Riverbed Technology, Inc. Steelhead 520, Steelhead 1020, Steelhead 1520, and Steelhead 2020 Appliances (Hardware Versions: 520, 1020, 1520, and 2020; Firmware Version: 4.1.10) FIPS 140-2 Non-Proprietary Security Policy FIPS Security Level: 2 Document Version: 1.3 Prepared for: Prepared by: Riverbed Technology, Inc. Corsec Security, Inc. 199 Fremont Street 10340 Democracy Lane, Suite 201 San Francisco, California 94105 Fairfax, Virginia 22030 U.S.A. U.S.A. Phone: +1 (415) 247-8800 Phone: +1 (703) 267-6050 Fax: +1 (415) 247-8801 Email: info@corsec.com http://www.riverbed.com http://www.corsec.com Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Table of Contents 1 INTRODUCTION ...............................................................................................................................................4 1.1 PURPOSE ......................................................................................................................................................4 1.2 REFERENCES ................................................................................................................................................4 1.3 DOCUMENT ORGANIZATION .........................................................................................................................4 2 STEELHEAD 520, 1020, 1520, AND 2020 APPLIANCES ..............................................................................5 2.1 OVERVIEW ...................................................................................................................................................5 2.2 MODULE SPECIFICATION .............................................................................................................................. 7 2.3 MODULE INTERFACES ..................................................................................................................................8 2.4 ROLES AND SERVICES ..................................................................................................................................9 2.4.1 Crypto-Officer Role.........................................................................................................................9 2.4.2 User Role ...................................................................................................................................... 11 2.4.3 Authentication Mechanisms .......................................................................................................... 11 2.5 PHYSICAL SECURITY .................................................................................................................................. 12 2.6 OPERATIONAL ENVIRONMENT.................................................................................................................... 12 2.7 CRYPTOGRAPHIC KEY MANAGEMENT........................................................................................................ 12 2.8 ELECTROMAGNETIC INTERFERENCE/ELECTROMAGNETIC COMPATIBILITY ................................................ 14 2.9 SELF-TESTS ................................................................................................................................................ 14 2.10 DESIGN ASSURANCE .................................................................................................................................. 15 2.11 MITIGATION OF OTHER ATTACKS .............................................................................................................. 15 2.12 CRYPTOGRAPHIC MODULE SECURITY POLICY ........................................................................................... 15 3 SECURE OPERATION ....................................................................................................................................16 3.1 CRYPTO-OFFICER GUIDANCE ..................................................................................................................... 16 3.1.1 First-Time Authentication ............................................................................................................. 16 3.1.2 Initialization .................................................................................................................................. 16 3.1.3 FIPS Mode Verification ................................................................................................................ 20 3.1.4 Management .................................................................................................................................. 21 3.2 USER GUIDANCE ........................................................................................................................................ 22 4 ACRONYMS AND ABBREVIATIONS ..........................................................................................................23 Table of Figures FIGURE 1 – TYPICAL STEELHEAD APPLIANCE DEPLOYMENT..........................................................................................5 FIGURE 2 – STEELHEAD 520, 1020, 1520, AND 2020 APPLIANCES ..................................................................................6 FIGURE 3 – FRONT PANEL OF STEELHEAD 520, 1020, 1520, AND 2020 APPLIANCES ......................................................8 FIGURE 4 – REAR PANEL OF STEELHEAD 520, 1020, 1520, AND 2020 APPLIANCES........................................................9 FIGURE 5 – TAMPER-EVIDENT LABEL PLACEMENT (CHASSIS/COVER - RIGHT) ............................................................ 19 FIGURE 6 – TAMPER-EVIDENT LABEL PLACEMENT (CHASSIS/COVER - LEFT) .............................................................. 19 FIGURE 7 – TAMPER-EVIDENT LABEL PLACEMENT (FACEPLATE) ................................................................................ 20 FIGURE 8 – POWER-UP SELF-TEST STATUS .................................................................................................................. 22 List of Tables TABLE 1 – MODEL SPECIFICATIONS FOR THE STEELHEAD 520, 1020, 1520, AND 2020 APPLIANCES .............................. 