LEVEL 3 SECURITY POLICY FOR ProtectServer Internal Express (PSI-e) DOCUMENT NUMBER: CR-3222 AUTHOR: B. Franklin / I. Holness / C. Brych DEPARTMENT: Engineering LOCATION OF ISSUE: Australia / Ottawa DATE ORIGINATED: April 21, 2010 REVISION LEVEL: 18 REVISION DATE: July 27, 2012 SUPERSESSION DATA: CR-3222, Revision 17 SECURITY LEVEL: Non-proprietary © Copyright 2012 SafeNet, Inc. ALL RIGHTS RESERVED This document may be freely reproduced and distributed whole and intact including this copyright notice. SafeNet, Inc. reserves the right to make changes in the product or its specifications mentioned in this publication without notice. Accordingly, the reader is cautioned to verify that information in this publication is current before placing orders. The information furnished by SafeNet, Inc. in this document is believed to be accurate and reliable. However, no responsibility is assumed by SafeNet, Inc. for its use, or for any infringements of patents or other rights of third parties resulting from its use. Document is uncontrolled when printed. CR-3222 Revision Level: 18 TABLE OF CONTENTS Section Title Page 1.  INTRODUCTION ..................................................................................................................................... 1  1.1  Purpose ............................................................................................................................................ 1  1.2  References ....................................................................................................................................... 1  1.3  Terminology ..................................................................................................................................... 2  1.4  Document Organization ................................................................................................................... 2  2.  THE PSI-E CARD ................................................................................................................................... 3  2.1  Cryptographic Module Specification ................................................................................................ 3  2.2  Cryptographic Module Ports and Interfaces..................................................................................... 4  2.3  Roles, Services, and Authentication ................................................................................................ 5  2.3.1  Services for Authorized Roles .................................................................................................. 5  2.3.2  Administrator Security Officer ................................................................................................... 6  2.3.3  Administrator ............................................................................................................................. 6  2.3.4  Token SO .................................................................................................................................. 6  2.3.5  Token User ............................................................................................................................... 7  2.3.6  Unauthenticated Operators ....................................................................................................... 7  2.4  Physical Security .............................................................................................................................. 8  2.5  Operational Environment ................................................................................................................. 8  2.6  Cryptographic Key Management ..................................................................................................... 8  2.6.1  Key Generation ......................................................................................................................... 8  2.6.2  Key Access / Storage................................................................................................................ 8  2.6.3  Security Functions .................................................................................................................. 12  2.7  Self-Tests ....................................................................................................................................... 15  2.7.1  Power-Up Self-Tests ............................................................................................................... 15  2.7.2  Conditional Self-Tests ............................................................................................................. 16  2.8  Mitigation of Other Attacks ............................................................................................................. 16  3.  FIPS APPROVED MODE OF OPERATION ......................................................................................... 