affirmation cases summarized here, including IG C.O for SP 800-208 HSS and IG D.H for SP 800-133 key generation.
  - Quote: "Vendor affirmation is available"
- [NIST FIPS 140-3 security requirements for cryptographic modules](https://doi.org/10.6028/NIST.FIPS.140-3?ref=sorena.io) - Supports the page's distinction between CMVP module validation, accredited CST laboratory testing, and algorithm-level evidence.
  - Quote: "CMVP validates cryptographic modules"
- [NIST CAVP validation search](https://csrc.nist.gov/projects/cryptographic-algorithm-validation-program/validation-search?ref=sorena.io) - Public NIST source for checking CAVP certificate evidence referenced by HSS, LMS, and other algorithm-related claims.
  - Quote: "validation-search"
- [NIST SP 800-133 Rev. 2 cryptographic key generation](https://doi.org/10.6028/NIST.SP.800-133r2?ref=sorena.io) - Referenced by CMVP IG D.H for the key-generation methods that require vendor affirmation to SP 800-133.
  - Quote: "Recommendation for Cryptographic Key Generation"

## Topic Guides

- [FIPS 140-3 algorithm certificate mapping: ACVTS certificates to module boundary](/artifacts/global/fips-140-3/algorithm-certificate-mapping.md): Map CAVP algorithm certificates to FIPS 140-3 module services, approved security functions, security policy tables, and validation evidence.
- [FIPS 140-3 Algorithm Certificates FAQ](/artifacts/global/fips-140-3/faq/algorithm-certificates.md): How CAVP algorithm certificates support, but do not replace, FIPS 140-3 cryptographic module validation evidence.
- [FIPS 140-3 Applicability Test](/artifacts/global/fips-140-3/applicability-test.md): Check whether FIPS 140-3 applies to a cryptographic module claim by testing agency use, module boundary, security level, approved functions, CMVP status, and procurement evidence.
- [FIPS 140-3 Approved and Non-Approved Mode Workflow](/artifacts/global/fips-140-3/approved-and-non-approved-mode-workflow.md): Classify FIPS 140-3 module services by approved security service, allowed no-security-claimed use, and non-approved service evidence.
- [FIPS 140-3 approved-mode evidence workflow](/artifacts/global/fips-140-3/approved-mode-evidence-workflow.md): A grounded workflow for collecting FIPS 140-3 approved-mode evidence: module boundary, approved services, service indicators, CAVP certificates, Security Policy entries, and change review.
- [FIPS 140-3 Certificate Maintenance FAQ](/artifacts/global/fips-140-3/faq/certificate-maintenance.md): How to maintain FIPS 140-3 certificate evidence after validation by checking module status, version, caveats, Security Policy, and revalidation records.
- [FIPS 140-3 Change Impact Review](/artifacts/global/fips-140-3/change-impact.md): Review FIPS 140-3 module changes against boundary, version, operational environment, embedded module, software loading, CVE, and certificate evidence.
- [FIPS 140-3 compliance guide](/artifacts/global/fips-140-3/compliance.md): A grounded FIPS 140-3 compliance guide for cryptographic module scope, security-level claims, CMVP validation evidence, and procurement review.
- [FIPS 140-3 Entropy and DRBG Evidence](/artifacts/global/fips-140-3/entropy-and-drbg.md): FIPS 140-3 entropy and DRBG guidance for module boundary decisions, entropy caveats, Security Policy evidence, ESV references, and DRBG CSP handling.
- [FIPS 140-3 Entropy Evidence FAQ](/artifacts/global/fips-140-3/faq/entropy-evidence.md): How FIPS 140-3 entropy evidence should document entropy source location, GetEntropy access, SP 800-90B testing, Security Policy text, and certificate caveats.
- [FIPS 140-3 FAQ for Cryptographic Modules](/artifacts/global/fips-140-3/faq.md): Answers to common FIPS 140-3 questions about scope, CMVP validation, algorithm certificates, module boundaries, approved mode, and validation evidence.
- [FIPS 140-3 Module Boundaries FAQ](/artifacts/global/fips-140-3/faq/module-boundaries.md): Understand how FIPS 140-3 module boundaries affect cryptographic module scope, interfaces, software and firmware components, and bound or embedded validated modules.
- [FIPS 140-3 Module Boundary Selector Workflow](/artifacts/global/fips-140-3/module-boundary-selector-workflow.md): A FIPS 140-3 workflow for selecting a cryptographic module boundary, separating embedded and bound modules, and collecting CMVP validation evidence.
- [FIPS 140-3 operational environments FAQ](/artifacts/global/fips-140-3/faq/operational-environments.md): Learn what a FIPS 140-3 operational environment means for software, firmware, and hybrid cryptographic modules, and what evidence to check before relying on a validation claim.
