Cryptographic Module Security Policy Apricorn FIPS Module 140-2 Author: Robert Davidson Date: Monday, May 13, 2013 Document Issue: REV A MAY_13_2013 (Initial Public Release) This document may be copied without the author’s permission, provided that it is copied in its entirety without any modification. Apricorn is a trademark or a registered trademark of Apricorn, Inc. in certain countries. All Apricorn product names and logos are trademarks or registered trademarks of Apricorn, Inc. in certain countries. All other company and product names and logos are trademarks or registered trademarks of their respective owners in certain countries. Apricorn FIPS Module 140-2 Cryptographic Module Security Policy Table of Contents 1. References ................................................................................................................ 3 2. Target Audience......................................................................................................... 3 3. Introduction ................................................................................................................ 4 3.1 Purpose of the Security Policy ........................................................................... 4 3.2 Cryptographic Module Description ..................................................................... 4 4. Security Levels .......................................................................................................... 6 5. Interfaces and Ports ................................................................................................... 7 6. Cryptographic Key and CSP Management ................................................................. 7 6.1 PIN Access Codes ............................................................................................. 7 6.2 Random Number Generation ............................................................................. 7 6.3 AES Master Key ................................................................................................ 7 6.4 Zeroization......................................................................................................... 7 7. Identification and Authentication Policy ...................................................................... 8 7.1 Roles ................................................................................................................. 8 7.2 Authentication .................................................................................................... 9 8. Access Control Policy .............................................................................................. 10 9. Physical Security Policy ........................................................................................... 11 10. Regulatory Compliance .......................................................................................... 11 11. Security Rules ........................................................................................................ 12 12. Mitigation of Other Attacks Policy ........................................................................... 13 13. Acronyms ............................................................................................................... 13 © Apricorn Inc. May 13, 2013 Page 2 of 13 Apricorn FIPS Module 140-2 Cryptographic Module Security Policy Revision History Version 1.0 Initial Public Release 1. References Author Title NIST FIPS PUB 140-2: Security Requirements For Cryptographic Modules, December, 2002 NIST Derived Test Requirements for FIPS PUB 140-2, March, 2004 NIST Implementation Guidance for FIPS PUB 140-2 and the Cryptographic Module Validation Program, May, 2006 NIST FIPS 197 NIST FIPS 180-3 NIST SP800-90 NIST SP800-38E Table 1 - References 2. Target Audience  NIST, CSEC, Accredited Laboratory and the FIPS 140-2 Validation Group  Developers Working on the Release  Product Verification  Documentation  Product and Development Managers  Security Assurance  Administrator and General User © Apricorn Inc. May 13, 2013 Page 3 of 13 Apricorn FIPS Module 140-2 Cryptographic Module Security Policy 3. Introduction This Security Policy document contains a description of the Apricorn FIPS Module 140-2 Cryptographic Module (also referred to herein as the cryptographic module, or simply the module). This document contains a specification of the security rules under which the module must operate as derived from the requirements of FIPS 140-2. 3.1 Purpose of the Security Policy There are three major reasons that this security policy is defined for, and must be followed by, the cryptographic module:  This document is required for FIPS 140-2 validation.  