16  3.1  Description ..................................................................................................................................... 16  3.2  Invoking Approved Mode of Operation .......................................................................................... 17  3.3  Mode of Operation Indicator........................................................................................................... 17  3.4  Invoking Mode of Operation Indicator ............................................................................................ 17  4.  DESIGN ASSURANCE ......................................................................................................................... 18  4.1  Distribution and Delivery of Module ............................................................................................... 18  Document is Uncontrolled When Printed. Page i of ii CR-3222 Revision Level: 18 LIST OF TABLES Table Title Page Table 2-1 FIPS 140-2 Security Levels .......................................................................................................... 4  Table 2-2 FIPS 140-2 Logical Interfaces ...................................................................................................... 4  Table 2-3 Roles and Required Identification and Authentication ................................................................. 5  Table 2-4 Types of Available Services ......................................................................................................... 5  Table 2-5 List of Keys Stored in Module .................................................................................................... 10  Table 2-6 Access to Keys for Authorized Services .................................................................................... 11  Table 2-7 FIPS Approved Security Functions ............................................................................................ 12  Table 2-8 Non-Approved FIPS Allowed Security Functions .......................................................................12  Table 2-9 Non-FIPS Approved Security Functions .................................................................................... 13  Table 2-10 Summary of Key Derivation Mechanisms ................................................................................. 14  Table 2-11 Power-up Self-Tests ................................................................................................................. 15  Table 2-12 Conditional Self-Tests .............................................................................................................. 16  LIST OF FIGURES Figure Title Page Figure 2-1 ProtectServer Internal Express Card .......................................................................................... 3  LIST OF APPENDICES Appendix Title Page APPENDIX A.  ACRONYMS AND ABBREVIATIONS ........................................................................... A1  Document is Uncontrolled When Printed. Page ii of ii CR-3222 Revision Level: 18 1. INTRODUCTION 1.1 Purpose This is a non-proprietary Cryptographic Module Security Policy for the ProtectServer Internal Express (PSI-e). This security policy describes how the PSI-e meets the security requirements of FIPS 140-2 and how to operate the PSI-e in a secure FIPS 140-2 mode. This policy was prepared as a part of the Level 3 FIPS 140-2 validation of the PSI-e. FIPS 140-2 (Federal Information Processing Standards Publication 140-2 - Security Requirements for Cryptographic Modules) details the U.S. Government requirements for cryptographic modules. More information about the FIPS 140-2 standard and validation program is available on the NIST web site at http://csrc.nist.gov/groups/STM/cmvp/index.html. 1.2 References This document deals only with operations and capabilities of the PSI-e in the technical terms of a FIPS 140-2 cryptographic module security policy. More information is available on the PSI-e and other SafeNet products from the following sources:  The SafeNet internet site contains information on the full line of security products at http://www.safenet-inc.com/products/data-protection/hardware-security- modules/protectserver-hsms/ .  For answers to technical or sales related questions please refer to the contacts listed on the SafeNet internet site at http://www.safenet-inc.com/company/contact.asp. SafeNet Contact Information: 4690 Millennium Drive SafeNet, Inc. (Corporate Headquarters) Belcamp, MD 21017 Telephone: 410-931-7500 TTY Users: 800-735-2258 Fax: 410-931-7524 20 Colonnade Road SafeNet Canada, Inc. Suite 200 Ottawa, Ontario K2E 7M6 Telephone: +1 613 723 5077 Fax: +1 613 723 5079 SafeNet Sales: (800) 533-3958 U.S. +1 (410) 931-7500 International SafeNet Technical Support: (800) 545-6608 U.S. +1 (410) 931-7520 International Document is Uncontrolled When Printed. Page 1 of 18 CR-3222 Revision Level: 18 SafeNet Customer Service: (866) 251-4269 U.S. +44 (0) 1276 60 80 00 EMEA 852 3157 7111 APAC 1.3 Terminology In this document the SafeNet ProtectServer Internal Express card is referred to as the PSI-e, the adapter, or the module. 