6 TABLE 2 – SECURITY LEVEL PER FIPS 140-2 SECTION ..................................................................................................6 TABLE 3 – ALGORITHMS PROVIDED BY STEELHEAD CRYPTOGRAPHIC ENGINE.............................................................. 7 TABLE 4 – FIPS 140-2 LOGICAL INTERFACES ................................................................................................................9 TABLE 5 – CRYPTO-OFFICER SERVICES ........................................................................................................................ 10 Page 2 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 TABLE 6 – USER SERVICE ............................................................................................................................................. 11 TABLE 7 – AUTHENTICATION MECHANISMS EMPLOYED BY THE MODULE ................................................................... 11 TABLE 8 – LIST OF CRYPTOGRAPHIC KEYS, CRYPTOGRAPHIC KEY COMPONENTS, AND CSPS..................................... 12 TABLE 9 – STATUS OUTPUT MESSAGES FOR POWER-UP TEST ..................................................................................... 14 TABLE 10 – STATUS OUTPUT MESSAGES FOR FAILED CONDITIONAL SELF-TESTS ....................................................... 15 TABLE 11 – ACRONYMS AND ABBREVIATIONS ............................................................................................................. 23 Page 3 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 1 Introduction 1.1 Purpose This is a non-proprietary Cryptographic Module Security Policy for the Steelhead 520, 1020, 1520, and 2020 Appliances from Riverbed Technology, Inc. This Security Policy describes how the Steelhead 520, 1020, 1520, and 2020 Appliances meet the security requirements of the Federal Information Processing Standards (FIPS) Publication 140-2 and how to run the modules in a secure FIPS 140-2 mode. This policy was prepared as part of the Level 2 FIPS 140-2 validation of the modules. FIPS 140-2 details the U.S. and Canadian Government requirements for cryptographic modules. More information about the FIPS 140-2 standard and validation program is available on the Cryptographic Module Validation Program (CMVP) website (http://csrc.nist.gov/groups/STM/index.html), which is maintained by the National Institute of Standards and Technology (NIST) and the Communication Security Establishment Canada (CSEC). The Steelhead 520, 1020, 1520, and 2020 Appliances are referred to in this document as the Steelhead Appliances, the appliances, the cryptographic modules, or the modules. 1.2 References This document deals only with operations and capabilities of the module in the technical terms of a FIPS 140-2 cryptographic module security policy. More information is available on the module from the following sources: The Riverbed website (http://www.riverbed.com) contains information on the full line of products from Riverbed. The CMVP website (http://csrc.nist.gov/groups/STM/index.html) contains contact information for answers to technical or sales-related questions for the module. 1.3 Document Organization The Security Policy document is one document in a FIPS 140-2 Submission Package. In addition to this document, the Submission Package contains: Vendor Evidence Document Finite State Machine Validation Submission Summary Other supporting documentation as additional references This Security Policy and the other validation submission documentation were produced by Corsec Security, Inc. under contract to Riverbed. With the exception of this Non-Proprietary Security Policy, the FIPS 140-2 Validation Documentation is proprietary to Riverbed and is releasable only under appropriate non-disclosure agreements. For access to these documents, please contact Riverbed. Page 4 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 2 Steelhead 520, 1020, 1520, and 2020 Appliances 2.1 Overview Riverbed Technology, Inc. is one of the industry leaders in wide-area data solutions (WDS). The Steelhead family of appliances provides application acceleration and accelerated data transfer over a wide area network (WAN), overcoming bandwidth and geographical limitations to improve productivity and enable global collaboration. The Steelhead Appliances are powered by the Riverbed Optimization System (RiOS) version 4.1.10. RiOS employs a combination of data reduction, Transmission Control Protocol (TCP) traffic optimization, and application-level protocol optimizations. Together, these technologies, along with RiOS management capabilities, provide a comprehensive solution for enterprise WDS. Figure 1 shows a typical deployment scenario for Steelhead Appliances. Figure 1 – Typical Steelhead Appliance Deployment The Steelhead Appliances offer support for network traffic acceleration over Secure Sockets Layer (SSL) and Transport Layer Security (TLS) connections, remote authentication via RADIUS 1 and TACACS+2, IPsec3-protected WAN traffic, AES4 encryption of data-at-rest, and secure device registration. [NOTE: Because the underlying library providing the cryptographic functions for IPsec was not tested, the appliances’ IPsec functionality is not allowed and must not be used when the module is running in its FIPS- Approved mode of operation.] The Riverbed Steelhead Appliances feature a variety of models ranging from sub-1U desktop systems to 5U rack mounted systems. All of the models provide top-performance data optimization with 1Mbps5 speed. The Steelhead 520, 1020, 1520, and 2020 Appliances are 1U form factor appliances that can easily be rack-mounted or kept in a server closet. The appliances share a common enclosure, which is pictured in Figure 2 below. 