FIPS 140-2 Non-Proprietary Security Policy for the Guidance Software EnCase Enterprise Cryptographic Module Version 1.0 Level 1 Validation Document Version: Version 1.6 April 7, 2008 Prepared For: Prepared By: Guidance Software, Inc. Apex Assurance Group, LLC 215 North Marengo Avenue, Suite 250 5448 Apex Peakway Drive, Ste. 101 Pasadena, CA 91101 Apex, NC 27502 www.guidancesoftware.com www.apexassurance.com FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 1 of 13 © Copyright 2008 Guidance Software REVISION HISTORY The table below provides revision history of this document. Version Date Author(s) Comments 1.0 July 18, 2007 Apex Assurance Group Initial draft for customer review 1.1 July 31, 2007 Apex Assurance Group Update with GSI comments, additional details 1.2 September 13, 2007 Apex Assurance Group Address initial comments from DOMUS 1.3 November 12, 2007 Apex Assurance Group Address additional comments from DOMUS 1.4 December 7, 2007 Apex Assurance Group Final comments from functional testing 1.5 February 13, 2008 Apex Assurance Group Update with NIST CMVP comments 1.6 April 7, 2008 Apex Assurance Group Update with additional NIST CMVP comment Table 1 ­ Security Policy Revision History FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 2 of 13 © Copyright 2008 Guidance Software TABLE OF CONTENTS REVISION HISTORY ........................................................................................................................................................................ 2 TABLE OF CONTENTS ................................................................................................................................................................... 3 INTRODUCTION .............................................................................................................................................................................. 4 BACKGROUND................................................................................................................................................................................ 4 EXTERNAL RESOURCES ................................................................................................................................................................. 4 NOTICES ....................................................................................................................................................................................... 4 RELATIONSHIP TO THE ENCASE ENTERPRISE PRODUCT ................................................................................................................... 4 GUIDANCE SOFTWARE ENCASE ENTERPRISE CRYPTOGRAPHIC MODULE ........................................................................ 5 PRODUCT OVERVIEW ..................................................................................................................................................................... 5 CRYPTOGRAPHIC MODULE SPECIFICATION ...................................................................................................................................... 5 Module Block Diagram ........................................................................................................................................................... 5 Validation Level and Algorithm Implementation Certificates .................................................................................................. 7 MODULE INTERFACES..................................................................................................................................................................... 7 ROLES AND SERVICES .................................................................................................................................................................... 8 Crypto Officer Role ................................................................................................................................................................. 8 User Role ............................................................................................................................................................................... 8 Available Services .................................................................................................................................................................. 8 PHYSICAL SECURITY ...................................................................................................................................................................... 9 OPERATING ENVIRONMENT............................................................................................................................................................. 9 CRYPTOGRAPHIC KEY MANAGEMENT ............................................................................................................................................ 10 SELF-TESTS ................................................................................................................................................................................ 10 Power-On Self-Tests ............................................................................................................................................................ 10 Conditional Self-Tests .......................................................................................................................................................... 11 MITIGATION OF OTHER ATTACKS................................................................................................................................................... 11 SECURE OPERATION OF THE ENCASE ENTERPRISE CRYPTOGRAPHIC MODULE ........................................................... 12 CRYPTO OFFICER GUIDANCE........................................................................................................................................................ 12 Module Initialization and Configuration ................................................................................................................................ 