- [FIPS 140-3 security levels: how to choose and evidence them](/artifacts/global/fips-140-3/faq/security-levels.md): A practical FAQ on FIPS 140-3 security levels, module scope, CMVP evidence, bound or embedded modules, and common claim mistakes.
- [FIPS 140-3 Security Policy Template](/artifacts/global/fips-140-3/security-policy-template.md): Build a FIPS 140-3 module Security Policy with sections for boundary, roles, services, approved algorithms, SSP handling, self-tests, and CMVP evidence.
- [FIPS 140-3 Validation Checklist](/artifacts/global/fips-140-3/fips-140-3-validation-checklist.md): Checklist for preparing a cryptographic module for FIPS 140-3 validation: boundary, levels, services, approved algorithms, entropy, tests, security policy, and change evidence.
- [FIPS 140-3 Validation Maintenance](/artifacts/global/fips-140-3/validation-maintenance.md): Maintain FIPS 140-3 validation claims by checking module identity, certificate status, boundary changes, operational environments, and CAVP evidence.
- [FIPS 140-3 Validation Maintenance Change Workflow](/artifacts/global/fips-140-3/validation-maintenance-change-impact-workflow.md): A FIPS 140-3 workflow for triaging module changes against CMVP validation scope, Security Policy evidence, CAVP certificates, software loading, and CVE records.
- [FIPS 140-3 vs ISO/IEC 19790 and ISO/IEC 24759](/artifacts/global/fips-140-3/fips-140-3-vs-iso-19790.md): Compare FIPS 140-3 with ISO/IEC 19790 and ISO/IEC 24759 for cryptographic module validation scope, evidence, testing, and procurement claims.
- [FIPS 140-3: CMVP Lifecycle Timeline](/artifacts/global/fips-140-3/cmvp-lifecycle-timeline.md): Practical FIPS 140-3 guidance for CMVP Lifecycle Timeline: scope, controls, evidence, source-linked decisions, and implementation checkpoints.
- [FIPS 140-3: FIPS 140-2 vs FIPS 140-3](/artifacts/global/fips-140-3/fips-140-2-vs-fips-140-3.md): Compare FIPS 140-2 legacy references with FIPS 140-3 requirements, ISO/IEC 19790 alignment, CMVP testing evidence, and guidance mappings.
- [FIPS 140-3: Module Boundary and Service Mapping](/artifacts/global/fips-140-3/module-boundary-and-service-mapping.md): Map a FIPS 140-3 cryptographic module boundary to services, approved algorithms, operational environments, and CMVP validation evidence.
- [FIPS 140-3: Module Boundary Selector](/artifacts/global/fips-140-3/module-boundary-selector.md): Select and document a FIPS 140-3 cryptographic module boundary across hardware, software, firmware, operational environment, services, and validation evidence.
- [FIPS 140-3: Operational Environment](/artifacts/global/fips-140-3/operational-environment.md): FIPS 140-3 operational environment guidance for software, firmware, hybrid, CAVP certificate, EVM, and PAA/PAI validation claims.
- [FIPS 140-3: Security Levels Explained](/artifacts/global/fips-140-3/security-levels-explained.md): Explain FIPS 140-3 Security Levels 1 through 4, what they cover, and how to document level claims for cryptographic module validation.
- [FIPS 140-3: step-by-step workflow for mapping algorithm certificates to CMVP modules](/artifacts/global/fips-140-3/algorithm-certificate-mapping-workflow.md): Map CAVP algorithm certificates to a FIPS 140-3 module by matching implementation identity, operational environment, module services, and security policy evidence.
- [How should teams handle approved mode under FIPS 140-3?](/artifacts/global/fips-140-3/faq/approved-mode.md): Answer the FIPS 140-3 approved-mode question with service-level indicators, Security Policy evidence, and limits on non-approved functions.

*Recommended next step*

*Placement: after evidence guidance*

## Operationalize FIPS 140-3 vendor-affirmation evidence

Use this FIPS 140-3 FAQ to identify the applicable IG section, required CAVP certificates, Security Policy text, CSTL review records, and transition triggers before relying on a vendor-affirmed claim.

- [Convert the claim into controls](/solutions/assessment.md): Turn the IG conditions into assigned evidence requests, review gates, and certificate checks.
- [Research a scoped claim](/solutions/research-copilot.md): Check whether a vendor-affirmed algorithm or key-generation claim is supported by the applicable CMVP guidance.
- [Review a FIPS 140-3 evidence package](/contact.md): Walk through vendor affirmation scope, Security Policy text, CAVP certificates, and CSTL records with Sorena.


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