1 RADIUS – Remote Authentication Dial In User Service 2 TACACS+ – Terminal Access Controller Access-Control System Plus 3 IPsec – Internet Protocol Security 4 AES – Advanced Encryption Standard 5 Mbps – Megabits Per Second Page 5 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Figure 2 – Steelhead 520, 1020, 1520, and 2020 Appliances The Steelhead 520, 1020, 1520, and 2020 Appliances are targeted for use in mid-size office environments and regional hubs. Supporting an estimated 75 to 650 employees (depending on the model and usage characteristics), these appliances provide greater capacity as well as Proxy File Services. See Table 1 below for a comparison of model specifications. Table 1 – Model Specifications for the Steelhead 520, 1020, 1520, and 2020 Appliances Feature 520 1020 1520 2020 WAN Capacity 1 Mbps 2 Mbps 4 Mbps 10 Mbps WAN Capacity (High-Speed) 1 Mbps 2 Mbps 4 Mbps 10 Mbps 6 Total Disk Capacity 250 GB 250 GB 250 GB 500 GB Data Store Capacity 80 GB 80 GB 80 GB 150 GB Random Access Memory (RAM) 2 GB 2 GB 2 GB 4 GB Configurable Slots 1 1 1 1 Maximum Number of Network Ports 6 6 6 6 Per FIPS 140-2, the cryptographic modules are classified as multi-chip standalone cryptographic modules. They are validated at the following FIPS 140-2 Section levels: Table 2 – Security Level Per FIPS 140-2 Section Section Section Title Level 1 Cryptographic Module Specification 2 2 Cryptographic Module Ports and Interfaces 2 3 Roles, Services, and Authentication 2 4 Finite State Model 2 5 Physical Security 2 6 Operational Environment N/A 7 Cryptographic Key Management 2 8 Electromagnetic Interference / Electromagnetic Compatibility (EMI/EMC) 2 9 Self-tests 2 10 Design Assurance 3 6 GB - Gigabyte Page 6 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Section Section Title Level 11 Mitigation of Other Attacks N/A 14 Cryptographic Module Security Policy 2 2.2 Module Specification The Steelhead 520, 1020, 1520, and 2020 Appliances are hardware modules that are defined as multiple-chip standalone embodiments. They consist of the Steelhead software running on a typical server platform. The cryptographic boundary is defined by the server’s metal chassis (including any required baffles), which surrounds all the hardware and software components. Cryptographic functionality for the modules is provided by the Riverbed Steelhead Cryptographic Engine v1.0. This engine provides the FIPS-Approved algorithms listed in Table 3 below. Table 3 – Algorithms Provided by Steelhead Cryptographic Engine Approved or Allowed Security Functions Certificate number Symmetric Key Algorithm 7 8 Advanced Encryption Standard (AES) 128-, 192-, 256-bit in CTR , CBC 1044 9 and ECB modes 10 – 112- and 192-bit in CBC mode Triple-DES 792 Secure Hashing Algorithm (SHS) SHA-1 994 Message Authentication Code (MAC) Function Keyed-Hash Message Authentication Code with SHA-1 (HMAC SHA-1) 586 Pseudo Random Number Generator (PRNG) 11 ANSI X9.31 Appendix A.2.4 Pseudo Random Number Generator (PRNG) 595 Asymmetric Key Algorithm 12 13 RSA PKCS #1 sign/verify: 1024- and 2048-bit 498 14 Diffie-Hellman (DH) key agreement: 1024-bit N/A 15 RSA for key wrapping: 1024- and 2048-bit N/A Additional algorithms that are implemented in the modules but disabled in FIPS mode of operation are listed below. These algorithms are either non-Approved functions or have not undergone algorithm implementation certification testing: 7 CTR – Counter 8 CBC – Cipher-Block Chaining 9 ECB – Electronic Codebook 10 DES – Data Encryption Standard 11 ANSI – American National Standards Institute 12 RSA – Rivest, Shamir, and Adleman 13 PKCS – Public Key Cryptography Standard 14 Caveat: Diffie-Hellman (key agreement; key establishment methodology provides 80 bits of encryption strength) 15 Caveat: RSA (key wrapping; key establishment methodology provides 80 or 112 bits of encryption strength) Page 7 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Message Digest 5 (MD5) Digital Signature Algorithm (DSA) IPsec-supporting algorithms o DES o Rivest Cipher 4 (RC4) o IDEA o CAST o Blowfish o HMAC-Tiger o Elliptic Curve Diffie-Hellman RC2 2.3 Module Interfaces The modules have several ports at the front and rear panels. The following is a list of the physical ports available for the modules in the FIPS mode of operation: Ethernet ports: o Primary (PRI) (10/100/1000 Base-T, auto-negotiating) o Auxiliary (AUX) (10/100/100Base-T, auto-negotiating) o LAN (10/100/1000 Base-TX or 1000Base-SX, depending on configuration) o WAN (10/100/1000 Base-TX or 1000Base-SX, depending on configuration) Universal Serial Bus (USB) ports to connect a keyboard and mouse VGA16 port for display Console port for serial communication The front panel of the modules is populated with USB ports, a VGA port, a power button, and light-emitting diodes (LEDs) as shown in Figure 3 below. Figure 3 – Front Panel of Steelhead 520, 1020, 1520, and 2020 Appliances The rear panel of the modules is populated with USB ports, a serial console port, Ethernet ports, and a power supply connection as shown in Figure 4. 16 VGA – Video Graphics Array Page 8 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Ethernet Card Figure 4 – Rear Panel of Steelhead 520, 1020, 1520, and 2020 Appliances Ports and interfaces on the modules can be categorized as the following FIPS 140-2 logical interfaces: Data input Data output Control input Status output Power All of these physical interfaces are separated into logical interfaces defined by FIPS 140-2, as described in the following table (NOTE: the modules’ LEDs are not included, as they provide no FIPS-related status information): Table 4 – FIPS 140-2 Logical Interfaces Steelhead 520, 1020, 1520, and 2020 Appliances FIPS 140-2 Logical Interface Port/Interface Data Input Ethernet ports Data Output Ethernet ports Control Input Ethernet ports, serial console port, USB port, power switch Status Output Ethernet ports, serial console port, VGA port Power Power connection 2.4 Roles and Services The modules support role-based authentication. There are two roles in the modules that operators may assume: a Crypto-Officer (CO) role and User role. 2.4.1 Crypto-Officer Role The Crypto-Officer installs/uninstalls, configures, and monitors the modules. This can be accomplished locally or remotely. Locally, the CO can employ the available Command Line Interface (CLI) via serial console port or a direct-connected keyboard (USB port) and monitor (VGA port). The CO may also access the modules’ Graphical User Interface (GUI) remotely via Ethernet port over a secure channel (TLS 17 v1.0 or SSH18 v2.0). Descriptions of the services available to the Crypto-Officer role, as well as the type of access required, are provided in the Error! Reference source not found. Error! Reference source not found.. Please note