12 USER GUIDANCE.......................................................................................................................................................................... 12 APPROVED CRYPTOGRAPHIC ALGORITHMS.................................................................................................................................... 12 NON-FIPS APPROVED ALGORITHMS ............................................................................................................................................. 12 ACRONYM LIST............................................................................................................................................................................. 13 FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 3 of 13 © Copyright 2008 Guidance Software INTRODUCTION Background Federal Information Processing Standards Publication 140-2 -- Security Requirements for Cryptographic Modules specifies requirements for cryptographic products to be deployed in a Sensitive but Unclassified environment. More information about the FIPS 140-2 standard and validation program is available on the NIST website at http://csrc.nist.gov/groups/STM/cmvp/index.html. This non-proprietary Cryptographic Module Security Policy for the EnCase Enterprise Cryptographic Module from Guidance Software provides an overview of the product and a high-level description of how it meets the security requirements of FIPS 140-2. This document contains details on the module's cryptographic keys and critical security parameters. This Security Policy concludes with instructions and guidance on running the modules in a FIPS 140-2 mode of operation. External Resources The Guidance Software website (http://www.guidancesoftware.com) contains information on the full line of products from Guidance Software, including a detailed overview of the EnCase Enterprise Cryptographic Module solution. The NIST Cryptographic Module Validation Program website (http://csrc.nist.gov/groups/STM/cmvp/index.html) contains Guidance Software contact information for answers to technical or sales-related questions. Notices This document may be freely reproduced and distributed in its entirety without modification. Relationship to the EnCase Enterprise Product The module is designed for use within the full range of Guidnace Software's products, including the EnCase Enterprise suite. As such the module implements the security relevant functions of Guidance Software's products. The typical "users" of the module are therefore EnCase Enterprise software processes referred to as "calling daemons" in the following text. FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 4 of 13 © Copyright 2008 Guidance Software GUIDANCE SOFTWARE ENCASE ENTERPRISE CRYPTOGRAPHIC MODULE Product Overview EnCase® Enterprise has changed the landscape of enterprise and computer investigations by providing complete network visibility, immediate response and comprehensive, forensic-level analysis of servers and workstations anywhere on a network. EnCase® Enterprise is a scalable platform that integrates seamlessly with your existing systems to create an enterprise investigative infrastructure. This cutting-edge solution can be tailored to meet your unique needs, including the automation of time-consuming investigative processes, incident response and eDiscovery. · Securely investigate/analyze many machines simultaneously over the LAN/WAN at the disk and memory level. · Acquire data in a forensically sound manner, using software that has an unparalleled record in courts worldwide. · Limit incident impact and eliminate system downtime with immediate response capabilities. · Investigate and analyze multiple platforms -- Windows, Linux, AIX, OS X, Solaris and more -- using a single tool. · Efficiently collect only potentially relevant data upon eDiscovery requests. · Proactively audit large groups of machines for sensitive or classified information, as well as unauthorized processes and network connections. · Identify fraud, security events and employee integrity issues wherever they are taking place -- then investigate/remediate with immediacy and without alerting targets. · Identify and remediate zero-day events, injected dlls, rootkits and hidden/rogue processes.. Cryptographic Module Specification The module is the Guidance Software EnCase Enterprise Cryptographic Module version 1.0. The module is an object module that is distributed as part of the Encase Enterprise application and is therefore classified as a multi-chip standalone cryptographic module. Module Block Diagram The figure below shows the module's physical and logical block diagram: FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 5 of 13 © Copyright 2008 Guidance Software Figure 1 ­ Physical/Logical Boundary Diagram Figure 2 ­ Module Block Diagram FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 6 of 13 © Copyright 2008 Guidance Software Validation Level and Algorithm Implementation Certificates The following table lists the level of validation for each area in FIPS 140-2. Module FIPS 140-2 Section Title Validation Level Cryptographic Module Specification 1 Cryptographic Module Ports and Interfaces 1 Roles, Services, and Authentication 1 Finite State Model 1 Physical Security N/A Operational Environment 1 Cryptographic Key Management 1 Electromagnetic Interference / Electromagnetic Compatibility 1 Self-Tests 1 Design Assurance 1 Mitigation of Other Attacks N/A Cryptographic Module Security Policy 1 Table 2 ­ Validation Level by DTR Section The "Mitigation of Other Attacks" section is also not relevant as the module does not implement any countermeasures towards special attacks. The module's cryptographic algorithm implementations have received the following certificate numbers from the Cryptographic Algorithm Validation Program: Algorithm FIPS Validation Algorithm Standard Use Type Certificate Asymmetric DSA FIPS 186-2 248 Sign / verify operations Key Key generation Hashing