FIPS 140-2 Security Policy SafeNet HighAssurance 4000 Gateway Firmware Version 5.1 Hardware Version A ECO, Date, and Revision History Contact: Scott Palmquist Rev A CB-078, 05/07/04, dtm Initial release Checked: Approved: Rev B CB-084,dtm, Mods requested by Domus 4690 Millennium Drive, Suite 400 Rev C CB-xxx, lsr, new firmware version Filename: 007-002-101_d(1)-SafeNet.doc Belcamp, Maryland 21017 Updated Firmware Revision Title: FIPS 140-2 Security Policy SafeNet HighAssurance 4000 Gateway All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 1 of 16 002-003-001F Document Format Sheet Table of Contents 1 Introduction SafeNet HighAssurance 4000 Gateway Security Policy ................................................................ 3 2 Definition of HighAssurance 4000 Gateway Security Policy .............................................................................. 4 2.1 HighAssurance 4000 Gateway Operation Overview .................................................................................. 4 2.2 Product Features......................................................................................................................................... 5 2.3 IPSec Technology Overview ....................................................................................................................... 6 2.3.1 IPSec Services..................................................................................................................................... 6 2.4 Security Rules for FIPS Level 2 Operation ................................................................................................. 6 2.4.1 Operational Constraint ......................................................................................................................... 7 2.4.2 Security Policy Limitation ..................................................................................................................... 7 2.4.3 Discretionary Access Control............................................................................................................... 7 2.4.4 Default Deny ........................................................................................................................................ 7 2.4.5 Power Requirements ........................................................................................................................... 7 2.4.6 Security Modes .................................................................................................................................... 7 2.4.7 Physical Level Security ........................................................................................................................ 7 2.5 Secure Setup Procedure ............................................................................................................................. 7 2.6 Initiating FIPS Compliant Mode .................................................................................................................. 8 3 Purpose of a HighAssurance 4000 Gateway Policy .......................................................................................... 8 3.1 HighAssurance 4000 Gateway Security Feature Overview ........................................................................ 8 3.2 Module Self-Tests ..................................................................................................................................... 10 4 Specification of the HighAssurance 4000 Gateway Security Policy ................................................................ 10 4.1 Identification and Authentication Policy .................................................................................................... 11 4.2 Access Control, Roles, and Services ........................................................................................................ 11 4.3 Physical Security Policy ............................................................................................................................ 13 4.4 Strength of Function .................................................................................................................................. 13 5 Crypto Security Officer and User Guidance ..................................................................................................... 14 6 Glossary of Terms ............................................................................................................................................ 14 7 References ....................................................................................................................................................... 15 8 Revisions .......................................................................................................................................................... 16 8.1 Revision History ........................................................................................................................................ 16 All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 2 of 16 1 Introduction SafeNet HighAssurance 4000 Gateway Security Policy This document describes the security policy of the SafeNet HighAssurance 4000 Gateway as required and specified in the NIST FIPS-140-2 standard. Under the standard, the HighAssurance 4000 Gateway system qualifies as a multi-chip stand-alone cryptographic module and satisfies overall FIPS 140-2 level 2 security requirements. This document applies to Hardware Version A and Firmware Version 5.1. The HighAssurance 4000 Gateway is in FIPS mode when the module is powered on and processing traffic using FIPS approved cipher/authentication algorithms as established through the policy editor by the Crypto Security Officer. This security policy is composed of: A definition of the HighAssurance 4000 Gateway's security policy, which includes: · an overview of the HighAssurance 4000 Gateway operation · a list of security rules (physical or otherwise) imposed by the product developer A description of the purpose of the HighAssurance 4000 Gateway's security policy, which includes: · a list of the security capabilities performed by the HighAssurance 4000 Gateway Specification of the HighAssurance 4000 Gateway's Security Policy, which includes: All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 3 of 16 · a description of all roles and cryptographic services provided by the system · a description of identification and authentication policies · a specification of the