that the keys and CSPs listed in the table indicate the type of access required using the following notation: 17 TLS – Transport Layer Security 18 SSH – Secure Shell Page 9 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 R – Read: The CSP is read. W – Write: The CSP is established, generated, modified, or zeroized. X – Execute: The CSP is used within an Approved or Allowed security function or authentication mechanism. Table 5 – Crypto-Officer Services Service Description Key/CSP Configure In-Path Rules Configure in-path rules that enable specific IP None addresses and ports on which traffic passes through optimized Configure Optimization Configure general optimization service settings None Features Configure Asymmetric Routing Configure asymmetric route detection, which None automatically detects and reports asymmetric routing conditions and caches this information to avoid losing connectivity between a client and a server Configure Connection Enable connection forwarding only in None Forwarding asymmetric networks; that is, in networks in which a client request traverses a different network path than the server response Configure Netflow NetFlow enables to collect traffic flow data and None gather it on NetFlow collectors. You can gather reoptimization and post-optimization data on traffic flows for custom reports. Apply Quality-of-Service (QoS) Apply QoS policies to allocate bandwidth and None Policies latency priorities Modify QoS Classes Modifying the QoS classes None Configure QoS Marking Configure QoS marking None Configure Simplified Routing Simplified routing collects the IP address for the None next hop MAC address from each packet it receives to use in addressing traffic Configure Web Cache WCCP enables to redirect traffic that is not in the None Communication Protocol direct physical path between the client and the (WCCP) server Start Service Start the optimization service None Stop Service Stop the optimization service None Restart Service Restart the optimization service None Configure Scheduled Jobs View completed, pending, inactive jobs, as well None as jobs that were not completed because of an error. Upgrade or Revert Firmware Upgrade or revert to a backup version of the - Firmware Authentication firmware Key (R) Manage Licenses Install new license, view a list of active licenses, None and update or remove expired licenses View Permissions Display system permissions and add or change None login password Manage Configuration Files Save, activate, import, and revert configurations None Page 10 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Service Description Key/CSP Manage Authentication Configure authentication services None Configure Web Settings Modify Management Console Web user None interface settings View Reports And Logs Display system reports and user and system None logs Perform Self-Tests Perform self-tests on demand None Show Status Displays current status of the modules None Zeroization Reset to factory settings; zeroize all ephemeral - Steelhead private key (W) keys and Critical Security Parameters (CSPs) - Steelhead public key (W) within the modules - Administrator password (W) - Monitor password (W) Establish Secure Session Establish a secure session for data transmission - Steelhead private key (X) - Steelhead public key (X) - Key Establishment key pair (R, W) - TLS Session Authentication key (R, W) - TLS Session key (R, W) - SSH Session Authentication Key (R, W) - SSH Session Key (R, W) 2.4.2 User Role The User role is used to view system logs to monitor system activity and to troubleshoot problems. The User role service is described Table 6. Table 6 – User Service Service Description Type of Access View Status Reports Displays status reports None 2.4.3 Authentication Mechanisms The Crypto Officer authenticates to the modules using a user ID and password. Users authenticate themselves with a user ID/password combination. RSA digital certificate authentication is used during TLS sessions. Table 7 lists the authentication mechanisms used by the modules. Table 7 – Authentication Mechanisms Employed by the Module Type of Authentication Authentication Strength Password Passwords are required to be at least 6 characters long. The maximum password length is 64 characters. Alphanumeric characters can be used with repetition, which gives a total of 62 characters to choose from. The chance of a random authentication attempt falsely succeeding is no less than 1 in 6 62 , or 1 in 56,800,235,584. MD5 hashes are used for authentication via RADIUS and TACACS+. MD5 hashes are typically represented as 32-digit hexadecimal values. The 32 chance of a random authentication attempt falsely succeeding is 1 in 16 , or 38 1 in 3.4028 x 10 Page 11 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Type of Authentication Authentication Strength RSA Certificate Certificates used as part of TLS are (at a minimum) 1024 bits. The chance 80 24 of a random attempt falsely succeeding is 1 in 2 , or 1 in 1.2089 x 10 . 2.5 Physical Security The Steelhead 520, 1020, 1520, and 2020 Appliances are multi-chip standalone cryptographic modules. The modules are contained in hard metal chasses which are defined as the cryptographic boundary of the modules. The modules’ chasses are opaque within the visible spectrum. The enclosures of the modules have been designed to satisfy level 2 physical security requirements. The chasses covers and faceplate are the only removable component of the modules, and there are only a limited set of ventilation holes in the chasses. To provide FIPS-compliant physical security, the modules are delivered with a tamper-evident kit which contains tamper-evident labels and security panels. When properly applied to the chasses, the tamper-evident labels provide physical evidence of attempts to remove the chasses covers, while the security panels obscure the view of the internal components of the module. The proper application of the tamper-evident kit is detailed in the “Secure Operation” section of this document. 