McAfee, Inc. McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Hardware Part Numbers: FWE-S1104, FWE-S2008, FWE-S3008, FWE-S4016, FWE-S5032, and FWE-S6032 Firmware Version: 8.3.1 FIPS 140-2 Non-Proprietary Security Policy FIPS Security Level: 2 Document Version: 0.6 Prepared for: Prepared by: McAfee, Inc. Corsec Security, Inc. 2821 Mission College Boulevard 13135 Lee Jackson Memorial Highway, Suite 220 Santa Clara, California 95054 Fairfax, Virginia 22033 United States of America United States of America Phone: +1 408 988 3832 Phone: +1 703 267 6050 http://www.mcafee.com http://www.corsec.com Security Policy, Version 0.6 October 28, 2013 Table of Contents 1 INTRODUCTION ................................................................................................................... 4 1.1 PURPOSE ................................................................................................................................................................ 4 1.2 REFERENCES .......................................................................................................................................................... 4 1.3 DOCUMENT ORGANIZATION ............................................................................................................................ 4 2 MFE S-SERIES APPLIANCES ................................................................................................. 5 2.1 OVERVIEW ............................................................................................................................................................. 5 2.2 MODULE SPECIFICATION..................................................................................................................................... 8 2.3 MODULE INTERFACES .......................................................................................................................................... 9 2.4 ROLES AND SERVICES .........................................................................................................................................14 2.4.1 Authorized Roles .................................................................................................................................................. 15 2.4.2 Services ................................................................................................................................................................... 15 2.4.3 Authentication Mechanisms ............................................................................................................................. 19 2.5 PHYSICAL SECURITY ...........................................................................................................................................20 2.6 OPERATIONAL ENVIRONMENT.........................................................................................................................20 2.7 CRYPTOGRAPHIC KEY MANAGEMENT ............................................................................................................21 2.8 SELF-TESTS ..........................................................................................................................................................26 2.8.1 Power-Up Self-Tests ............................................................................................................................................ 26 2.8.2 Conditional Self-Tests ......................................................................................................................................... 26 2.8.3 Critical Functions Tests ...................................................................................................................................... 27 2.9 MITIGATION OF OTHER ATTACKS ..................................................................................................................27 3 SECURE OPERATION ......................................................................................................... 28 3.1 CRYPTO-OFFICER GUIDANCE ..........................................................................................................................28 3.1.1 Initialization ........................................................................................................................................................... 29 3.1.2 Management ........................................................................................................................................................ 37 3.1.3 Physical Inspection............................................................................................................................................... 37 3.1.4 Monitoring Status ................................................................................................................................................ 37 3.1.5 Zeroization ............................................................................................................................................................ 38 3.2 USER GUIDANCE ................................................................................................................................................38 3.3 NON-APPROVED MODE OF OPERATION .......................................................................................................38 4 ACRONYMS .......................................................................................................................... 39 Table of Figures FIGURE 1 – TYPICAL DEPLOYMENT SCENARIO .....................................................................................................................5 FIGURE 2 – MCAFEE MFE S1104 ............................................................................................................................................6 FIGURE 3 – MCAFEE MFE S2008 ............................................................................................................................................6 FIGURE 4 – MCAFEE MFE S3008 ............................................................................................................................................6 FIGURE 5 – MCAFEE MFE S4016 ............................................................................................................................................7 FIGURE 6 – MCAFEE MFE S5032/S6032................................................................................................................................7 FIGURE 7 – FRONT PANEL FEATURES AND INDICATORS FOR S1104 .............................................................................. 10 FIGURE 8 – FRONT PANEL FEATURES AND INDICATORS FOR S2008 .............................................................................. 10 FIGURE 9 – FRONT PANEL FEATURES AND INDICATORS FOR S3008 .............................................................................. 10 FIGURE 10 – FRONT PANEL FEATURES AND INDICATORS FOR S4016 ........................................................................... 11 FIGURE 11 – FRONT PANEL FEATURES AND INDICATORS FOR S5032 AND S6032 ...................................................... 11 FIGURE 12 – S2008, S3008, AND S4016 CONTROL PANEL ............................................................................................ 12 FIGURE 13 – S5032 AND S6032 CONTROL PANEL .......................................................................................................... 12 FIGURE 14 – TAMPER-EVIDENT SEAL APPLICATION POSITIONS (S1104) ....................................................................... 30 FIGURE 15 – TAMPER-EVIDENT SEAL APPLICATION POSITIONS (S2008/S3008) .......................................................... 30 FIGURE 16 – TAMPER-EVIDENT SEAL APPLICATION POSITIONS (S4016) ....................................................................... 31 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 2 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 FIGURE 17 – TAMPER-EVIDENT SEAL APPLICATION POSITIONS (S5032/S6032 – FRONT) ......................................... 31 FIGURE 18 – TAMPER-EVIDENT SEAL APPLICATION POSITION (S5032/S6032 – TOP) ................................................ 32 FIGURE 19 – TAMPER-EVIDENT SEAL APPLICATION POSITIONS (S5032/S6032 – REAR)............................................. 32 FIGURE 20 – TAMPER-EVIDENT SEAL APPLICATION POSITIONS (S5032/S6032 – BOTTOM REAR) ........................... 32 FIGURE 21 – RULES WINDOW ............................................................................................................................................. 34 FIGURE 22 – ACTIVE RULES WINDOW ............................................................................................................................... 35 FIGURE 23 – CONFIGURING FOR FIPS ................................................................................................................................ 