1.4 Document Organization This document provides an overview of the PSI-e and explains the secure configuration and operation of the module. This introduction section is followed by Section 2, which details the general features and functionality of the PSI-e. Section 3 specifically addresses the required configuration for the FIPS-mode of operation. Document is Uncontrolled When Printed. Page 2 of 18 CR-3222 Revision Level: 18 2. THE PSI-E CARD 2.1 Cryptographic Module Specification The SafeNet PSI-e is a high-end intelligent PCI adapter card that provides a wide range of cryptographic functions using firmware and dedicated hardware processors. This document refers specifically to PSI-e hardware versions VBD-04-0302 and VBD-04-0303 running firmware version 3.20.00. Both hardware versions are the same except for their length. VBD-04-0302 was slightly larger than the PCI-e hardware specification, thus VBD-04-0303 is 0.066" shorter. Figure 2-1 ProtectServer Internal Express Card The module, running SafeNet’s Cprov firmware, implements the Cryptoki cryptographic API as defined by RSA Data Security. While certain Cryptoki features are not supported, the module does provide a comprehensive compliance to the PKCS#11 standard as well as vendor-specific extensions. The cryptographic boundary for this module includes the metal cover enclosure that is outlined in red above that is filled with hard epoxy. This boundary encapsulates the Data Ciphering Processor (DCP), embedded processor, SDRAM memory chips, and the Real Time Clock (RTC). The battery, battery isolation link, and external alarm input link are excluded from the FIPS 140-2 security requirements. The module provides key management (e.g., generation, storage, deletion, and backup), an extensive suite of cryptographic mechanisms, and process management including separation between operators. The PSI-e also features non-volatile tamper protected memory for key storage, a hardware random number generator, and an RTC. Document is Uncontrolled When Printed. Page 3 of 18 CR-3222 Revision Level: 18 The PSI-e is classified as a multi-chip embedded processor for FIPS 140-2 purposes. The FIPS 140-2 cryptographic boundary is defined by the perimeter of the protection covers. The PSI-e meets all level 3 requirements for FIPS 140-2 as summarized in Table 2-1. Section Section title Level 1 Cryptographic Module Specification 3 2 Cryptographic Module Ports and Interfaces 3 3 Roles, Services, and Authentication 3 4 Finite State Machine 3 5 Physical Security 3 6 Operational Environment N/A 7 Cryptographic Key Management 3 8 EMI/EMC 3 9 Self Tests 3 10 Design Assurance 3 11 Mitigation of Other Attacks N/A Table 2-1 FIPS 140-2 Security Levels 2.2 Cryptographic Module Ports and Interfaces The PSI-e has the following physical interfaces:  A standard PCI Express bus interfacing to the motherboard of the host machine  One asynchronous RS232 serial connector  One Luna Remote PED connector (not used)  An external battery isolation connector  An external alarm input connector The PSI-e provides a tightly secured cryptographic element. All requests for services sent to the adapter over the PCI bus or the serial ports are captured by the adapter’s processor, which controls the level of access to the on-board cryptographic services and the keys. The adapter’s processor also responds to PKCS #11 commands, ensuring that during FIPS operation only authenticated users receive cryptographic services. The module’s physical interfaces are separated into the logical interfaces, defined by FIPS 140-2, and described in Table 2-2: FIPS 140-2 Logical Interfaces Adapter Physical Interfaces Data Input Interface PCI Bus, Serial port Data Output Interface PCI Bus, Serial port Control Input Interface PCI Bus, External tamper input Status Output Interface PCI Bus Power Interface PCI Bus, External battery link Table 2-2 FIPS 140-2 Logical Interfaces Document is Uncontrolled When Printed. Page 4 of 18 CR-3222 Revision Level: 18 2.3 Roles, Services, and Authentication The PSI-e supports identity-based authentication of its operator. Operators are identified by a token name and PIN. The different roles and required authentication are shown in Table 2-3. Operator Role Type of authentication Authentication Data Admin SO Crypto-Officer Identity Based Operator Unique PIN Administrator User Identity Based Operator Unique PIN Token SO Crypto-Officer Identity Based Operator Unique PIN Token User User Identity Based Operator Unique PIN Table 2-3 Roles and Required Identification and