2.6 Operational Environment The operational environment requirements do not apply to the Steelhead 520, 1020, 1520, and 2020 Appliances , because the modules do not provide a general-purpose operating system (OS) to the user. The OS has a limited operational environment and only the modules’ custom written image can be run on the system. The modules provide a method to update the firmware in the modules with a new version. This method involves downloading a RSA digitally signed firmware update to the modules. 2.7 Cryptographic Key Management Two security-related protocols are employed by the Approved mode of the modules: SSH v2.0 and TLS v1.0. Table 8 introduces cryptographic keys, key components, and CSPs involved in these two protocols. The modules support the following critical security parameters: Table 8 – List of Cryptographic Keys, Cryptographic Key Components, and CSPs Key Key Type Generation / Output Storage Zeroization Use Input Steelhead RSA 1024- or Internally Never exits Stored in By command - Peer Authentication private key 2048-bit generated or the modules plaintext on the or overwriting of TLS sessions private key imported hard disk with another - Key wrapping for electronically key TLS session Resides in volatile memory in plaintext Steelhead RSA 1024- or Internally Exits Stored in By command - Peer Authentication public key 2048-bit generated or electronically plaintext on the or overwriting of TLS sessions public key imported in plaintext hard disk with another - Key wrapping for electronically during TLS key TLS session in plaintext handshake Resides in during TLS protocol volatile memory handshake in plaintext protocol Page 12 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Key Key Type Generation / Output Storage Zeroization Use Input Key Diffie-Hellman Internally Public Resides in Power cycle Key agreement for Establishment 2048-bit keys generated exponent volatile memory of modules SSH sessions key pair electronically in plaintext in plaintext, private component not exported TLS Session Triple-DES Internally Exported Resides in Power cycle Data Key ECB/CBC 2 generated or electronically volatile memory of modules encryption/decryption or 3 key entered in encrypted in plaintext for TLS sessions electronically form AES in encrypted ECB/CBC form 128-, 192-, 256-bits key TLS Session HMAC-SHA1 Internally Never exists Resides in Power cycle Data authentication Authentication key generated or the module volatile memory of modules for TLS sessions Key entered in plaintext electronically in encrypted form SSH Session Triple-DES Internally Never exits Resides in Power cycle Data Key ECB/CBC 2 generated the modules volatile memory of modules encryption/decryption or 3 key in plaintext for SSH sessions AES ECB/CBC 128-, 192-, 256-bits key SSH Session HMAC-SHA1 Internally Never exists Resides in Power cycle Data authentication Authentication key generated the module volatile memory of modules for SSH sessions Key in plaintext Administrator String of Entered Never exits Hashed value By command Administrator login Passwords characters electronically the module stored on hard drive ANSI X9.31 16 bytes of Internally Never exits Resides in Power cycle Used in seeding PRNG seed seed value generated the module volatile memory of modules FIPS-Approved RNG in plaintext ANSI X9.31 2-key Triple Internally Never exits Resides in Power cycle Used in seeding DES – 16 PRNG key generated the module volatile memory of modules FIPS-Approved RNG bytes in plaintext Data Storage AES-128, Internally Never exits Resides on disk Reset Encrypted data Key 192, 256 generated the module in plaintext Factory storage on modules Boot Loader Password Set by Crypto- Never exits Resides on disk Reset Used to prevent boot password Officer the module in encrypted Factory process changes Firmware 1024 bit RSA Hard coded Never exits Embedded in Not Zeroized Authenticate Authentication public key the module Code in firmware updates Key plaintext Page 13 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 2.8 Electromagnetic Interference/Electromagnetic Compatibility The modules were tested and found conformant to the Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) requirements specified by 47 Code of Federal Regulations, Part 15, Subpart B, Unintentional Radiators, Digital Devices, Class A (i.e., for business use). 2.9 Self-Tests The cryptographic modules perform the following self-tests at power-up: a firmware integrity test and cryptographic algorithm tests. Each self-test event result, regardless of the outcome, can be viewed by the CO using the GUI or CLI. Firmware integrity check using MD5 Error Detection Code (EDC) The modules first perform the Firmware Integrity Test during power-up. If the image is verified successfully, then the modules display the following message before proceeding with KATs. “*** Image integrity test succeeded!” Upon failure, a Firmware Integrity Test failure message is shown. The message is as below: “*** Image integrity test failed!” Cryptographic algorithm tests o AES Known Answer Test (KAT) o Triple-DES KAT o HMAC SHA-1 KAT o RSA sign/verify KAT o PRNG KAT The modules also perform these tests at power-up. If any of the self-tests fails to complete successfully, its process is shutdown immediately after displaying the following message over the management interface: “FIPS selftests failed, reason: [reason] shutdown [process name] now” Table 9 lists the reasons for the failure of self-tests. Table 9 – Status Output Messages for Power-Up Test Power-Up Test Error Message “RNG test error!” PRNG KAT AES KAT "AES test error!" Triple-DES KAT "3DES test error!" HMAC SHA-1 KAT "HMAC test error!" RSA KATs for sign/verify and encrypt/decrypt "RSA test error!" CRNGT (performed at power-up ) "RAND_Bytes Failed" Individual success messages are not logged for each KAT, but the processes log an overall success message after all KATs are passed. The success message is “[process name] passed FIPS selftests.” The operator can initiate power-up self-tests by simply rebooting the modules at any time. No data output or cryptographic operations are possible when the module enters the critical error state. Intervention from Page 14 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 the CO is required to clear this error state by restarting the modules. If the error message