36 List of Tables TABLE 1 – SECURITY LEVEL PER FIPS 140-2 SECTION .........................................................................................................8 TABLE 2 – APPROVED SECURITY FUNCTIONS .......................................................................................................................8 TABLE 3 – BEHAVIOR OF NETWORK ACTIVITY LEDS....................................................................................................... 12 TABLE 4 – BEHAVIOR OF POWER LED ................................................................................................................................ 12 TABLE 5 – BEHAVIOR OF SYSTEM STATUS LED.................................................................................................................. 13 TABLE 6 – BEHAVIOR OF DRIVE ACTIVITY LED ................................................................................................................. 14 TABLE 7 – FIPS 140-2 LOGICAL INTERFACE MAPPINGS ................................................................................................... 14 TABLE 8 – AUTHORIZED OPERATOR SERVICES .................................................................................................................. 15 TABLE 9 – AUTHENTICATION MECHANISMS EMPLOYED BY THE MODULE .................................................................... 19 TABLE 10 – CRYPTOGRAPHIC KEYS, CRYPTOGRAPHIC KEY COMPONENTS, AND CSPS ............................................ 22 TABLE 11 – POWER-UP CRYPTOGRAPHIC ALGORITHM SELF-TESTS .............................................................................. 26 TABLE 12 – POWER-UP CRYPTOGRAPHIC ALGORITHM SELF-TESTS .............................................................................. 26 TABLE 13 – SUMMARY OF FIREWALL ENTERPRISE DOCUMENTATION ............................................................................ 28 TABLE 14 – REQUIRED KEYS AND CSPS FOR SECURE OPERATION ................................................................................ 36 TABLE 15 – ACRONYMS ........................................................................................................................................................ 39 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 3 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 1 Introduction 1.1 Purpose This is a non-proprietary Cryptographic Module Security Policy for the McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Appliances from McAfee, Inc. This Security Policy describes how the McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 (Hardware Part Numbers: FWE-S1104, FWE-S2008, FWE-S3008, FWE-S4016, FWE-S5032, and FWE-S6032; Firmware Version: 8.3.1) meet the security requirements of Federal Information Processing Standards (FIPS) Publication 140-2, which 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 National Institute of Standards and Technology (NIST) and the Communications Security Establishment Canada (CSEC) Cryptographic Module Validation Program (CMVP) website at http://csrc.nist.gov/groups/STM/cmvp. This document also describes how to run the appliances in a secure FIPS-Approved mode of operation. This policy was prepared as part of the Level 2 FIPS 140-2 validation of the appliances. The McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Appliances are referred to in this document collectively as the MFE S-Series, the cryptographic module, or the module. 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 McAfee corporate website (http://www.mcafee.com) contains information on the full line of products from McAfee.  The CMVP website (http://csrc.nist.gov/groups/STM/cmvp/documents/140-1/140val-all.htm) contains contact information for individuals to answer 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 Model document  Validation Submission Summary document  Other supporting documentation as additional references This Security Policy and the other validation submission documentation were produced by Corsec Security, Inc. under contract to McAfee. With the exception of this Non-Proprietary Security Policy, the FIPS 140-2 Submission Package is proprietary to McAfee and is releasable only under appropriate non-disclosure agreements. For access to these documents, please contact McAfee. McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 4 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 2 MFE S-Series Appliances 2.1 Overview McAfee, Inc. is a global leader in Enterprise Security solutions. The company’s comprehensive portfolio of network security products and solutions provides unmatched protection for the enterprise in the most mission-critical and sensitive environments. The MFE S-Series are created to meet the specific needs of organizations of all types and enable those organizations to reduce costs and mitigate the evolving risks that threaten today's networks and applications. Consolidating all major perimeter security functions into one system, the McAfee Firewall Enterprise appliances are the strongest self-defending perimeter firewalls in the world. Built with a comprehensive combination of high-speed application proxies, reputation-based threat intelligence, and signature-based security services, Firewall Enterprise defends networks and Internet-facing applications from all types of malicious threats, both known and unknown. Figure 1 – Typical Deployment Scenario Firewall Enterprise appliances are market-leading, next-generation firewalls that provide application visibility and control even beyond Unified Threat Management (UTM) for multi-layer security – and the highest network performance. Global visibility of dynamic threats is the centerpiece of Firewall Enterprise and one of the key reasons for its superior ability to detect unknown threats along with the known. Firewall Enterprise appliances deliver the best-of-breed in security systems to block attacks, including:  Viruses  Worms  Trojans  Intrusion attempts  Spam and phishing tactics  Cross-site scripting  Structured Query Language (SQL) injections  Denial of service (DoS)  Attacks hiding in encrypted protocols Firewall Enterprise security features include: McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 5 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013  Firewall feature for full application filtering, web application filtering, and Network Address Translation (NAT)  Authentication using local database, Active Directory, LDAP 1, RADIUS2, Windows Domain Authentication, and more  High Availability (HA)  Geo-location filtering  Encrypted application filtering using TLS3 and IPsec4 protocols  Intrusion Prevention System  Networking and Routing  Management via Simple Network Management Protocol (SNMP) version 3  Per-connection auditing and policy enforcement of endpoints via DTLS 5 protocol The MFE S-Series are 1U and 2U rack-mountable appliances. All of these appliances are appropriate for mid- to large-sized organizations. The appliances are shown in the figures below. Figure 2 – McAfee MFE S1104 Figure 3 – McAfee MFE S2008 Figure 4 – McAfee MFE S3008 LDAP – Lightweight Directory Access Protocol 1 RADIUS – Remote Authentication Dial-In User Service 2 TLS – Transport Layer Security 3 IPsec – Internet Protocol Security 4 DTLS – Datagram Transport Layer Security 5 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 6 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Figure 5 – McAfee MFE S4016 Figure 6 – McAfee MFE S5032/S6032 The MFE S-Series can be managed locally or remotely using one of the following management tools:  Administration Console – The Administration Console (or Admin Console) is the graphical software that runs on a Windows computer within a connected network. Admin Console is McAfee’s proprietary GUI management software tool that needs to be installed on a Windows- based workstation. This is the primary management tool. All Admin Console sessions are protected over secure TLS channel.  Command Line Interface (CLI) – A UNIX-based CLI is also available for configuring the firewall and performing troubleshooting functions. It can be used as an alternative to the Admin Console to perform most administration tasks. The CLI is accessed locally over the serial port or by a direct-connected keyboard and mouse, while remote access is via Secure Shell (SSH) session.  SNMP v3 – The MFE S-Series uses the SNMP v3 protocol for remote management, and to provide information about the state and statistics as part of a Network Management System (NMS). Although SNMP v3 can support AES encryption, the protocol employs a non-Approved key generation method; therefore, the module has been designed to block the ability to view or alter critical security parameters (CSPs) through this interface. This is a management-only interface for the module; no CSPs or user data are transmitted over this interface.  