Authentication The PSI-e supports three types of Tokens: one Administration Token, multiple Cprov Tokens and one or more Smart Card Tokens. All Tokens have two operators: a Security Officer (SO) and a User. For the Administration Token, the Admin SO is the Security Officer and the Administrator is the User. For all other Tokens, the Security Officer is the Token SO and the Token User is the User. The operator explicitly selects a role when logging in by selecting a PKCS#11 Token and nominating either User or SO Role. The adapter provides restricted services to an operator based on the role to which the operator authenticated. There is only one operator assigned to each role. The Admin SO, Admin and Token SO perform FIPS 140-2 Crypto Officer roles while the Token User performs a FIPS 140-2 User role. The PSI-e enforces a minimum PIN length of 4 characters and a maximum PIN length of 32 characters. The module allows the PIN character to be any value but the software typically used with the module restricts the dictionary to the ANSI C character set. This character set provides for 92 visible characters which, with a 4 character PIN, provides a probability of less than one in 1,000,000 that a random PIN attempt (e.g., guess) will succeed (actual probability is approximately 1/71,600,000). The module is protected from brute force PIN attacks by imposing an increasing delay for every failed PIN attempt after the first three failed attempts. The initial delay is 5 seconds and increases by an additional 5 seconds for each subsequent failed attempt, e.g., 3 fails causes a 5 second delay; 4 fails causes a 10 second delay; 5 fails causes a 15 second delay; etc. 2.3.1 Services for Authorized Roles Table 2-4 lists the services related to each authorized role within the adapter: Role Services Admin SO Initialize Administrator Token User PIN Admin Manage Adapter and Admin Token Token SO Manage Token Token User Use Token and manage token keys Unauthenticated operator Unauthenticated services Table 2-4 Types of Available Services Document is Uncontrolled When Printed. Page 5 of 18 CR-3222 Revision Level: 18 2.3.2 Administrator Security Officer The primary role of the Administrator Security Officer (ASO) is to introduce the Administrator to the system. The ASO is able to set the initial Administrator PIN value but is not able to change the administration PIN after it is initialized. The ASO can perform the following services:  Set the initial Administrator PIN value (may not change it later).  Set the CKA_TRUSTED attribute on a Public object in the Admin Token.  Set the CKA_EXPORT attribute on a Public object in the Admin Token.  Manage Host Interface Master Keys  Exercise cryptographic services with Public objects  Create, destroy, import, export, generate, and derive1 Public objects  May change his/her own PIN  Read the Hardware Event Log  May modify Monotonic Counter object 2.3.3 Administrator The Administrator is responsible for the overall security management of the adapter. Token Security Officers and Slots are controlled by the Administrator. The following services are available to the Administrator:  Set or Change RTC value  Read the Hardware Event Log  Purge a full Hardware Event Log  Configure the Transport Mode feature  Specify the Security Policy of the adapter  Create new Cprov Slots/Tokens and specify their Labels, SO PINs, and minimum PIN Length  Initialize smart cards and specify their Labels and SO PINs  Destroy individual Cprov Slots/Tokens  Zeroize all adapter Secure Memory including all PINs and User Keys  Perform Firmware Upgrade Operation  Manage Host Interface Master Keys  Exercise cryptographic services with Public objects on Admin Token  Exercise cryptographic services with Private objects on Admin Token  Create, destroy, import, export, generate, and derive Public objects on Admin Token  Create, destroy, import, export, generate, and derive Private objects on Admin Token  May change his/her own PIN  May revoke Authentication 2.3.4 Token SO 1 Key Derive operations are listed in Table 2-10. Document is Uncontrolled When Printed. Page 6 of 18 CR-3222 Revision Level: 18 The Token SO is responsible for granting and revoking ownership of the token. If the Token does not have a User PIN, the Token SO should initialize it by assigning the Label and User PIN. The token SO may also revoke the Token User’s privileges (and possibly reassign the token to another operator) but only by destroying all the key material of the original operator first. The following services are available to the Token SO:  Set the initial User PIN value (may not change it later)  Reset (re-initialize) the Token (destroys all keys and User PIN on the Token) and set a new Label  Set the CKA_TRUSTED attribute on a Public object in his or her Token  Set the CKA_EXPORT attribute on a Public object in his or her Token  Exercise