persists as the result of a hard error, then the modules must be returned to Riverbed for service. Conditional self-tests o RSA pairwise consistency test for sign/verify (performed each time that an RSA public/private keypair is generated) o Continuous PRNG Test (CRNGT) o Firmware upgrade test using RSA digital signature verification These tests are performed while the modules are in their operation state. Failure of the RSA pairwise consistency check, CRNGT, or firmware upgrade takes the module into the soft error state. No data output or cryptographic operations are possible when the module enters the soft error state. Since conditional self- test failures do not result in terminal errors, they can be cleared if the failed test is re-executed successfully. For conditional self-tests, the error messages in Table 10 are displayed. Table 10 – Status Output Messages for Failed Conditional Self-Tests Conditional Self-Test Error Message “FIPS_R_PAIRWISE_TEST_FAILED” Pairwise Consistency Test “RAND_R_PRNG_STUCK” CRNGT “Failed to validate image file” Firmware Load Test 2.10 Design Assurance Riverbed uses Subversion v1.4 to manage changes to source code files. Riverbed’s Information Technology (IT) team is responsible for managing access to the Subversion source repository and documentation. Additionally, Microsoft Visual SourceSafe version 6.0 is used to provide configuration management for the module’s FIPS documentation. Visual SourceSafe provides access control, versioning, and logging. All the firmware components within the cryptographic modules are implemented using high-level C language. The security during delivery is guaranteed by trusted carriers such as FedEx, DHL, and UPS. The Crypto-Officer should check the package for any irregular tears or opening. If the Crypto-Officer suspects tampering, he/she should immediately contact Riverbed Technology, Inc. 2.11 Mitigation of Other Attacks In a FIPS mode of operation, the modules do not claim to mitigate any additional attacks. 2.12 Cryptographic Module Security Policy As stated above, this Security Policy specifies the following for the cryptographic modules: identification and authentication policy services provided to the supported authorized roles “show status” and “self-test” services allowed type(s) of access to the CSPs the physical security mechanisms implemented Page 15 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 3 Secure Operation The Steelhead 520, 1020, 1520, and 2020 Appliances meet the Level 2 requirements for FIPS 140-2. The sections below describe how to place and keep the modules in a FIPS-Approved mode of operation. 3.1 Crypto-Officer Guidance The Crypto-Officer is responsible for initialization and security-relevant configuration and management of the modules. Please see Riverbed’s Administration Guide for more information on configuring and maintaining the modules. The Crypto-Officer receives the module from the vendor via trusted delivery services (UPS, FedEx, etc.). The appliance will be accompanied by the following: Media and Documents o Packing slip o Getting Started Guide o FIPS Administrator’s Guide o Steelhead Appliance Installation and Configuration Guide o Steelhead Management Console User’s Guide o Riverbed Command-Line Interface Reference Manual o Management Tools software CD19 (Steelhead Management Console and Steelhead Central Management Console) Tamper-evident kit Rack mount kit Riverbed documentation can also be downloaded from the Riverbed Technical Support Web site located at https://support.riverbed.com. The website also includes Riverbed Knowledge Base which is a database of known issues, how-to documents, system requirements, and common error messages. The Crypto-Officer is responsible for the proper initial setup of the Management Tool software and for ensuring that the module is running securely in its FIPS mode of operation. Instructions to put the module in its FIPS mode of operation are provided in the “Error! Reference source not found.” section below. 3.1.1 First-Time Authentication In order to perform the required initialization and configuration functions, the Crypto-Officer must first authenticate to the module. The module provides a default username/password for first-time access to the module. The procedure by which the operator is authenticated upon accessing the module for the first time can be found in the Steelhead Appliance Installation and Configuration Guide, which accompanies the module. Note that it is the responsibility of the Crypto-Officer to change the default password after first use. Guidance on setting the administrative password can be found in the FIPS/CC Administrator’s Guide. 3.1.2 Initialization The Crypto-Officer must follow the steps below to initialize the appliance in FIPS mode: A. Run the FIPS validated image: The CO must check whether the appliance is running a FIPS-mode image or not on both partitions of the system by following the steps given below. FIPS mode images contain the string “fips” in the image name. 19 CD – Compact Disc Page 16 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 1. Connect to the Steelhead CLI. For detailed information, see the Riverbed Command-Line Interface Reference Manual. 2. To enter configuration mode, enter the following set of commands at the system prompt: amnesiac > enable amnesiac # show images To upgrade the system image to a signed FIPS-mode image the steps given below must be followed: 1. Log in to the Management Console. For detailed information about connecting to the Management Console, see the Steelhead Management Console User’s Guide. 2. Choose Setup - Upgrade Software to display the Upgrade Software page. 3. Under “Install Upgrade from:”, specify a URL or browse to a Local File and click “Install Upgrade”. The signed FIPS-mode image is installed on the Backup Version (partition 2) of the system. 4. To switch to the new signed FIPS-mode image on the Backup Version, click “Switch to Backup Version”. 5. To reboot the appliance, choose Setup - Reboot Appliance and click “Reboot Appliance”. You will be logged out of the Management Console. Rebooting can take a couple of minutes. 