This document allows individuals and organizations to determine whether the cryptographic module, as implemented, satisfies the stated security policy.  This document describes the capabilities, protection, and access rights provided by the cryptographic module, allowing individuals and organizations to determine whether it will meet their security requirements. 3.2 Cryptographic Module Description The cryptographic module is a multi-chip embedded cryptographic module. Specifically, the module is a USB 3 to SATA II which implements hardware encryption dependent on operator authentication. The module provides seamless encryption/decryption (AES-XTS 256) on external storage devices including hard drives, flash memory, and solid-state drives. The module provides secure encrypted external storage ensuring that only authorized operators have access to the protected data. Access is granted by use of a keypad whereby the authorized operator inputs a personal identification number (PIN) to access and unlock the secured data. List of all Approved Security Functions: The cryptographic module offers FIPS Approved cryptographic security functions including the following:  Random bit generator (SP800-90 HASH – 256 Cert. #260)  Symmetric encryption/decryption (AES-XTS Cert. #2235)  Secure hash (SHA 256 Cert. #1911) List of all non-Approved Security Functions: - Non-deterministic hardware random number generation (for seeding Approved DRBG) © Apricorn Inc. May 13, 2013 Page 4 of 13 Apricorn FIPS Module 140-2 Cryptographic Module Security Policy Top Bottom Figure A – Pictures of encryption module The cryptographic module is designed to be a FIPS 140-2 Level 2 cryptographic module for the storage of user credentials and file systems. The module will only operate in the “FIPS Approved” mode of operation (i.e. non-FIPS mode is not supported). The diagram below, marked Apricorn Encryption Module, represents the physical boundary of the device and the cryptographic boundary as outlined by the red marking. Figure B – Apricorn encryption module © Apricorn Inc. May 13, 2013 Page 5 of 13 Apricorn FIPS Module 140-2 Cryptographic Module Security Policy 4. Security Levels The cryptographic module meets an overall security FIPS 140-2 Level 2. The FIPS 140-2 specification defines security requirements that are grouped into Security Requirement Areas. These areas are tested individually for a specific level of achievement. The table below defines the targeted level in each section for the module. FIPS 140-2 Security Requirement Target Level Level 2 Cryptographic Module Specification Level 2 Cryptographic Module Ports and Interfaces Level 2 Roles, Services and Authentication Level 2 Finite State Model Level 2 Physical Security N/A Operational Environment Level 2 Cryptographic Key Management Level 3 EMI/EMC Level 2 Self-Tests Level 3 Design Assurance N/A Mitigation of Other Attacks Table 2 – Security Levels © Apricorn Inc. May 13, 2013 Page 6 of 13 Apricorn FIPS Module 140-2 Cryptographic Module Security Policy 5. Interfaces and Ports There are four physical ports on the cryptographic module: a Super Speed Universal Serial Bus (USB 3.0), a Keypad, a SATA connector for the external storage device, and signals to drive three external status LEDs. Physical Port Logical Interface Super Speed Universal Serial Bus (USB 3.0) Data Input/ Data Output/Power Keypad Control Input (manual controls) SATA Data Input/ Data Output/Power LEDs output (Red, Blue, Green) Status Output Table 3 – Interfaces and Ports 6. Cryptographic Key and CSP Management 6.1 PIN Access Codes On the cryptographic module, each personal identification number (PIN) has a minimum of seven digits and maximum of sixteen digits. The module supports one Administrator PIN and up to four General User PIN codes. 6.2 Random Number Generation The cryptographic module contains a non-deterministic hardware random number generator (NDRNG) that uses an internal, unpredictable physical source of entropy that is outside of human control. Random numbers generated by the NDRNG are used as seeding values for the FIPS Approved Deterministic Random Bit Generator (SP800-90 DRBG –HASH Cert #260). Continuous RNG tests are performed on the outputs of the NDRNG and on the outputs of the Approved SP800-90 DRBG. 6.3 AES Master Key The cryptographic module uses an AES 256-bit key used to encrypt/decrypt the data on the external storage device(s). The AES 256-bit key is generated using the FIPS Approved deterministic random bit generator (SP800-90 DRBG –HASH Cert #260). 