cryptographic services with Public objects in his or her Token  Create, destroy, import, export, generate, and derive Public objects in his or her Token  May change his/her own PIN  May modify Monotonic Counter object 2.3.5 Token User Token users may manage and use private and public keys on their own tokens. The following services are available to the Token User:  Exercise cryptographic services with Public objects in his or her Token  Exercise cryptographic services with Private objects in his or her Token  Create, destroy, import, export, generate, derive Public objects in his or her Token  Create, destroy, import, export, generate, and derive Private objects in his or her Token  May change his/her own PIN 2.3.6 Unauthenticated Operators Certain services are available to operators who have not (yet) authenticated to the adapter:  Exercise status querying services  Authenticate to a Token  Force session terminate, restart adapter by setting the doorbell register on the hardware. The doorbell register is a memory map to the PCI bus. The host application can force a restart by writing a certain value to the register through the PSI-e device driver. The transparent PCI chip will then generate a bus cycle restart which in turn will restart the adapter. All of the services available to the Unauthenticated Operators are also available to all authenticated operators. Document is Uncontrolled When Printed. Page 7 of 18 CR-3222 Revision Level: 18 2.4 Physical Security The adapter provides tamper evidence and tamper response mechanisms. The non-removable metal casing and epoxy covered PCB board provides a strong tamper evident enclosure. The Administrator should perform routine visual inspection of the module for evidence of tamper such as scratches. The module is actively protected through a combination of an external tamper jumper switch, a light sensor, and a voltage monitor. The PSI-e protection can also be activated by removal of the adapter from the host machine or via an external alarm input capability. In the event of a tamper the PSI-e enters a Tamper state in which all processing is halted and the secure memory is zeroized. 2.5 Operational Environment This section does not apply. The PSI-e does not provide a modifiable operational environment. 2.6 Cryptographic Key Management The PSI-e is a general-purpose cryptographic management device and thus securely administers both cryptographic keys and other critical security parameters (CSPs) such as passwords. 2.6.1 Key Generation The PSI-e Module supports the generation of DSA, RSA, ECDSA (also known as ECC), and DH public and private keys. The module also supports the generation of three-key Triple-DES keys as well as AES 128-bit, 192-bit, and 256-bit keys. The module implements the FIPS approved RNG specified in FIPS 186-2 x-Original using SHA-1 that is used for generating random values required for key generation. The RNG is seeded from the HRNG from the crypto chip. 2.6.2 Key Access / Storage All keys except module specific keys are stored as plaintext token objects in secure memory (battery-backed RAM), and the module prevents physical access to this RAM through the physical security mechanisms discussed in section 2.4. Logical access to keys and other CSPs is restricted to authenticated operators with valid permissions. Any key input to the module is done so over a Triple-DES encrypted trusted channel or by components through a dedicated port and the module only allows keys to be output if they are wrapped using a FIPS Approved algorithm. Table 2-5 outlines all the keys stored by the module. Document is Uncontrolled When Printed. Page 8 of 18 CR-3222 Revision Level: 18 CSP CSP Type Generation Input/Output Storage Destruction Mechanism Use Firmware upgrade 2048 bit RSA FIPS 186-2 RNG Not input/output Plaintext in Flash None To verify the signature attached to a Certificate new firmware image. Default Administrative PIN N/A Not input/output Plaintext in Flash Replaced as part of the For initial authentication to the module. Token SO PIN initialization process Replaced after the module is initialized. D-H Key Agreement 1024-4096 bit Private Component Public key Working memory Power cycle, tamper, or To establish an encrypted channel Keys Modulus Size Generated Via exported as part C_DestroyObject() API between an operator and the module. FIPS 186-2 RNG; of key Public Value agreement Computed via Diffie-Hellman DH Shared Secret Key Triple-DES Established via DH Not input/output Working memory Power cycle, tamper, or Protects data between an operator and C_DestroyObject() API the module. Triple-DES is used to protect the secure channel established using DH. EC-DH Key Agreement ECDH (P192-P521) Private Public key Working memory Power cycle, tamper, or To establish an encrypted channel Keys Component exported as part C_DestroyObject() API between an