6. Reconnect to the Management Console and choose Setup - Software Upgrade to view the booted image on the system. 7. To install the signed FIPS-mode image on the Backup Version (partition 1) of the system, under “Install Upgrade from:”, specify a URL or browse to a Local File and click “Install Upgrade”. The signed FIPS-mode image is installed on the Backup Version (partition 1) of the system. B. Restore the system to the manufactured state: This state will zeroize all keys and CSPs that may have been created in non-FIPS mode. C. Reconfigure the basic system settings: Basic settings includes: Define a default gateway IP Address Set a Crypto-Officer password Define a Host Name Add a DNS Server D. Configure the Steelhead Appliance for FIPS Compliance: Configure the following services run the module in FIPS mode of operation. Disable HTTP20 and enable HTTPS21 only. The Steelhead appliance uses port 443 for HTTPS protocol over TLS v1.0. Enable SSL v3.1 (TLS v1.0) and ensure that only FIPS-Approved algorithms appear in the SSL Ciphers Lists (this list can be found under the GUI menu option Configure > Optimization > SSL Ciphers). Disable SSL v2 and SSL v3. 20 HTTP – Hypertext Transfer Protocol 21 HTTPS – Secure Hypertext Transfer Protocol Page 17 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Ensure Internet Protocol Security (IPsec) is disabled. Ensure Telnet is disabled. Ensure Simple Network Management Protocol (SNMP) v2 is disabled. Ensure the Boot Order cannot be changed by adding a boot loader password. For detailed descriptions and instructions for each of the steps mentioned above, please see Chapter 3 of the FIPS Administrator’s Guide. E. Configure SSL v3.1 (TLS v1.0): The following section describes the basic steps for configuring SSL v3.1 for RiOS 1. Log in to the Management Console on the client-side and server-side Steelhead appliances. 2. Add the SSL license to the client-side and server-side Steelhead appliances. 3. Add an in-path rule on client-side Steelhead appliance to intercept port 443 (the TLS/SSL default port). 4. Enable SSL on both the client-side and server-side Steelhead appliance. 5. Generate or import a private key and certificate on both the client-side and server-side Steelhead appliance. 6. View and copy the new private key and certificate. 7. Create a peer trust relationship by installing the client-side Steelhead appliance self-signed certificate on the server-side Steelhead appliance and vice versa. 8. Generate or import the proxy certificate for the SSL server. 9. Import any Certificate Authorities (CAs), if necessary (for example, if the server certificate is self- signed or needs an intermediate CA). F. Install the tamper-evident kit: The tamper-evident kit is comprised of the following components: Security panels: The kit comes with includes four security panels and a black foam cube that must be secured to the appliance. These panels ensure that no one can view the internal components of the Steelhead appliances. To install the panels: 1. Power down the appliance. 2. Disconnect the appliance from the electrical outlet and peripherals. 3. Unscrew the locking screw on the back of the chassis. 4. Remove the top cover from the chassis. 5. Place the Disk Drive Mylar Panel on the top the hard disk drive. 6. At the front of the chassis, next to the disk drive, remove the adhesive and snap the I/O Mylar Panel into place over the exposed portion of the circuit board. 7. On the back of the chassis, on the right side, pull up the blue expansion card retainer. Place the black foam cube inside the blue expansion card retainer. Remove the PCI22 card and place a blank NIC23 in the lower PCI slot. 8. 22 PCI – Peripheral Component Interconnect Page 18 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 9. Remove the riser card screws and air duct screw. Remove the riser. 10. Place the Bottom-PCI Mylar Panel on the inside of the appliance beneath the PCI card slots to cover the hole on the bottom of the chassis. 11. From the inside of the chassis, place the Center Panel over the air vents. 12. Replace the riser card and screws. 13. Replace the blue expansion card retainer. 14. Replace the PCI card. 15. Replace and secure the top cover of the chassis. Installing the panels does not alter the way the Steelhead Appliances are installed. Tamper-evident seals: The tamper-evident seals ensure that no one can tamper with the components of the Steelhead appliances without leaving some form of evidence. The modules require three seals to be placed around the chassis to meet FIPS requirements. The modules require three seals to be placed around the chassis to meet FIPS requirements. Figure 5 through Figure 7 show the required label placement. . Figure 5 – Tamper-Evident Label Placement (Chassis/Cover - right) Figure 6 – Tamper-Evident Label Placement (Chassis/Cover - left) 23 NIC – Network Interface Card Page 19 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Figure 7 – Tamper-Evident Label Placement (Faceplate) It is recommended that the tamper-evident kit be installed after the initial configuration of the modules is complete. The tamper-evident seals are serially-numbered. The CO must maintain a record of the location of each seal and the corresponding serial number in order to remain FIPS-compliant. To prepare the chassis for the placement a seal, the surface where the seal will be located should first be wiped with a mild solution of rubbing alcohol and distilled water. Seals should be allowed to cure for at least 48 hours. For detailed instructions to install the tamper-evident kit on the appliances, see Chapter 2, “Installing the Tamper-Evident Kit,” of the FIPS Administrator’s Guide. 