MFE Control Center – Control Center is an enterprise-class management appliance that enables scalable centralized management and monitoring of the McAfee Firewall Enterprise solutions, allowing network administrators to centrally define firewall policy, deploy updates, inventory their firewall products, generate reports, and demonstrate regulatory compliance. Control Center is designed to run on an administrator’s workstation, and allows network administrators to fully mange their firewall solutions from the network edge to the core. Management communications between the MFE and Control Center are secured over a TLS session. For more information regarding Control Center, please refer to McAfee’s Control Center product documentation. The MFE S-Series is validated at the FIPS 140-2 Section levels shown in Table 1. McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 7 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Table 1 – 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 EMI/EMC6 8 2 9 Self-tests 2 10 Design Assurance 2 11 Mitigation of Other Attacks N/A 2.2 Module Specification The MFE S-Series is a multi-chip standalone hardware module that meets overall Level 2 FIPS 140-2 requirements. The cryptographic boundary of the MFE S-Series is defined by the hard metal chassis, which surrounds all the hardware and firmware components. The module implements three firmware cryptographic libraries to offer secure networking protocols and cryptographic functionalities. The firmware libraries for the module are:  McAfee Firewall Enterprise 32-bit Cryptographic Engine v8.3  McAfee Firewall Enterprise 64-bit Cryptographic Engine v8.3  Kernel Cryptographic Library for SecureOS® (KCLSOS) v8.2 Security functions offered by the libraries in the module’s Approved mode of operation (and their associated algorithm implementation certificate numbers) are listed in Table 2. Table 2 – Approved Security Functions Approved Security Function 32-Bit 64-Bit KCLSOS Symmetric Key Advanced Encryption Standard (AES) 128/192/256-bit in CBC7, 2303 2305 - ECB8, OFB9, CFB12810 modes AES 128/192/256-bit in CBC, ECB modes - - 1833 Triple Data Encryption Standard (DES) 2- and 3-key options in 1451 1453 - CBC, ECB, OFB, CFB64 modes Triple-DES 2- and 3-key options in CBC mode - - 1185 EMI/EMC – Electromagnetic Interference / Electromagnetic Compatibility 6 7 CBC – Cipher-Block Chaining 8 ECB – Electronic Codebook OFB – Output Feedback 9 CFB128 – 128-bit Cipher Feedback 10 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 8 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Approved Security Function 32-Bit 64-Bit KCLSOS Asymmetric Key RSA11 PKCS12 #1 sign/verify: 1024/1536/2048/3072/4096-bit 1187 1189 - RSA ANSI X9.31 key generation: 1024/1536/2048/3072/4096- 1187 1189 - bit Digital Signature Algorithm (DSA) signature verification: 1024- 722 724 - bit Secure Hash Standard SHA13-1, SHA-256, SHA-384, and SHA-512 1988 1990 1612 Message Authentication HMAC14 using SHA-1, SHA-256, SHA-384, and SHA-512 1418 1420 1086 Random Number Generators (RNG) ANSI15 X9.31 Appendix A.2.4 PRNG 1146 1148 964 Key Agreement Scheme (KAS) Diffie-Hellman (DH): 1024/2048 bits16 Non-compliant Non-compliant - Key Transport RSA encrypt/decrypt17 1024/1536/2048/3072/4096-bit Non-compliant Non-compliant - NOTE: As of December 31, 2010, the following algorithms listed in the table above are considered “deprecated”. For details regarding algorithm deprecation, please refer to NIST Special Publication 800-131A.  Encryption using 2-key Triple DES  Random number generation using ANSI X9.31-1998  Digital signature generation using SHA-1  Digital signature verification using 1024-bit DSA  Digital signature generation/verification using 1024-bit RSA  HMAC generation and verification using key lengths less than 112 bits  1024-bit Diffie-Hellman key agreement  RSA key transport using modulus sizes less than 2048 bits Additionally, the module employs a hardware RNG which acts as an entropy-gathering mechanism to provide seeding material for KCLSOS PRNG. 2.3 Module Interfaces Interfaces on the module can be categorized as the following FIPS 140-2 logical interfaces:  Data Input Interface  Data Output Interface  Control Input interface  Status Output Interface  Power Interface 11 RSA – Rivest, Shamir, and Adleman PKCS – Public Key Cryptography Standard 12 SHA – Secure Hash Algorithm 13 HMAC – (Keyed-) Hash Message Authentication Code 14 ANSI – American National Standards Institute 15 16 Caveat: Diffie-Hellman (key agreement; key establishment methodology provides 80 or 112 bits of encryption strength) 17 Caveat: RSA (key wrapping; key establishment methodology provides between 80 and 150 bits of encryption strength) McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 9 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 The physical ports and interfaces for the MFE S-Series appliances are depicted in Figure 7, Figure 8, Figure 9, Figure 10, and Figure 11. Note the following acronyms used in the figures below:  RAID – Redundant Array of Independent Disks  USB – Universal Serial Bus  VGA – Video Graphics Array Figure 7 – Front Panel Features and Indicators for S1104 Figure 8 – Front Panel Features and Indicators for S2008 Figure 9 – Front Panel Features and Indicators for S3008 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 10 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Figure 10 – Front Panel Features and Indicators for S4016 Figure 11 – Front Panel Features and Indicators for S5032 and S6032 NOTE: The Remote Management Module ports that appear on the S4016, S5032, and S6032 appliances (see Figure 10 and Figure 11) are not operational in the MFE deployments. The back panels of McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 contain power connectors. LEDs18 are located on the front control panels of MFE S-Series and can be used for quick hardware diagnostics. There are two LEDs on S1104, four LEDs on S2008, S3008, and S4016, and five LEDs on S5032 and S6032. The two LEDs on the S1104 are shown in Figure 2; Figure 12 and Figure 13 show the control panels for the other appliances. LED – Light Emitting Diode 18 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 11 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Figure 12 – S2008, S3008, and S4016 Control Panel Figure 13 – S5032 and S6032 Control Panel The behaviors of the LEDs are as shown in Table 3, Table 4, Table 5, and Table 6. Table 3 – Behavior of Network Activity LEDs Network Activity LEDs (S2008, S3008, S4016, S5032, S6032) Color State Description Green On NIC Link/no access LAN19 access Blink Table 4 – Behavior of Power LED LAN – Local Area Network 19 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 12 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Power LED (S1104, S2008, S3008, S4016, S5032, S6032) Color State Description Green On Power On Sleep / ACPI20 S1 state Blink Off Off Power Off / ACPI S4 state Table 5 – Behavior of System Status LED System Status LED (S2008, S3008, S4016, S5032, S6032) Color State Criticality Description Green Solid on System OK System booted and ready Blink Degraded System degraded - Non-critical temperature threshold asserted - Non-critical voltage threshold asserted - Non-critical fan threshold asserted - Fan redundancy lost, sufficient system cooling maintained. This does not apply to non-redundant systems - Power supply predictive failure - Power supply redundancy lost. This does not apply to non-redundant systems Amber Blink Non-critical Non-fatal alarm – system is likely to fail: - Critical temperature threshold asserted - Critical voltage threshold asserted - Critical fan threshold asserted Solid on Critical, non- Fatal alarm – system has failed or shut down - CPU21 Missing recoverable - Thermal Trip asserted - Non-recoverable temperature threshold asserted - Non-recoverable voltage threshold asserted - Power fault/Power Control Failure - Fan redundancy lost, insufficient system cooling. This does not apply to non-redundant systems. - Power supply redundancy lost insufficient system power. This does not apply to non-redundant systems. Note: This state also occurs when AC power is first applied to the system. This indicates the BMC22 is booting. ACPI – Advanced Configuration and Power Interface 20 CPU – Central Processing Unit 21 BMC – Baseboard Management Controller 22 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 13 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 System Status LED (S2008, S3008, S4016, S5032, S6032) Color State Criticality Description 23 24 Off N/A Not ready - AC power off, if no degraded, non-critical, critical, or non-recoverable conditions exist. - System is powered down or S5 states, if no degraded, non-critical, critical, or non-recoverable conditions exist. Table 6 – Behavior of Drive Activity LED Drive Activity LED (S1104, S2008, S3008, S4016, S5032, S6032) Color State Description Green Random Blink HDD access Off Off No hard disk activity All of these physical interfaces are separated into logical interfaces defined by FIPS 140-2, as described in Table 7. Table 7 – FIPS 140-2 Logical Interface Mappings Module Interface FIPS 140-2 Logical Interface S1104 S2008, S3008, S4016, S5032, S6032 Data Input Connectors (Ethernet) Connectors (Ethernet) Data Output Connectors (Ethernet) Connectors (Ethernet) Control Input Connectors (Ethernet, USB, Connectors (Ethernet, USB, Serial) and button Serial) and button (power) (power) Status Output Connectors (VGA, Connectors (VGA, Ethernet, serial), and LED Ethernet, serial), and LED indicators (power-on, drive activity, system status, indicators (power-on, drive network activity) activity) Power Connectors (power) Connectors (power) 2.4 Roles and Services The following sections described the authorized roles supported by the module, the services provided for those roles, and the authentication mechanisms employed. N/A – Not Applicable 23 AC – Alternating Current 24 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 14 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 2.4.1 Authorized Roles There are two authorized roles in the module that an operator may assume: a Crypto-Officer (CO) role and a User role.  