6.4 Zeroization The module supports active zeroization of all critical security parameters. When zeroization occurs, all critical security parameters are permanently destroyed. © Apricorn Inc. May 13, 2013 Page 7 of 13 Apricorn FIPS Module 140-2 Cryptographic Module Security Policy 7. Identification and Authentication Policy 7.1 Roles The cryptographic module performs role based authentication via verification of the PIN code for the Administrator role and General User role. The Administrator role is the Cryptographic Officer role as defined in the FIPS 140-2 standard. The Administrator role is responsible for the overall security of the module. The Administrator can change his/her own personal identification number (PIN) and can access all of the data stored within the device, as well as add and erase general users. The General User role is the User role as defined in the FIPS 140-2 standard. The General User role has limited privileges and access to limited services of the module. The General User can change his/her own personal identification number (PIN) and access all of the data stored within the storage device. The cryptographic module supports up to 5 authenticated operators; at least one authenticated operator will be an Administrator. © Apricorn Inc. May 13, 2013 Page 8 of 13 Apricorn FIPS Module 140-2 Cryptographic Module Security Policy 7.2 Authentication The cryptographic module requires a minimum of seven digits and maximum of sixteen digits for a personal identification number (PIN). When the module is powered on it will allow a maximum of five attempts to correctly enter the PIN code before temporarily locking up the module, requiring a power-cycle. Once re-powered (after five failed authentication attempts described above) an, additional five attempts can be made to correctly enter the PIN code. Upon a total of ten failed authentication attempts (as described above), the module will lock the keypad and require a pre-defined command sequence to be entered to allow the Administrator or General User another ten attempts at entering the correct PIN code. If the module does not receive the correct PIN code within the maximum of 20 attempts (described above), all critical security parameters will be actively zeroized. In such case any encrypted data remaining on the external storage device(s) will be useless (unrecoverable). Role Type of Authentication Authentication Data Administrator (Cryptographic Role-based Personal Identification Officer) Number (PIN) General User (User) Role-based Personal Identification Number (PIN) Table 4 - Roles and required authentication Authentication Mechanism Strength of Mechanism PIN code verification A minimum seven digit PIN is used, with each digit selected from twenty possible characters. Therefore the probability of a random attempt to authenticate to the module is 1/1,280,000,000 which is much less than 1/1,000,000. The probability of multiple consecutive attempts to authenticate to the module during a one minute period is 100/ 1,280,000,000 which is much less than 1/100,000. Table 5 – Strengths of authentication mechanisms © Apricorn Inc. May 13, 2013 Page 9 of 13 Apricorn FIPS Module 140-2 Cryptographic Module Security Policy 8. Access Control Policy The cryptographic module supports two roles: Administrator and General User. The type of services corresponding to each of the supported roles is described below. Types of Access:  Read: R  Write: W  Zeroize: Z  N/A: Not applicable Role Service Cryptographic Type Keys and CSPs of Access Administrator General No Role Required (Cryptographic User (Unauthenticated Officer) (User) services that are not security relevant and do not require an authorized/authenticated operator) X X Login/Unlock: authenticate Admin PIN R operator to the module. (or) User PIN AES Master Key R X X Logout/Lock: de-authenticate N/A N/A the operator and lockup the module. X X Write Data: receive plaintext AES Master Key R data from host, AES encrypt data to external storage. X X Read Data: AES decrypt data AES Master Key R from external storage, output plaintext to host. X X X Self-Test: perform required N/A N/A power-up self-tests X X X Get Status: status outputs. N/A N/A X X X Zeroize: destroy all CSPs. AES Master Key W DRBG Internal State W X X Change PIN: update the PIN. Admin PIN W User PIN W X Set self-destruct: prepare the Admin PIN W module for duress event. X Self-destruct: reinitialize the Admin PIN Z module. User PIN AES Master Key DRBG Internal State X Delete all User PINs: User PIN W overwrite and supersede all Admin PIN PINs AES Master Key DRBG Internal State X Set unattended: set idle N/A N/A timeout value in minutes. Table 6 – Roles, Services, CSPs, Types of Access © Apricorn Inc. May 13, 2013 Page 10 of 13 Apricorn FIPS Module 140-2 Cryptographic Module Security Policy 9. Physical Security Policy Epoxy coating The module is encapsulated with a hard, opaque, tamper-evident epoxy coating. Physical