3.1.3 FIPS Mode Verification To ensure that the modules have been properly initialized, connect to the Steelhead CLI and enter the following set of commands: amnesiac > enable amnesiac # configure terminal amnesiac (config) # show ip security <> IP security enabled: no PFS enabled: yes IKE rekeying interval: 240 Encryption policy: des <> Authentication policy: hmac_md5 <> amnesiac (config) # show telnet-server <> Telnet server enabled: no amnesiac (config) # show snmp <> SNMP enabled: no System location: System contact: Read-only community: riverbed Traps enabled: yes Interface listen enabled: no Trap interface: primary No Listen Interfaces. No trap sinks configured. amnesiac (config) # show web <> Web-based management console enabled: yes HTTP enabled: no HTTP port: 80 HTTPS enabled: yes HTTPS port: 443 Configure Mode TRAP: yes Inactivity timeout: 1000 minutes Session timeout: 1000 minutes Page 20 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Session renewal threshold: 500 minutes Timeout during report auto-refresh: yes SSLv2 enabled: no SSLv3 enabled: no 70 FIPS/CC Administrator’s Guide Configuring the Steelhead Appliance for FIPS Compliance TLSv1 enabled: yes Listen enabled: yes No Listen Interfaces. NOTE: The bold items must be verified and must match the settings above for the modules to be FIPS 140-2 Level 2 compliant. 3.1.4 Management The Crypto-Officer is responsible for making sure the modules are running in FIPS mode of operation. While in a FIPS-Approved mode, only FIPS-Approved and Allowed algorithms may be used. Non-FIPS-Approved services are disabled in FIPS mode of operation. The Crypto-Officer is able to monitor and configure the module via the web GUI or the CLI. Detailed instructions to monitor and troubleshoot the appliances are provided in the FIPS Administrator’s Guide. The Crypto-Officer should monitor the modules’ status regularly for FIPS mode of operation. 3.1.4.1 Status Verification The CO can check the current status of the modules by logging in through a secure TLS or SSH session. The CO can then use the available interface (GUI or CLI, respectively) to view the current connections served, users logged in, and general data flow statistics. Locally, the CO may view the same information via serial console port or connecting a keyboard and display directly. 3.1.4.2 Power-Up Self-Test Execution The power-up self-tests are automatically performed at power-up. Administrators can manually execute the power- up self-tests by rebooting the hardware modules, and the status can be viewed via the management GUI as shown below in Figure 8. Page 21 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Figure 8 – Power-Up Self-Test Status The status page can be viewed by choosing the following GUI menu option: Reports > Diagnostics > Alarm Status If any irregular activity is noticed or the modules are consistently reporting errors, then Riverbed Customer Support should be contacted. 3.1.4.3 Key/CSP Zeroization The modules’ CLI offers a “reset factory” service, which resets all configurable parameters in the appliances to the manufactured default settings (thus zeroizing keys and CSPs) and halts the appliances. All ephemeral keys are zeroized when the associated session is terminated or by power cycling the modules. Steelhead RSA public/private keypairs can also be zeroized by overwriting with another keypair. 3.1.4.4 Maintenance of Physical Security It is the Crypto-Officer’s responsibility to ensure that the physical security posture of the modules is maintained. To accomplish this, the CO has the following responsibilities: The CO must visually inspect the modules periodically for signs of tampering (including seals that have been voided, peeled off, or damaged in any way). The CO must periodically review the serial number log and compare those recorded to those that are applied to ensure that no labels have been replaced. The CO must secure and have control at all times of any unused seals. The CO must have direct control and observation of any changes to the module such as reconfigurations of where the tamper evident seals or security panels are placed to ensure that (1) the security of the module is maintained during such changes and (2) the module is returned to a FIPS-Approved state. 3.2 User Guidance The User does not have the ability to configure sensitive information on the modules. Although the User does not have any ability to modify the configuration of the modules, they should report to the Crypto-Officer if any irregular activity is noticed. Page 22 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 4 Acronyms and Abbreviations Table 11 – Acronyms and Abbreviations Acronym Definition AES Advanced Encryption Standard ANSI American National Standards Institute AUX Auxiliary CBC Cipher Block Chaining CD Compact Disc CLI Command Line Interface CMVP Cryptographic Module Validation Program CO Crypto-Officer CRNGT Continuous Random Number Generator Test CSEC Communication Security Establishment Canada CSP Critical Security Parameter CTR Counter DES Data Encryption Standard DH Diffie-Hellman DNS Domain Name System DSA Digital Signature Algorithm ECB Electronic Code Book EMC Electromagnetic Compatibility EMI Electromagnetic Interference FIPS Federal Information Processing Standard GB Gigabyte GUI Graphical User Interface HMAC (Keyed-) Hash Message Authentication Code HTTP Hypertext Transfer Protocol HTTPS Secure Hypertext Transfer Protocol IDEA International Data Encryption Algorithm IP Internet Protocol IPsec Internet Protocol Security IT Information Technology KAT Known Answer Test LAN Local Area Network LED Light-Emitting Diode MAC Message Authentication Code Mbps Megabits Per Second Page 23 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 1.3 July 23, 2010 Acronym Definition MD5 Message Digest 5 NIC Network Card Interface NIST National Institute of Standards and Technology OS Operating System PCI Peripheral Component Interconnect PFS Proxy File Service PKCS Public Key Cryptography Standard PRI Primary PRNG Pseudo Random Number Generator RAM Random Access Memory RC2 Rivest Cipher 2 RiOS Riverbed Optimization System RSA Rivest Shamir and Adleman SHA Secure Hash Algorithm SNMP Simple Network Management Protocol SSH Secure Shell SSL Secure Socket Layer TCP Transmission Control Protocol TLS Transport Layer Security USB Universal Serial Bus VGA Video Graphics Array WAN Wide Area Network WDS Wide-area Data Solutions Page 24 of 25 Riverbed Steelhead 520, 1020, 1520, and 2020 Appliances © 2010 Riverbed Technology, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Prepared by: Corsec Security, Inc. 10340 Democracy Lane, Suite 201 Fairfax, Virginia 22030 U.S.A. Phone: +1 (703) 267-6050 Email: info@corsec.com http://www.corsec.com