operator and the module. Generated Via of key FIPS 186-2 RNG; agreement Public Value Computed via Diffie-Hellman ECDH Shared Secret Triple-DES Established via Not input/output Working memory Power cycle, tamper, or Protects data between an operator and Key ECDH C_DestroyObject() API the module. Triple-DES is used to protect the secure channel established using ECDH. Message HMAC-SHA-1 Established via Not Working memory Power cycle, tamper, or Provide data authentication of Authentication Key DH/ECDH Input/Output C_DestroyObject() API encrypted data between an operator and the module. Document is Uncontrolled When Printed. Page 9 of 18 CR-3222 Revision Level: 18 CSP CSP Type Generation Input/Output Storage Destruction Mechanism Use RSA Public/Private 1024 – 4096 bit RSA ANSI X9.31 Public key Working memory Power cycle, tamper, or Key wrapping as part of a TLS key Keys exported as part C_DestroyObject() API establishment protocol. of key agreement Input encrypted2 Operating PINs PIN N/A Encrypted with MMK Tamper or All users’ PINs – Admin Token SO, C_DestroyObject() API Admin Token User, Token SOs, and Token users used to authenticate to the module. Encrypted3 or Token Keys AES or Triple-DES FIPS 186-2 RNG Secure memory Tamper or User-created keys for use by user split knowledge encrypted with MMK C_DestroyObject() API applications Application Keys AES or Triple-DES FIPS 186-2 RNG Output Secure memory Tamper or Used to wrap Token Keys output from encrypted encrypted with MMK C_DestroyObject() API the module. RNG Seed Key Seed Key H/W RNG Not input/output Not permanently Power cycle or tamper Used as part of the RNG process. stored Module Master Key 3-key Triple-DES FIPS 186-2 RNG Not input/output Tamper responsive Tamper or Zeroize Used to encrypt contents of secure memory in NVRAM command memory of RTC (ctconf –x) Table 2-5 List of Keys Stored in Module Table 2-5 outlines the access that “Authorized Services” (see Table 2-4) have to the keys listed in Table 2-5. Here ‘R’ stands for “Read”, ‘W’ stands for “Write”, X stands for “Execute” and “Z” stands for “Zeroize”. 2 PINs encrypted using Triple-DES 3 Token Keys encrypted using AES or Triple-DES Application Keys Document is Uncontrolled When Printed. Page 10 of 18 CR-3222 Revision Level: 18 FW Default DH / ECDH Key Message Operating Token Token RNG Module Upgrade Admin Ephemeral Agreement Authentication PINs Keys Keys Seed Master Cert Token Keys Key (Public) (Private) Key Keys Key SO PIN Initialization - - - X - WX - - - W Administrator SO WX WX - WXZ - WXZ RWXZ RWXZ - RWXZ Administrator - - WZ X WZ WXZ - - - RWXZ Token SO - - RXZ X RXZ X - - - - Token User - - RXZ X RXZ X XZ XZ XW - Unauthenticated - - - - - X - - - - Operators Table 2-6 Access to Keys for Authorized Services Please note that the FW Upgrade Cert is never zeroized because it is a public key. The Default Admin Token SO PIN is never zeroized because it’s a pre-initialization value. The RNG Seed Key is zeroized when a tamper event is detected or overwritten when the module is restarted. All other CSPs/Keys identified in Table 2-5 are zeroized by a call to C_DestroyObject() API by the respective role or through a tamper event. Document is Uncontrolled When Printed. Page 11 of 18 CR-3222 Revision Level: 18 2.6.3 Security Functions The PSI-e supports a wide variety of security functions. FIPS 140-2 requires that only FIPS Approved algorithms be used whenever there is an applicable FIPS standard. Table 2-7 lists the PSI-e FIPS Approved security functions. In the FIPS mode of operation these Approved security functions are available. FIPS Approved Security Function FW 3.20.00 HW AES Cert. 1859 Cert. 1860 DSA Cert. 579 ECDSA– Only NIST Recommended Curves Cert. 259 RSA Cert. 940 SHA-1, SHA-224, SHA-256, SHA-384, SHA-512 Cert. 1636 HMAC: SHA-1, SHA-224, SHA-256, SHA-384, SHA-512 Cert. 1106 Triple-DES Cert.1206 Cert. 1207 Triple-DES MAC (Vendor Affirmed) Cert. 1206 RNG Cert. 975 Table 2-7 FIPS Approved Security Functions Table 2-8 lists the PSI-e Non-Approved but FIPS allowed security functions. In the FIPS mode of operation these Non-Approved security functions are available. Non-Approved FIPS but Allowed Security Functions AES4 Key Wrapping/Unwrapping Triple-DES5 Key Wrapping/Unwrapping DH6 RSA Key Wrapping/Unwrapping7 ECDH8 - Only NIST Recommended Curves Table 2-8 Non-Approved FIPS Allowed Security Functions       4   AES (Certs. #1859 and #1860, key wrapping; key establishment methodology provides 128, 192 or 256 bits of encryption strength); 5 Triple-DES (Certs. #1206 and #1207, key wrapping; key establishment methodology provides 80 or 112 bits of encryption strength); 6 Diffie-Hellman key agreement; key establishment methodology provides between 80 and 150 bits of encryption strength; non-compliant less than 80-bits of encryption strength; 7 RSA key wrapping; key establishment