Crypto-Officer Role – The Crypto-Officer role performs administrative services on the module, such as initialization, configuration, and monitoring of the module.  User Role – Users employ the services of the modules for establishing VPN 25 or TLS connections via Ethernet port. 2.4.2 Services The services that require operators to assume an authorized role (Crypto-Officer or User) are listed in Table 8 below. Please note that the keys and Critical Security Parameters (CSPs) listed in Table 8 use the following indicators to show the type of access required:  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 8 – Authorized Operator Services Role Service Description CSP and Type of Access CO User Authenticate to the Allows administrators to Administrator Password - R Admin Console login to the appliance using the Firewall x Enterprise Admin Console Authenticate to the Allows administrators to Administrator Password - R Admin Console login to the appliance using Common with CAC authentication x Access Card (CAC) to access the Firewall Enterprise Admin Console Authenticate to the Allows administrators to Administrator Password - R Admin CLI login to the appliance x using the Firewall Enterprise Admin CLI Authenticate to the Allows administrators to Administrator Password - R Admin CLI using login to the appliance CAC with CAC authentication x to access the Firewall Enterprise Admin CLI Authenticate to the Allows administrators to Administrator Password - R local console login to the appliance via x the local console VPN – Virtual Private Network 25 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 15 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Role Service Description CSP and Type of Access CO User Change password Allows external users to Firewall Authentication Keys - R use a browser to change Key Agreement Key - R their Firewall Enterprise, TLS Session Authentication Key - R/W x SafeWord TLS Session Key - R/W PremierAccess, or LDAP Administrative Password - R/W login password Manage network Allows administrators to Firewall Authentication Keys - R objects view, create, and Key Agreement Key - R maintain network TLS Session Authentication Key - R/W objects, manage TLS Session Key - R/W x netgroup memberships, and manage access control rules’ time periods Configure identity Allows administrators to Firewall Authentication Keys - R validation method select identity validation Key Agreement Key - R x settings TLS Session Authentication Key - R/W TLS Session Key - R/W Configure cluster Provides services Firewall Authentication Keys - R communication required to communicate Key Agreement Key - R with each other in x TLS Session Authentication Key - R/W Firewall Enterprise multi- TLS Session Key - R/W appliance configurations Configure and Generates and exchanges  Firewall Authentication Keys - R monitor Virtual keys for VPN sessions  Key Agreement Key - R Private Network  TLS Session Authentication Key - R/W (VPN) services  x TLS Session Key - R/W  IKE Preshared key - W  IPsec Session Key - W  IPsec Authentication Key - W Create and Creates and monitors Firewall Authentication Keys - R configure bypass IPsec policy table that Key Agreement Key - R x mode governs alternating TLS Session Authentication Key - R/W bypass mode TLS Session Key - R/W Manage web filter Manages configuration Firewall Authentication Keys - R with the SmartFilter Key Agreement Key - R x TLS Session Authentication Key - R/W TLS Session Key - R/W Manage Control Verifies registration and Firewall Authentication Keys - R Center oversees communication Key Agreement Key - R communication among the Control TLS Session Authentication Key - R/W x Center and managed TLS Session Key - R/W Firewall Enterprise appliances McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 16 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Role Service Description CSP and Type of Access CO User Configure Network Configures NIA Firewall Authentication Keys - R Integrity Agent authentication and Key Agreement Key - R (NIA) settings certificate settings, TLS Session Authentication Key - R/W enable agent discovery, TLS Session Key - R/W x modify connection settings, and create explicit NIA communication rules Configure content Configures settings for Firewall Authentication Keys - R inspection settings content inspection Key Agreement Key - R methods x TLS Session Authentication Key - R/W TLS Session Key - R/W Manage applications Manages applications, Firewall Authentication Keys - R and Application application groups, and Key Agreement Key - R Defense Application Defense x TLS Session Authentication Key - R/W information settings TLS Session Key - R/W Manage access Manages rules enforcing Firewall Authentication Keys - R control rules policy on network flows Key Agreement Key - R x to or through the TLS Session Authentication Key - R/W firewall TLS Session Key - R/W Manage SSL rules Manages SSL rules for Firewall Authentication Keys - R processing SSL Key Agreement Key - R x connections TLS Session Authentication Key - R/W TLS Session Key - R/W Process audit data Allows administrators to Firewall Authentication Keys - R view and export audit Key Agreement Key - R data, transfer audit x TLS Session Authentication Key - R/W records, and manage log TLS Session Key - R/W files. Manage attack and Configures how the Firewall Authentication Keys - R system responses firewall should respond Key Agreement Key - R to audit events that TLS Session Authentication Key - R/W x indicate abnormal and TLS Session Key - R/W potentially threatening activities Configure network Customizes audit output Firewall Authentication Keys - R defenses for attacks on specific Key Agreement Key - R x networks stopped by the TLS Session Authentication Key - R/W firewall TLS Session Key - R/W View active hosts Provides a method to Firewall Authentication Keys - R view active hosts Key Agreement Key - R x connected to a Firewall TLS Session Authentication Key - R/W Enterprise appliance TLS Session Key - R/W Configure the Configures the SNMP SNMP v3 Session Key - R SNMP Agent Agent for status x monitoring of non-FIPS- relevant information McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 17 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Role Service Description CSP and Type of Access CO User Configure Configures and manages Firewall Authentication Keys - R networking network characteristics, Key Agreement Key - R security zones, and x TLS Session Authentication Key - R/W Quality of Service TLS Session Key - R/W profiles. Manage email Manages email options Firewall Authentication Keys - R services and ‘sendmail’ features Key Agreement Key - R x TLS Session Authentication Key - R/W TLS Session Key - R/W Load package Downloads available Firewall Authentication Keys - R firmware update or Key Agreement Key - R x patch TLS Session Authentication Key - R/W TLS Session Key - R/W Perform self-tests Run self-tests on demand None x via reboot Enable FIPS mode Configures the module in Firewall Authentication Keys - R FIPS mode Key Agreement Key - R x TLS Session Authentication Key - R/W TLS Session Key - R/W Show status Allows Crypto-Officer to None check whether FIPS x mode is enabled Zeroize Resets the module to its Common Access Card Authentication keys - R/W factory default state Firewall Authentication public/private keys - R/W Peer public keys - R/W Local CA public/private keys - R/W x IKE Preshared Key - R/W IPsec Session Authentication Key - R/W Administrator Passwords - R/W SSL CA key - R/W SSL Server Certificate key - R/W Establish an Establish a TLS Firewall Authentication Keys - R authenticated TLS connection (requires Key Agreement Key - R connection operator authentication)  TLS Session Authentication Key - R/W x TLS Session Key - R/W SSL CA key - R SSL Server Certificate key - R Establish a VPN Establish a VPN Firewall Authentication Keys - R connection connection over IPsec Key Agreement Key - R tunnel IKE Session Authentication Key - W x IKE Session Key - W IKE Preshared Key - R IPsec Session Key - R/W IPsec Authentication Key - R/W McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 18 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 2.4.3 Authentication Mechanisms The module supports role-based authentication. Module operators must authenticate to the module before being allowed access to services which require the assumption of an authorized role. The module employs the authentication methods described in Table 9 to authenticate Crypto-Officers and Users. Table 9 – Authentication Mechanisms Employed by the Module Role Type of Authentication Authentication Strength Crypto-Officer Password Passwords are required to be at least 8 characters long. The password requirement is enforced by the Security Policy. The maximum password length is 64 characters. Case-sensitive