SHA-1 FIPS 180-2 698 Message digest Keyed Hash HMAC-SHA1 FIPS 198 350 Module integrity Symmetric AES CBC mode with FIPS 197 666 Data encryption Key 128-bit keys Table 3 ­ Algorithm Certificates Please note that for RNG functionality, the module relies on the FIPS 186-2 based Microsoft Enhanced Cryptographic Provider (Cryptographic Application Programming Interface CAPI), which earned certificate number 238. Module Interfaces The interfaces (ports) for the physical boundary include the computer keyboard port, CDROM drive, floppy disk, mouse, network port, parallel port, USB ports, monitor port and power plug. When operational, the module does not transmit any information across these physical ports because it is a software cryptographic library. Therefore, the module's interfaces are purely logical and are provided through the Application Programming Interface (API) that a calling daemon can operate. The logical interfaces expose FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 7 of 13 © Copyright 2008 Guidance Software services that applications directly call, and the API provides functions that may be called by a referencing application (see Roles and Services for the list of available functions). The API provided by the module is mapped onto the FIPS 140- 2 logical interfaces: data input, data output, control input, and status output. Each of the FIPS 140- 2 logical interfaces relates to the Module's callable interface, as follows: FIPS 140-2 Interface Logical Interface Module Physical Interface Data Input Input parameters of API function calls Ethernet/Network port Data Output Output parameters of API function calls Ethernet/Network port Control Input API function calls Keyboard and mouse Status Output Function calls returning status information Monitor and return codes provided by API function calls Power None Power supply/connector Table 4 ­ Logical Interface / Physical Interface Mapping Roles and Services The module supports a Crypto Officer and a User role. The Crypto Officer can access all services in the module and perform initialization while the User role can only access the services of the module. The module supports no Maintenance role. The Module does not implement authentication of the two roles. Roles are implicitly selected via the services being called and the situation in which they are called as described below. There are also no internal audit trails tracking any of the events or data generated or used by the module during FIPS approved mode of operation. Crypto Officer Role The Crypto Officer role is responsible only for the initialization of the module. The Crypto Officer role has no special access to keys or data inside the module except for generating the shared secret at initialization time. The Crypto Officer role is implicitly selected or assumed when initializing module. User Role The User role includes all the calling daemons (other software modules outside the EnCase Enterprise Cryptographic Module) using the module as part of their normal operation. The User role is implicitly selected or assumed when calling any services on the module API when using the module during normal operations. Available Services The services available to the User and Crypto Officer roles in the Module consist of the following: FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 8 of 13 © Copyright 2008 Guidance Software SERVICE DESCRIPTION ROLES CLASS NAME Encrypt Block Symmetric Encrypts a block of data Using AES Both SymCryptClass Decrypt Block Symmetric Decrypts a block of data Using AES Both SymCryptClass Key Generation Generates DSA keys using the Microsoft Crypto Officer AsymGenKeyClass CAPI PRNG Hash Block Hashes a block using SHA-1 and the Both ShaComputeClass standard IV Sign Block Signs a block with DSS Both AsymCryptClass Verify Block Verifies the Signature of a DSS-signed Both AsymCryptClass block Encrypt Block Asymmetric Encrypts a block of data using DH Both AsymCryptClass Decrypt Block Asymmetric Decrypts a block of data using DH Both AsymCryptClass Load Asymmetric key Loads an asymmetric key into the module Both AsymCryptClass Show Status Shows status of the module Both StartupInfoClass Zeroize CSPs Clears CSPs from memory Both BufferClass Run Self-Tests Performs power-on self-tests Crypto Officer Subsystem Installation and Initialization Installs the module and initializes the Crypto Officer Compiled in; no load module for FIPS mode of operation needed Table 5 ­ Operator Services and Descriptions Physical Security No physical security is claimed as the Cryptographic Module is software-only. Operating Environment The module operates on a general purpose computer running on a modern version of the Microsoft Windows general purpose operating system (GPOS), including Microsoft Windows Vista, Windows XP and Windows 2003 Server. For FIPS purposes, the module is running on Microsoft Windows in single user mode and does not require any additional configuration to meet the FIPS requirements. The module was tested on a GPOS with the following specifications: · Operating System: Microsoft Windows XP Professional SP2 · Processor: Intel Pentium 4 at 3.2 Ghz · RAM: 2GB · Hard Drive: 30GB · Network Controller: Intel Pro/1000 Dual Port Server · Video Controller: Nvidia GeForce 6200 The GPC(s) used during testing met Federal Communications Commission (FCC) FCC Electromagnetic Interference (EMI) and Electromagnetic Compatibility (EMC) requirements for business use as defined by 47 Code of Federal Regulations, Part15, Subpart B. FIPS 140-2 validation compliance is maintained when FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 9 of 13 © Copyright 2008 Guidance Software the module is operated on other versions of the Microsoft Windows GPOS running in single user mode, assuming that the requirements outlined in NIST IG G.5 are met. Cryptographic Key Management Table 6 provides a complete list of critical security parameters used within the module: KEY / Crypto Officer User DESCRIPTION CSP NAME Privileges1 Privileges Vendor Key pair