methodology provides between 80 and 150 bits of encryption strength; 8 EC Diffie-Hellman key agreement; key establishment methodology provides between 80 and 256 bits of encryption strength. Document is Uncontrolled When Printed. Page 12 of 18 CR-3222 Revision Level: 18 Table 2-9 lists the PSI-e Non-FIPS Approved security functions. When the PSI-e is in the FIPS mode of operation these security functions are not available. Non-FIPS Approved Security Functions DES (ECB, CBC, OFB64) DES MAC AES MAC CAST 128 (ECB, CBC) CAST MAC IDEA (ECB, CBC) IDEA MAC RC2 (ECB, CBC) RC2 MAC SEED (ECB,CBC) SEED MAC MD2 MD5 MD5 HMAC RC4 (ECB) RIPEMD-128 RIPEMD-160 RMD128 HMAC RMD160 HMAC ECIES ARIA Table 2-9 Non-FIPS Approved Security Functions Document is Uncontrolled When Printed. Page 13 of 18 CR-3222 Revision Level: 18 Table 2-10 lists the PSI-e key derivation mechanisms. MECHANISMS FOR SPLIT KNOWLEDGE DISABLED/NON-ALLOWED ENTRY/OUTPUT OF KEY DERIVATION METHODS (Not Allowed in FIPS Mode) (Allowed in FIPS Mode) CKM_CONCATENATE_BASE_AND_KEY CKM_DES3_DERIVE_CBC _DERIVE CKM_XOR_BASE_AND_DATA CKM_DES3_DERIVE_ECB CKM_XOR_BASE_AND_KEY CKM _SHAxxx_KEY_DERIVATION CKM_EXTRACT_KEY_FROM_KEY CKM_SSL3_KEY_AND_MAC_DERIVE CKM_SECRET_SHARE_WITH_ATTRIBUTES CKM_SSL3_MASTER_KEY Table 2-10 Summary of Key Derivation Mechanisms Document is Uncontrolled When Printed. Page 14 of 18 CR-3222 Revision Level: 18 2.7 Self-Tests The PSI-e Module performs a number of power-up and conditional self-tests to ensure proper operation. 2.7.1 Power-Up Self-Tests When the module is initially powered-on, it executes a battery of power-up self-tests. If any of the power-up self-tests fail, the module will enter an error state and prohibit an operator from exercising the module’s cryptographic functionality. Table 2-11 lists the power-up self-tests: FIPS 140-2 Test Function Required SDRAM Tests the module’s volatile working memory by performing a No connectivity test SRAM Tests the module’s static RAM by performing a connectivity test No Secure Memory File Initializes and checks the module’s secure memory file system No System Integrity Flash Boot Block Verifies a checksum over the module’s personalization data in ROM No RTC Connectivity Verifies that the CPU can connect to the UART device No RNG KAT Performs a known answer test for the FIPS 186-2 RNG. Yes Symmetric Cipher KATs Performs known answer tests for AES, Triple-DES, CAST, IDEA, RC2, AES and Triple- DES, and RC4. DES MAC Performs known answer tests for CAST MAC, IDEA MAC, RC2 MAC, Triple-DES MAC and DES MAC and Triple-DES MAC. HMAC-SHA-1, HMAC KATs HMAC-SHA-224, Performs known answer tests for MD5 HMAC, HMAC-SHA-1, HMAC- HMAC-SHA-256, SHA-224, HMAC-SHA-256, HMAC-SHA-384, HMAC-SHA-512, HMAC-SHA-384, RMD128 HMAC and RMD160 HMAC. HMAC-SHA-512 Asymmetric Cipher KATs Performs known answer tests for RSA operations. Yes Asymmetric Key Derive Performs known answer tests for ECDH1 Derive No KATs Asymmetric Pairwise Performs a pairwise consistency test on a DH key pair No Consistency Test Sign/Verify Known Answer signature/verification tests for RSA, DSA and ECDSA. Yes Message Digest KATs Verifies known message/hash pairs for MD2, MD5, RMD128, RMD SHA-1, 160, SHA-1, SHA-224, SHA-256, SHA-384 and SHA-512. SHA-224, SHA-256, SHA-384, SHA-512 Software/Firmware Ensures that the software/firmware on the module has not been Yes Integrity modified / damaged by calculating a SHA-1 hash over all software/firmware components and comparing the digest to a known good result. Statistical RNG Performs a Statistical Chi Square test of 2500 bytes of random data (Legacy) Table 2-11 Power-up Self-Tests Document is Uncontrolled When Printed. Page 15 of 18 CR-3222 Revision Level: 18 2.7.2 Conditional Self-Tests The module performs conditional self-tests as outlined in Table 2-12. FIPS 140-2 Test Function Required Pairwise Consistency Runs a pairwise consistency check each time the module DSA, RSA, generates a DSA, RSA, ECDSA, or DH public/private key ECDSA pair. Continuous HW RNG Performs the FIPS 140-2 required continuous RNG check Yes each time the module’s Hardware RNG is used to produce random data. Continuous RNG Performs the FIPS 140-2 required continuous RNG check Yes each time the module’s RNG is used to produce random data. Firmware Load Checks that the firmware to be loaded is verified with a Yes digital signature. If the signature cannot be verified, the module will report an error and the firmware will not be loaded. Note: Following a successful verification, all keys and CSPs will first be zeroized and then the firmware will be updated . After the firmware is updated, the PSI-e will automatically transition to a non-FIPS mode and will require reconfiguration to return to FIPS mode. Table 2-12 Conditional Self-Tests 2.8 Mitigation of Other Attacks The PSI-e does not employ any technology specifically intended to mitigate against other attacks. 