alphanumeric characters and special characters can be used with repetition, which gives a total of 94 characters to choose from. The chance of a random attempt falsely succeeding is 1:948, or 1: 6,095,689,385,410,816. This would require about 60,956,893,854 attempts in one minute to raise the random attempt success rate to more than 1:100,000. The fastest connection supported by the module is 1 Gbps. Hence, at most 60,000,000,000 bits of data (1000 × 106 × 60 seconds, or 6 x 1010) can be transmitted in one minute. At that rate and assuming no overhead, a maximum of 812,759 attempts can be transmitted over the connection in one minute. The maximum number of attempts that this connection can support is less than the amount required per minute to achieve a 1:100,000 chance of a random attempt falsely succeeding. Common Access Card One-time passwords are required to be at least 8 characters long. The password requirement is enforced by the Security Policy. The maximum password length is 128 characters. The password consists of a modified base-64 alphabet, which gives a total of 64 characters to choose from. With the possibility of using repeating characters, the chance of a random attempt falsely succeeding is 1:648, or 1:281,474,976,710,656. This would require about 2,814,749,767 attempts in one minute to raise the random attempt success rate to more than 1:100,000. The fastest connection supported by the module is 1 Gbps. Hence, at most 60,000,000,000 bits of data (1000 × 106 × 60 seconds, or 6 x 1010) can be transmitted in one minute. At that rate, and assuming no overhead, a maximum of only 937,500,000 8-character passwords can be transmitted over the connection in one minute. The maximum number of attempts that this connection can support is less than the amount required per minute to achieve a 1:100,000 chance of a random attempt falsely succeeding. McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 19 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Role Type of Authentication Authentication Strength User Password or Certificate Passwords are required to be at least 8 characters long. The password requirement is enforced by the Security Policy. The maximum password length is 64 characters. Case-sensitive alphanumeric characters and special characters can be used with repetition, which gives a total of 94 characters to choose from. The chance of a random attempt falsely succeeding is 1:948, or 1: 6,095,689,385,410,816. This would require about 60,956,893,854 attempts in one minute to raise the random attempt success rate to more than 1:100,000. The fastest connection supported by the module is 1 Gbps. Hence, at most 60,000,000,000 bits of data (1000 × 106 × 60 seconds, or 6 x 1010) can be transmitted in one minute. At that rate and assuming no overhead, a maximum of 812,759 attempts can be transmitted over the connection in one minute. The maximum number of attempts that this connection can support is less than the amount required per minute to achieve a 1:100,000 chance of a random attempt falsely succeeding. Certificates used as part of TLS, SSH, and IKE26/IPsec are at a minimum 1024 bits. The chance of a random attempt falsely succeeding is 1:280, or 1:1.20893 x 1024. The fastest network connection supported by the module is 1000 Mbps. Hence, at most 60,000,000,000 bits of data (1000 × 106 × 60 seconds, or 6 × 1010) can be transmitted in one minute. The passwords are sent to the module via security protocols IPsec, TLS, and SSH. These protocols provide strong encryption (AES 128-bit key at minimum, providing 128 bits of security) and require large computational and transmission capability. The probability that a random attempt will succeed or a false acceptance will occur is less than 1:2 128 x 844. 2.5 Physical Security The MFE S-Series is a multi-chip standalone cryptographic module. The module is contained in a hard metal chassis which is defined as the cryptographic boundary of the module. The module’s chassis is opaque within the visible spectrum. The enclosure of the module has been designed to satisfy Level 2 physical security requirements. Tamper-evident seals are applied to the case to provide physical evidence of attempts to remove the chassis cover or front bezel. Additionally, the tamper-evident seals must be inspected periodically for tamper evidence. The placement of the tamper-evident seals can be found in Secure Operation section of this document. The MFE S-Series has been tested and found conformant to the 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). 2.6 Operational Environment The module does not provide a general-purpose operating system (OS) to module operators. McAfee’s proprietary SecureOS version 8.3 provides a limited operational environment, and only the module’s IKE – Internet Key Exchange 26 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 20 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 custom-written image can be run on the OS. The module provides a method to update the firmware in the module with a new version. This method involves downloading a digitally-signed firmware update to the module. 2.7 Cryptographic Key Management The module supports the CSPs listed below in Table 10. McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 21 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Table 10 – Cryptographic Keys, Cryptographic Key Components, and CSPs Generation / Key/CSP Key/CSP Type Output Storage Zeroization Use Input SNMPv3 Session Key AES 128-bit CFB key Internally generated Never exits the Resides in volatile Power cycle or Provides secured channel for using a non-compliant module memory in plaintext session SNMPv3 management method termination Common Access RSA 1024/2048-bit keys or Imported Never exits the Stored in plaintext on Erasing the Common Access Card Card Authentication DSA 1024/2048-bit keys electronically in module the hard disk system image Authentication for generation keys plaintext of one-time password Firewall RSA 1024/2048/4096-bit Internally generated or Encrypted form Stored in plaintext on Erasing the - Peer Authentication of TLS, Authentication keys or DSA 1024-bit keys imported via network port the hard disk system image IKE, and SSH sessions public/private keys electronically in or plaintext form - Audit log signing plaintext via local via local management port management port Peer public keys RSA 1024/2048/4096-bit Imported Never exit the Stored in plaintext on Erasing the Peer Authentication for TLS, keys or electronically in module the hard disk system image SSH, and IKE sessions DSA 1024-bit keys plaintext during handshake protocol Local CA27 RSA 1024/2048/4096-bit Internally generated Public key Stored in plaintext on Erasing the Local signing of firewall public/private keys keys or certificate the hard disk system image certificates and establish DSA 1024-bit keys exported trusted point in peer entity electronically in plaintext via local management port Key Establishment Diffie-Hellman 1024/2048- Internally generated Public exponent Resides in volatile Power cycle or Key exchange/agreement for keys bit keys, RSA electronically in memory in plaintext session DTLS, TLS, IKE/IPsec and SSH 1024/1536/2048/3072/4096 plaintext, private termination sessions -bit keys component not exported TLS Session HMAC SHA-1 key Internally generated Never exits the Resides in volatile Power cycle or Data authentication for TLS Authentication Key module memory in plaintext session sessions termination CA – Certificate Authority 27 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 22 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Generation / Key/CSP Key/CSP Type Output Storage Zeroization Use Input TLS Session Key Triple-DES, AES-128, AES- Internally generated Never exits the Resides in volatile Power cycle or Data encryption/decryption 256 key module memory in plaintext session for TLS sessions termination DTLS Session HMAC SHA-1 key Internally generated Never exits the Resides in volatile Power cycle or Data authentication for DTLS Authentication Key module memory in plaintext session sessions termination DTLS Session Key Triple-DES, AES-128, AES- Internally generated Never exits the Resides in volatile Power cycle or Data encryption/decryption 256 key module memory in plaintext session for DTLS sessions termination IKE Session HMAC SHA-1 key Internally generated Never exists the Resides in volatile Power cycle or Data authentication for IKE Authentication Key module memory in plaintext session sessions termination IKE Session Key Triple-DES, AES-128, AES- Internally generated Never exits the Resides in volatile Power cycle or Data encryption/decryption 256 key module memory in plaintext session for IKE sessions termination IKE Preshared Key Triple-DES, AES-128, AES- - Imported in Never exits the Stored in plaintext on Erasing the Data encryption/decryption 256 key encrypted form module the hard disk system image for IKE sessions over network port or local management port in plaintext - Manually entered IPsec Session HMAC SHA-1 key - Imported in Never exits the - Stored in plaintext Power cycle Data authentication for IPsec Authentication Key encrypted form module on the hard disk sessions