GSI Key (DH/DSS), Root of RWD None trust Client crypto officer Key pair (DH/DSS); used for Keymaster RWD None authentication to the SAFE and key distribution Server Key pair SAFE RWD RWD (DH/DSS) 128-bit AES session Session key RWD RWD key Table 6 ­ Critical Security Parameters Please note that the module does not support key storage. Zeroization has been implemented to ensure no traces are left in memory of any CSPs upon termination of the service using the CSP. Zeroization has been implemented by overwriting the allocated memory buffer with zeros before freeing the memory to other uses. Any service using a CSP will zeroize the CSP upon normal termination and when transitioning into error states. Zeroization is initiated by terminating the process and powering off the module. Self-Tests The module includes an array of self-tests that are run during startup and periodically during operations to prevent any secure data from being released and to ensure all components are functioning correctly. The following sections discuss the module's self-tests in more detail. In the event of any self-test failure, the module will output an error dialog and will shutdown. No keys or CSPs will be output when the module is in an error state. Power-On Self-Tests Power-on self-tests are run upon every initialization of the module and if any of the tests fail, the module will not initialize. The module will enter an error state and no services can be accessed by the users. The module implements the following power-on self-tests: 1 R = Read | W = Write | D = Delete FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 10 of 13 © Copyright 2008 Guidance Software · Module integrity check via HMAC-SHA1 · DSA pairwise consistency key (signing and signature verification) · AES KAT (encryption and decryption) · SHA-1 KAT The module performs all power-on self-tests automatically when the module is initialized. All power-on self- tests must be passed before a User/Crypto Officer can perform services. The Power-on self-tests can be run on demand by reinitializing the module in FIPS approved Mode of Operation or by calling the corresponding service on the API. Conditional Self-Tests Conditional self-tests are on-demand tests and tests run continuously during operation of the module. If any of these tests fail, the module will enter and error state. The module can be re-initialized to clear the error and resume FIPS mode of operation. No services can be accessed by the operators. The module performs the following conditional self-tests: · Pairwise consistency test for DSA · Continuous RNG test run on output of CAPI RNG The module does not support a bypass function. Mitigation of Other Attacks The module does not mitigate other attacks. FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 11 of 13 © Copyright 2008 Guidance Software SECURE OPERATION OF THE ENCASE ENTERPRISE CRYPTOGRAPHIC MODULE This section describes how to configure the module for FIPS-approved mode of operation. Operating the module without maintaining the following settings will remove the module from the FIPS-approved mode of operation. Crypto Officer Guidance Module Initialization and Configuration Crypto Officer must configure and enforce the following initialization procedures: 1. Install module using setup program. 2. Verify that the software version is 1.0 and that FIPS mode is enabled. No other version is allowed to be used in FIPS mode of operation. 3. Verify that the GPOS is configured to a single-user mode of operation. User Guidance The module is not distributed as a standalone library and is only used in conjunction with the EnCase Enterprise solution. As such, there is no direct User Guidance. Approved Cryptographic Algorithms In FIPS mode of operation, only the following FIPS approved algorithms are used: · AES for encryption/decryption · DSA for signing and verifying · SHA-1 for hashing · HMAC-SHA1 for module integrity · CAPI for random number generation2 Non-FIPS Approved Algorithms The module implements the following non-FIPS-approved cryptographic algorithms: · Diffie-Hellman DH key sizes of 1024-bits and 2048-bits Key agreement; key establishment methodology provides 80 or 112 bits of encryption strength 2As implemented in Microsoft Enhanced Cryptographic Provider (Cryptographic Application Programming Interface CAPI), which earned certificate number 238. FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 12 of 13 © Copyright 2008 Guidance Software ACRONYM LIST AES ............................................ Advanced Encryption Standard API .............................................. Application Programming Interface CAPI ........................................... Cryptographic Application Programming Interface (CAPI) CBC ............................................ Cipher Block Chaining CSP ............................................ Critical Security Parameter DSA ............................................ Digital Signature Algorithm DSS ............................................ Digital Signature Standard DTR ............................................ Derived Test Requirements FIPS ........................................... Federal Information Processing Standard GPC ............................................ General Purpose Computer GPOS ......................................... General Purpose Operating System GSI ............................................. Guidance Software, Inc. GUI ............................................. Graphical User Interface HMAC ......................................... Hashed Message Authentication Code KAT ............................................ Known Answer Test NIST ........................................... National Institute of Standards and Technology NVRAM....................................... Non-Volatile Random Access Memory SHA ............................................ Secure Hash Algorithm FIPS 140-2 Security Policy ­ Guidance Software EnCase Enterprise Cryptographic Module Page 13 of 13 © Copyright 2008 Guidance Software