3. FIPS APPROVED MODE OF OPERATION 3.1 Description The PSI-e allows its administrators the choice of employing a wide range of security technologies. To comply with FIPS mode of operation the PSI-e must be configured in a secure manner. This includes:  Operation with FIPS Approved algorithms as listed in Table 2-7 and Non-Approved but FIPS allowed algorithms as listed in Table 2-8;  Not permitting the export of clear keys;  Locking the security mode to prevent circumvention of the mode setting;  Not permitting PINs to be used in clear;  Not permitting changes to the PSI-e firmware without first clearing all protected keys and CSPs; and  Providing authentication and session management security. Document is Uncontrolled When Printed. Page 16 of 18 CR-3222 Revision Level: 18 This Security Policy describes a particular PSI-e firmware and hardware. The PSI-e firmware can be replaced (with a firmware upgrade operation) or extended (by loading Functionality Modules [FMs]). The operator should ensure that the firmware and hardware of the PSI-e are validated configurations. The PSI-e checks that new firmware is digitally signed before it can be loaded. Following a successful verification all keys and CSPs will be zeroized. After the zeroization, the PSI-e will automatically transition to a non-FIPS mode and will require reconfiguration to return to FIPS mode. 3.2 Invoking Approved Mode of Operation An operator may easily place the PSI-e in “FIPS mode” by simply running the administrative CTCONF -fF command from the remote management facility. Once this command is executed the PSI-e will reject all requests for non-FIPS algorithms or configurations. Please note that the operator has to be logged in as an Administrator to invoke the FIPS mode of operation. 3.3 Mode of Operation Indicator Running the display status command from a remote management facility will return a status displaying the current PSI-e operating mode. Security Mode: FIPS 140-2 Mode: When the module is not running in FIPS mode, this status displays as: Security Mode: 3.4 Invoking Mode of Operation Indicator An operator may easily view the current PSI-e mode of operation by simply running the administrative CTCONF –v command from the remote management facility. Once this command is executed the PSI-e will respond with full details of the adapter configuration. The configuration details include details of the firmware loaded and a listing of the adapter security mode flags one of which indicates that the module is in the FIPS mode of operation. Document is Uncontrolled When Printed. Page 17 of 18 CR-3222 Revision Level: 18 4. DESIGN ASSURANCE 4.1 Distribution and Delivery of Module The module is shipped in an anti-static shipping envelope that is sealed with a SafeNet security sticker and placed inside a SafeNet shipping box. The user should inspect the product shipping boxes to make sure they have not been tampered with or damaged upon receiving the modules, which could indicate a security compromise. Document is Uncontrolled When Printed. Page 18 of 18 CR-3222 Revision Level: 18 APPENDIX A. ACRONYMS AND ABBREVIATIONS Acronym Definition AES Advanced Encryption Standard AK Application Key ANSI American National Standards Institute API Application Programming Interface ARIA Korean Government Standard Encryption Algorithm ATSO Administrative Token Security Operator ATU Administrative Token User CA Certificate Authority CPU Central Processing Unit CSP Critical Security Parameter DES Data Encryption Standard DH Diffie-Hellman DHEK Diffie-Hellman Ephemeral Key DSA Digital Signature Algorithm ECDH Elliptic Curve Diffie-Hellman ECDHEK Elliptic Curve Diffie-Hellman Ephemeral Key FIPS Federal Information Processing Standard HRNG Hardware Random Number Generator IDEA International Data Encryption Algorithm KAT Known Answer Test LCD Liquid Crystal Display LED Light Emitting Diode MAK Message Authentication Key MD2 Message Digest Algorithm 2 MD5 Message Digest Algorithm 5 MD5 HMAC MD5 Hashed Message Authentication Code MMK Module Master Key NIST National Institute of Standards and Technology NO Normal Operator PSI-e ProtectServer Internal-Express PIN Personal Identification Number PKI Public Key Infrastructure Document is Uncontrolled When Printed. Page A-1 of A-2 CR-3222 Revision Level: 18 Acronym Definition RAM Random Access Memory RC2 Rivest’s Code 2 RC4 Rivest’s Code 4 RNG Random Number Generator RoHS Restriction on Hazardous Substances ROM Read Only Memory RSA Rivest, Shamir and Adleman RWXZ Read, Write, Execute, Zeroize SDRAM Synchronous Dynamic Random Access Memory SHA Secure Hash Algorithm SO Security Operator SRAM Static Random Access Memory Triple-DES Triple Data Encryption Standard USB Universal Serial Bus USO User Security Operator VGA Video Graphics Array Document is Uncontrolled When Printed. Page A-2 of A-2