over network port - Resides in volatile or local memory management port in plaintext - Internally generated - Manually entered IPsec Session Key Triple-DES, AES-128, AES- Internally generated Never exits the Resides in volatile Power cycle Data encryption/decryption 256 key module memory in plaintext for IPsec sessions McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 23 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Generation / Key/CSP Key/CSP Type Output Storage Zeroization Use Input IPsec Preshared Triple-DES, AES-128, AES- - Imported in Exported Stored in plaintext on Power cycle Data encryption/decryption Session Key 256 key encrypted form electronically in the hard disk for IPsec sessions over network port plaintext or local management port in plaintext - Manually entered SSH Session HMAC-SHA1 key Internally generated Never exists the Resides in volatile Power cycle or Data authentication for SSH Authentication Key module memory in plaintext session sessions termination SSH Session Key Triple-DES, AES-128, AES- Internally generated Never exists the Resides in volatile Power cycle or Data encryption/decryption 256 key module memory in plaintext session for SSH sessions termination Package Distribution DSA 1024-bit public key Externally generated Never exits the Hard coded in Erasing the Verifies the signature Public Key and hard coded in the module plaintext system image associated with a firewall image update package License Management DSA 1024-bit public key Externally generated Never exits the Hard coded in Erasing the Verifies the signature Public Key and hard coded in the module plaintext system image associated with a firewall image license Administrator PIN Manually or Never exits the Stored on the hard Erasing the Standard Unix authentication Password electronically module disk through one-way system image for administrator login imported hash obscurement Common Access 8-character (minimum) Internally generated; Exported Resides in volatile Password Common Access Card Card One-Time ASCII string Manually or electronically in memory inside the expiration, authentication for Password electronically encrypted form CAC Warder process session administrator login imported over TLS termination, or power cycle MFE CE32 ANSI 16 bytes of seed value Internally generated by Never exits the Resides in volatile Power cycle Generates FIPS-Approved X9.31 PRNG Seed KCLSOS PRNG module memory in plaintext random number MFE CE32 ANSI AES-256 key Internally generated by Never exits the Resides in volatile Power cycle Generates FIPS-Approved X9.31 PRNG Key KCLSOS PRNG module memory in plaintext random number McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 24 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Generation / Key/CSP Key/CSP Type Output Storage Zeroization Use Input MFE CE64 ANSI 16 bytes of seed value Internally generated by Never exits the Resides in volatile Power cycle Generates FIPS-Approved X9.31 PRNG Seed KCLSOS PRNG module memory in plaintext random number MFE CE64 ANSI AES-256 key Internally generated by Never exits the Resides in volatile Power cycle Generates FIPS-Approved X9.31 PRNG Key KCLSOS PRNG module memory in plaintext random number KCLSOS ANSI X9.31 16 bytes of seed value Internally generated Never exits the Resides in volatile Power cycle Generates FIPS-Approved PRNG Seed from entropy sources module memory in plaintext random number KCLSOS ANSI X9.31 AES-256 key Internally generated Never exits the Resides in volatile Power cycle Generates FIPS-Approved PRNG Key from entropy sources module memory in plaintext random number SSL CA Key RSA 1024/2048-bit key or Internally generated Exported Stored in plaintext on Erasing the Signing temporary server (v8.2.0 only) DSA 1024/2048-bit key electronically in the hard disk system image certificates for TLS re- ciphertext via encryption network port or in plaintext via local management port SSL Server RSA 1024/2048-bit key or Internally generated or Exported Stored in plaintext on Erasing the Peer authentication for TLS Certificate Key DSA 1024/2048-bit key imported electronically in the hard disk system image sessions (TLS re-encryption) electronically in ciphertext via plaintext via local network port or management port in plaintext via local management port McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 25 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 2.8 Self-Tests 2.8.1 Power-Up Self-Tests At power-up, the MFE S-Series automatically performs a firmware integrity check using HMAC SHA-256. The module also conducts cryptographic algorithm tests at power-up in the form of Known Answer Tests (KAT) and Pairwise Consistency Tests as list in Table 11 (note that the table indicates the library with which each test is associated). Table 11 – Power-Up Cryptographic Algorithm Self-Tests Algorithm Self-Test 32/64-Bit KCLSOS AES KAT for encrypt/decrypt   Triple-DES KAT for encrypt/decrypt   RSA KAT for sign/verify -  RSA KAT for encrypt/decrypt -  DSA pairwise consistency check -  SHA-1 KAT, SHA-256 KAT, SHA-384 KAT, and SHA-512 KAT   HMAC KAT with SHA-1, SHA-256, SHA-384, and SHA-512   ANSI X9.31 Appendix A.2.4 PRNG KAT   If any of the tests listed above fails to perform successfully, the module enters into a critical error state during which all cryptographic operations and output of any data is inhibited. An error message is logged for the CO to review and requires action on the Crypto-Officer’s part to clear the error state. 2.8.2 Conditional Self-Tests The McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 conducts conditional cryptographic algorithm self-tests as indicated in Table 12 (again, note that the table indicates the library with which each test is associated). Table 12 – Power-Up Cryptographic Algorithm Self-Tests Algorithm Self-Test 32/64-Bit KCLSOS Continuous RNG Test (CRNGT)   RSA pairwise consistency test  - DSA pairwise consistency test -  The module also performs the following conditional self-tests during module operation:  Manual key entry test  Bypass test using SHA-1  Firmware Load Test using DSA signature verification McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 26 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Failure of the Bypass test or the KCLSOS PRNG CRNGT leads the module to a critical error state. Failure of any other conditional test listed above leads the module to a soft error state and logs an error message. Upon reaching the critical error or soft error state, all cryptographic operations and data output is inhibited. 2.8.3 Critical Functions Tests The McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 perform the following critical functions test at power-up:  License Verification check 2.9 Mitigation of Other Attacks This section is not applicable. The module does not claim to mitigate any attacks beyond the FIPS 140-2 Level 2 requirements for this validation. McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 27 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 3 Secure Operation The MFE S-Series meets Level 2 requirements for FIPS 140-2. The sections below describe how to place and keep the module in its Approved mode of operation. The use of any interfaces and services not documented herein are prohibited and considered in violation of this Security Policy, and shall result in the non-compliant operation of the module. 3.1 Crypto-Officer Guidance The Crypto-Officer is responsible for initialization and security-relevant configuration and management of the module. Please see McAfee’s Administration Guide for more information on configuring and maintaining the module. The Crypto-Officer receives the module from the vendor via trusted delivery services (UPS, FedEx, etc.). The shipment should contain the following:  MFE S-Series appliance  Media and Documents  Activation Certificate  Setup Guide  Port Identification Guide  Management Tools CD28  Firewall Enterprise Installation Media USB drive (for appliances without a CD-ROM29 drive)  Power cord  Rack mount kit For appliance setup, the Crypto-Officer receives a FIPS Kit separately, also via trusted delivery service. The FIPS Kit (part number FRU-686-0089-00) includes the FIPS Kit instructions, a new warranty seal, and tamper-evident seals. The Crypto-Officer is responsible for the proper initial setup of the Admin Console Management Tool software and the cryptographic module. Setup of the Admin Console software is done by installing the software on an appropriate Windows® workstation (refer to the McAfee Firewall Enterprise version 8.3.0 Product Guide for details regarding installation of management tools) on the same network as the module. When you install the Admin Console, a link to the documents page is added to the “Start” menu of the computer. To view the Firewall Enterprise documents on the McAfee web site, select Start > Programs > McAfee > Firewall Enterprise > Online Manuals Table 13 provides a list of available Firewall Enterprise documents. Table 13 – Summary of Firewall Enterprise Documentation Document Description McAfee Firewall Enterprise Provides high-level instructions for setting up the firewall. version 8.3.0 Quick Start Guide McAfee Firewall Enterprise Complete administration information on all firewall functions and version 8.3.0 Product Guide features. McAfee Firewall Enterprise Provides information about new features and enhancements version 8.3.1 Release Notes introduced in version 8.3.1. CD – Compact Disc 28 CD-ROM – Compact Disc - Read-Only Memory 29 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 28 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Document Description Common Access Card Describes how to configure Department of Defense Common Access Configuration Guide Card authentication for Admin Console, Telnet, and SSH on McAfee Firewall Enterprise. It also describes login procedures. Online help Online help is built into the Firewall Enterprise Management Tools software.  