Security Recommended Frequency Inspection/Test Guidance Mechanisms of Inspection/Test Details Hard, opaque, tamper-evident In accordance with Inspect the cryptographic epoxy coating Administrator role boundary for scratches, organizational security policy. gouges, scrapes, deformations, and any other suspicious signs of malice and tampering. If any evidence of tampering exists the Administrator role is required to cease use of the cryptographic immediately. Table 7 – Physical Security 10. Regulatory Compliance The cryptographic module has been tested for and passes the following:  EMI/EMC requirements specified by 47 Code of Federal Regulations, Part 15, Subpart B, Unintentional Radiators, Digital Devices, Class B (i.e., for home use). © Apricorn Inc. May 13, 2013 Page 11 of 13 Apricorn FIPS Module 140-2 Cryptographic Module Security Policy 11. Security Rules  The cryptographic module shall always run in a FIPS Approved mode of operation (i.e. non-FIPS mode shall not be supported). It shall be possible to determine that the module is in FIPS mode by powering up the module (automatically invoke the self tests) and observe LED status as follows: RED LED is solid on to indicate self-tests completed successfully; RED LED is flashing permanently to indicate an error state. To retest for FIPS mode repower the device and review the LED status.  The hardware version can be determined by inspecting the back of the module which will indicate: FIPS Module 140-2 REV. “A”; the firmware version can be determined by the “Get Status” service with the following LED pattern: BLUE LED flashing four times then RED LED flashes 2 times (to indicate firmware version 4.0).  The cryptographic module shall enforce separation of all data inputs, data outputs, control inputs, status outputs via defined ports and interfaces.  The cryptographic module shall receive power via its defined power interface.  The cryptographic module shall not support a maintenance interface or bypass capability.  The cryptographic module shall not support the output of any cryptographic keys or CSPs in any form.  During error states, the cryptographic module shall: enforce the inhibition of all data outputs, cease to provide any cryptographic or otherwise security relevant services, and provide non-security relevant error status.  The cryptographic module shall support role-based authentication.  The cryptographic module shall provide a hard, opaque, tamper evident enclosure.  The cryptographic module shall enforce a non-modifiable operational environment.  The cryptographic module shall protect all critical security parameters from unauthorized disclosure, modification, and substitution.  The cryptographic module shall provide a non-Approved non-deterministic hardware random number generator strictly for the purposes of seeding the Approved deterministic random bit generator.  The cryptographic module shall not support manual key entry or any other type of key entry/output.  The cryptographic module shall support zeroization to destroy all critical security parameters.  The cryptographic module shall conform to applicable EMI/EMC requirements.  The cryptographic module shall perform all required self-tests: o Power-up Self-tests  SHA-256 KAT  SP800-90 HASH DRBG KAT  AES-XTS encrypt/decrypt KAT  Firmware integrity test (16-bit EDC) o Conditional Self-tests  Continuous RNG test (NDRNG and SP800-90 HASH DRBG)  Firmware load test: N/A  Manual key entry test: N/A  Pairwise consistency test: N/A  Bypass test: N/A © Apricorn Inc. May 13, 2013 Page 12 of 13 Apricorn FIPS Module 140-2 Cryptographic Module Security Policy 12. Mitigation of Other Attacks Policy The module is not designed to mitigate any specific attacks outside the scope of FIPS 140-2. Other Attacks Mitigation Mechanism Specific Limitations Not applicable Not applicable Not applicable Table 8 – Mitigation of Other Attacks 13. Acronyms - AES: Advanced Encryption Standard - CMVP: Cryptographic Module Validation Program - CSEC: Communications Security Establishment Canada - CSP: Critical Security Parameters - DRBG: Deterministic Random Bit Generator - EDC: Error Detection Code - EMI/EMC: Electromagnetic Interference/Electromagnetic Compatibility - FIPS: Federal Information Processing Standards - KAT: Known Answer Test - LED: Light Emitting Diode - NIST: National Institute of Standards and Technology - NDRNG: Non-Deterministic Random Number Generator - N/A: Not Applicable - PIN: Personal Identification Numbers - RNG: Random Number Generator - SATA: Serial Advanced Technology Attachment - SHA: Secure Hashing Algorithm - USB: Universal Serial Bus - XTS: XEX Tweakable Block Cipher with Ciphertext Stealing © Apricorn Inc. May 13, 2013 Page 13 of 13