The Quick Start Wizard provides help for each configuration window.  The Admin Console program provides help for each window, as well as comprehensive topic-based help. Note: A browser with a pop-up blocker turned on must allow blocked content to view the Firewall Enterprise help. Additional product manuals, configuration-specific application notes, and the KnowledgeBase are available at http://mysupport.mcafee.com. 3.1.1 Initialization The Crypto-Officer is responsible for initialization and security-relevant configuration and management activities for the module through the management interfaces. Initialization and configuration instructions for the module can also be found in the McAfee Firewall Enterprise version 8.3.0 Quick Start Guide, McAfee Firewall Enterprise version 8.3.0 Product Guide, and this FIPS 140-2 Security Policy. The initial Administration account, including username and password for login authentication to the module, is created during the startup configuration using the Quick Start Wizard. The Crypto-Officer must perform five activities to ensure that the module is running in its Approved mode of operation:  Apply tamper-evident seals  Modify the BIOS30  Confirm the firmware version  Set FIPS mode enforcement 3.1.1.1 Applying Tamper-Evident Seals The CO must place tamper-evident seals on the module as described in the information provided below. After the seals are placed as instructed below, the module can be powered up and the Crypto-Officer may proceed with initial configuration. 3.1.1.1.1 Prepare Module for Tamper-Evident Seal Application To apply the seals, the appliance surfaces and front bezel must first be cleaned with isopropyl alcohol in the area where the tamper-evident seals will be placed. Prior to affixing the seals, the front bezel must be attached. 3.1.1.1.2 S1104 Tamper-Evident Seal Application The S1104 has a removable top panel, held in place by two screws at the rear of the appliance. This panel must be secured by placing two (2) tamper-evident seals on the appliance as indicated in red in Figure 14, where: 1: Rear of appliance 2: Tamper-evident seal BIOS – Basic Input/Output System 30 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 29 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 3: Screws 4: Tamper-evident seal Figure 14 – Tamper-Evident Seal Application Positions (S1104) 3.1.1.1.3 S2008/3008 Tamper-Evident Seal Application The S2008 and S3008 each have a removable top panel that must be secured. Place one (1) tamper-evident seal on the top cover as indicated in red in Figure 15, where: 1: Front of appliance 2: Tamper-evident seal Figure 15 – Tamper-Evident Seal Application Positions (S2008/S3008) 3.1.1.1.4 S4016 Tamper-Evident Seal Application The S4016 has removable top panels and power supplies that must be secured. Place four (4) tamper- evident seals on the appliance as indicated in red in Figure 16. McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 30 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 1 2 3 4 Figure 16 – Tamper-Evident Seal Application Positions (S4016) 3.1.1.1.5 S5032/S6032 Tamper-Evident Seal Application The S5032 and S6032 each have a removable cover and power supplies that must be secured. Place thirteen (13) tamper-evident seals on the appliance as indicated in yellow in Figure 17, Figure 18, Figure 19, and Figure 20. 9 8 1 3 6 7 5 2 4 Figure 17 – Tamper-Evident Seal Application Positions (S5032/S6032 – Front) McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 31 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 10 Figure 18 – Tamper-Evident Seal Application Position (S5032/S6032 – Top) 11 12 Figure 19 – Tamper-Evident Seal Application Positions (S5032/S6032 – Rear) 12 13 Figure 20 – Tamper-Evident Seal Application Positions (S5032/S6032 – Bottom Rear) McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 32 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 3.1.1.2 Modifying the BIOS Enter the module’s System Setup program to enforce the following module usage policies:  Booting the module from any device other than the FIPS-enabled hard drive is prohibited.  Only authenticated users are allowed to enter the System Setup program. Additionally, since the module’s power button is not accessible, the AC Power Recovery setting must be modified. Follow the instructions below to update the BIOS settings (requires the connection of a monitor and keyboard): S1104 BIOS Settings 1. From the command line, restart the firewall. 2. When Press or to enter setup appears in the upper right corner of the screen, press the key. The BIOS window appears. 3. Load the optimized default settings. a. Press . b. At the prompt, select Yes, and then press . 4. Configure a BIOS password to prevent the firewall from booting from other devices. a. Use the arrow keys to select the Security menu. b. Select Administrator Password, and then press . c. Enter a password and a confirmation, and then press . 5. Set the power restore option. a. Use the arrow keys to select the Chipset menu. b. Select Southbridge, and then press . c. Select Restore AC Power Loss, and then press . d. Select Power On, and then press . 6. Save changes and exit the BIOS. a. Press . b. The firewall will then complete its startup process. S2008/S3008/S4016/S5032/S6032 BIOS Settings 1. From the command line, restart the firewall. 2. When Press or to enter setup appears in the upper right corner of the screen, press the key. The BIOS window appears. 3. Load the optimized default settings. a. Press . b. At the prompt, select Yes, and then press . 4. Configure a BIOS password to prevent the firewall from booting from other devices. a. Use the arrow keys to select the Security menu. b. Select Set Administrator Password, and then press . c. Enter a password and a confirmation, and then press . 5. Set the power restore option. a. Use the arrow keys to select the Server Management menu. b. Select Resume on AC Power Loss, and then press . c. Select Reset, and then press . 6. Save changes and exit the BIOS. a. Press . b. At the prompt, select Yes, and then press . c. The firewall will then complete its startup process. 3.1.1.3 Confirming the Firmware Version The cryptographic module requires that proper firmware version be installed. While some models may have the correct version pre-installed, others may require upgrading. To check if the module is currently McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 33 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 running the correct version, the Crypto-Officer must open the GUI-based Admin Console provided with the module. Under the “Software Management / Manage Packages” table, the Crypto-Officer can see which firmware upgrade has been installed along with their versions. If the installed version requires to be upgraded to a validated version, please follow the steps below. To perform the upgrade to version 8.3.1, the Crypto-Officer must first check the firmware to ensure they are running version 8.2.1. If this version is not running, the Crypto-Officer must first take measures to upgrade the module to 8.2.1. If required, this upgrade can be performed through Admin Console. If the module is being newly-built from the onboard virtual disk, then the Crypto-Officer will first need to set up the network configuration and enable the admin account with a new password. To upgrade from 8.2.1 to 8.3.1, the Crypto-Officer must: 1. Under "Software Management / Manage Packages" table, select "8.3.1". 2. Select download. 3. Select install. 4. Verify that the "Manage Packages" tab states that "8.3.1" is installed. 3.1.1.4 Setting FIPS Mode Enforcement Before enforcing FIPS on the module, the CO must check that no non-Approved service is running on the module. Services and proxies are automatically enabled when rules are created that reference those services/proxies. To view the services that are currently used in enabled rules, select “Policy / Access Control Rules”. The Access Control Rules window appears as shown in Figure 21 below. From here, select the “Active Rules” button in the upper right corner of the window (see Figure 22). If the window lists any non-Approved protocols, then those protocols must be disabled before the module is considered to be in its Approved mode of operation. Figure 21 – Rules Window McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 34 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Figure 22 – Active Rules Window The process to enable FIPS mode is provided below: Under “Policy/Application Defenses/ Defenses/HTTPS”, disable all non-Approved versions of 1. SSL, leaving only TLS 1.0 operational. Under “Maintenance / Certificate Management”, ensure that the certificates only use Approved 2. cryptographic algorithms. Select “Maintenance / FIPS”. The FIPS check box appears in the right pane (shown in Figure 3. 23). Select “Enable FIPS 140-2 processing”. 4. 5. Save the configuration change. Select “Maintenance / System Shutdown” to reboot the firewall to the Operational kernel to 6. activate the change. McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 35 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Figure 23 – Configuring For FIPS Whether the module has been upgraded to a validated firmware version from an earlier firmware, or shipped with a validated firmware version already present, it is required to delete and recreate all required cryptographic keys and CSPs necessary for the module's secure operation. The keys and CSPs existing on the module were generated outside of FIPS mode of operation, and they must now be re-created for use in FIPS mode. The CO must replace the keys and CSPs listed in Table 14. Table 14 – Required Keys and CSPs for Secure Operation Services Cryptographic Keys/CSPs Admin Console (TLS) Firewall Certificate/private key Control Center (TLS) Firewall Certificate/private key 31 HTTPS Decryption (TLS) Firewall Certificate/private key TrustedSource (TLS) Firewall Certificate/private key Firewall Cluster Management (TLS) Firewall Certificate/private key Local CA/private key Passport Authentication (TLS) Firewall Certificate/private key IPsec/IKE certificate authentication Firewall Certificate/private key Audit log signing Firewall Certificate/private key SSH server Firewall Certificate/private key HTTPS – Hypertext Transfer Protocol Secure 31 McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 36 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Services Cryptographic Keys/CSPs Administrator Passwords Firewall Certificate/private key The module is now operating in its Approved mode of operation. 3.1.2 Management When configured according to the Crypto-Officer guidance in this Security Policy, the module only runs in an Approved mode of operation. The Crypto-Officer is able to monitor and configure the module via the web interface (GUI over TLS), SSH, serial port, or direct-connected keyboard/monitor. Detailed instructions to monitor and troubleshoot the systems are provided in the McAfee Firewall Enterprise 8.3.0 Product Guide. The CO must monitor that only Approved algorithms as listed in Table 2 above are being used for TLS, DTLS, and SSH sessions. If any irregular activity is noticed or the module is consistently reporting errors, then McAfee Customer Service should be contacted. 3.1.3 Physical Inspection For the module to operate in its Approved mode, the tamper-evident seals must be placed by the CO role as specified in Section 3.1.1.1 above. Per FIPS 140-2 Implementation Guidance (IG) 14.4, the CO is also responsible for the following:  securing and having control at all times of any unused seals  direct control and observation of any changes to the module where the tamper-evident seals are removed or installed to ensure that the security of the module is maintained during such changes and that the module is returned to its Approved state The CO is also required to periodically inspect the module for evidence of tampering at intervals specified per end-user policy. The CO must visually inspect the tamper-evident seals for tears, rips, dissolved adhesive, and other signs of malice. If evidence of tampering is found during periodic inspection, the Crypto-Officer must return the module to McAfee for key zeroization and re-imaging before the module can be brought back into operation. To request additional seals, the Crypto-Officer can contact McAfee Customer Service via email at service@mcafee.com. The Crypto-Officer must be sure to include contact information and the shipping address, as well as the appliance serial number. 3.1.4 Monitoring Status The Crypto-Officer should monitor the module’s status regularly for Approved mode of operation and active bypass mode. The “show status” service to determine the current mode of operation involves examining the Admin Console’s FIPS mode checkbox, shown in Figure 23. This can also be done via the following CLI command: cf fips query When correctly configured, the module will display the following message: fips set enabled=yes McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 37 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 The “show status” service as it pertains to bypass is shown in the GUI under VPN Definitions and the module column. For the CLI, the Crypto-Officer may enter “cf ipsec policydump” to display the active VPNs, while “cf ipsec q type=bypass” will display get a listing of the existing bypass rules. The Crypto-Officer should monitor the module’s status regularly for Approved mode of operation and active bypass mode. If any irregular activity is noticed or the module is consistently reporting errors, then McAfee customer support should be contacted. 3.1.5 Zeroization In order to zeroize the module of all keys and CSPs, it is necessary to first rebuild the module’s image essentially wiping out all data from the module. Once a factory reset has been performed, default keys and CSPs will be set up as part of the renewal process. These keys must be recreated as per the instructions found in Table 14. Failure to recreate these keys will result in a non-compliant module. For more information about resetting the module to a factory default, please consult the documentation that shipped with the module. 3.2 User Guidance When using key establishment protocols (RSA and DH) in the Approved mode, the User is responsible for selecting a key size that provides the appropriate level of key strength for the key being transported. 3.3 Non-Approved Mode of Operation When initialized and configured according to the Crypto-Officer guidance in this Security Policy, the module does not support a non-Approved mode of operation. McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 38 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 4 Acronyms This section describes the acronyms used throughout the document. Table 15 – Acronyms Acronym Definition AC Alternating Current ACPI Advanced Configuration and Power Interface AES Advanced Encryption Standard ANSI American National Standards Institute BIOS Basic Input/Output System BMC Baseboard Management Controller CAC Common Access Card CAST Carlisle Adams and Stafford Tavares CBC Cipher-Block Chaining CD Compact Disc CD-ROM Compact Disc – Read-Only Memory CFB Cipher Feedback CLI Command Line Interface CLSOS Cryptographic Library for SecureOS CMVP Cryptographic Module Validation Program CO Crypto-Officer CPU Central Processing Unit CRNGT Continuous Random Number Generator Test CSEC Communications Security Establishment Canada CSP Critical Security Parameter DES Digital Encryption Standard DH Diffie-Hellman DoS Denial of Service DSA Digital Signature Algorithm DTLS Datagram Transport Layer Security ECB Electronic Codebook EMC Electromagnetic Compatibility EMI Electromagnetic Interference FIPS Federal Information Processing Standard GUI Graphical User Interface McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 39 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Acronym Definition HA High Availability HMAC (Keyed-) Hash Message Authentication Code HTTP Hypertext Transfer Protocol HTTPS Hypertext Transfer Protocol Secure IG Implementation Guidance IKE Internet Key Exchange IP Internet Protocol IPsec Internet Protocol Security KAT Known Answer Test KCLSOS Kernel Cryptographic Library for SecureOS LAN Local Area Network LDAP Lightweight Directory Access Protocol LED Light Emitting Diode MAC Message Authentication Code MD Message Digest MFE McAfee Firewall Enterprise NAT Network Address Translation NIC Network Interface Card NIST National Institute of Standards and Technology NMS Network Management System OFB Output Feedback OS Operating System PKCS Public Key Cryptography Standard PRNG Pseudo Random Number Generator RADIUS Remote Authentication Dial-In User Service RAID Redundant Array of Independent Disks RC Rivest Cipher RNG Random Number Generator RSA Rivest Shamir and Adleman SHA Secure Hash Algorithm SNMP Simple Network Management Protocol SQL Structured Query Language SSH Secure Shell SSL Secure Sockets Layer McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 40 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Security Policy, Version 0.6 October 28, 2013 Acronym Definition TLS Transport Layer Security USB Universal Serial Bus UTM Unified Threat Management VGA Video Graphics Array VPN Virtual Private Network McAfee Firewall Enterprise S1104, S2008, S3008, S4016, S5032, and S6032 Page 41 of 42 © 2013 McAfee, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Prepared by: Corsec Security, Inc. 13135 Lee Jackson Memorial Highway, Suite 220 Fairfax, VA 22033 United States of America Phone: Phone: +1 703 267 6050 Email: info@corsec.com http://www.corsec.com