access to security relevant data items provided to a user in each of the roles · a description of physical security utilized by the system · a description of attack mitigation capabilities 2 Definition of HighAssurance 4000 Gateway Security Policy 2.1 HighAssurance 4000 Gateway Operation Overview The HighAssurance 4000 Gateway is a high performance, integrated security appliance that offers Gigabit Ethernet IPSec encryption. Housed in a tamper evident chassis, the HighAssurance 4000 Gateway has two Gigabit Ethernet ports. Traffic on the local port is received and transmitted within the trusted network in the clear, while traffic on the remote port over the internet has security processing applied to it. Fully compatible with existing IP networks, the HighAssurance 4000 Gateway can be seamlessly deployed into Gigabit Ethernet environments, including IP site-to-site VPNs and storage over IP networks. Its high-speed AES and 3DES IPSec processing eliminates bottlenecks while providing data authentication, confidentiality, and integrity. Figure 1 shows the physical layout of the HighAssurance 4000 Gateway. The back of the module (not displayed) contains a standard, enclosed line cord receptacle and cannot be exploited. Figure 1. Physical Layout of Indicators, and Receptacles (Front View) 1. Remote Gigabit Ethernet Port 2. Local Gigabit Ethernet Port 3. 10/100 Ethernet Management Port 4. RS-232 Craft Port 5. Power LED 6. Alarm LED 7. Failure LED 8. Remote Port LEDs 9. Local Port LEDs 10. LCD Boot Status Indicator A typical operating environment is illustrated in Figure 2. All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 4 of 16 Figure 2. Typical Operational Configuration 2.2 Product Features Hardware-based IPSec encryption processing · Low latency · 10,000 concurrent tunnels Line rate Gigabit Ethernet · Full duplex 1.8 Gbps IPSec AES and 3DES encryption and decryption Comprehensive security standards support · Compliant with IPSec RFC 2401, 2408, 2409 · Encapsulating Security Payload (ESP) and Authentication Header (AH) supported in Tunnel mode Approved Security Function Certificate Symmetric Key Encryption AES (CBC (e/d; 128, 192, 256)) 156 TDES (TCBC (e/d; KO 1,2,3)) 258 DES (CBC (e/d (for legacy systems only)) 260 SHS SHA-1 byte-oriented 117 HMAC-SHA-1 (vendor affirmed) 34 Asymmetric Keys RSA (PKCS#1) (Sig Gen and Sig Ver) 209 (vendor affirmed) Random Number Generation (FIPS 186-2) 274 Non-Approved Security Function DES MD5 All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 5 of 16 Approved Security Function Certificate HMAC MD5 Encryption · 3DES-CBC (168 bit) · AES (256 bit) Message integrity · HMAC-MD5-96 (Available in Non FIPS mode only) · HMAC-SHA-1 Signature Verification · RSA PKCS#1 Random Number Generation FIPS 186-2 Appendix 3.1 Device management SafeNet HighAssurance 4000 Gateway · Management access via the RS-232 craft port or secure 10/100 Ethernet port · Secure management access via XML-RPC (see Glossary) · Command line and web-based management interfaces · Secure IPSec session for management application · Secure telnet session for device configuration · SNMPv2c MIB managed objects supported · Alarm condition detection and reporting through audit log capability · Secure remote authenticated software updates · Secure management access via SafeEnterprise Security Management Center (SMC) · SMC and device use of XML-RPC · Radius authentication 2.3 IPSec Technology Overview IPSec is a framework of standards developed by the Internet Engineering Task Force (IETF) that provides a method of securing sensitive information that is transmitted over an unprotected network such as the Internet. IPSec does this by specifying which traffic to protect, how to protect it, and who to send it to. It provides a method for selecting the required security protocols, determining the algorithms to use for the services, and putting in place any cryptographic keys required to provide the requested services. Because the IP layer provides IPSec services, they can be used by any higher layer protocol. 2.3.1 IPSec Services IPSec security services include: · Data confidentiality - The sender can encrypt packets before sending them across a network, providing assurance that unauthorized parties cannot view the contents. · Data integrity - The receiver can authenticate packets sent by the IPSec sender to ensure that the data has not been altered in transit. · Data origin authentication -The receiver can authenticate the identity of the sender. This service is dependent on the data integrity service. · Anti-replay protection - The receiver can detect and reject replayed packets. 2.4 Security Rules for FIPS Level 2 Operation The HighAssurance 4000 Gateway is bound by the following rules of operation to meet FIPS 140-2 Level 2 requirements. All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 6 of 16 2.4.1 Operational Constraint The HighAssurance 4000 Gateway encryption module shall be operated in accordance with all sections of this security policy. The module shall be operated in accordance with all accompanying user documentation. · SafeNet HighAssurance 4000 Gateway User's Guide 2.4.2 Security Policy Limitation This security policy is constrained to the hardware, software, and firmware contained within the cryptographic security boundary. 2.4.3 Discretionary Access Control Discretionary access control based roles shall be assigned in accordance with this security policy. 2.4.4 Default Deny This module is shipped with all encryption mechanisms disabled to allow installation test and acceptance. Prior to operation, encryption mechanisms shall be enabled, and the module placed in a default deny operational mode. 2.4.5 Power Requirements It is assumed that this module is being powered at the specified line voltage (115 VAC, 60 Hertz nominal, for the United States) and that the internal DC power supply is operating normally. 2.4.6 Security Modes The HighAssurance 4000 Gateway must always be configured to FIPS approved encryption and message authentication ­ AES, 3DES, and SHA1. The HighAssurance 4000 Gateway GUI Interface (browser) must always operate using FIPS approved cipher/authentication algorithms ­ AES, 3DES, and RSA (for authentication). The browser is used for Policy Management of the HighAssurance 4000 Gateway. The HighAssurance 4000 Gateway management interface (telnet using IPSec) must always operate using FIPS- approved cipher/authentication algorithms ­ AES, 3DES, and SHA1 authentication. 2.4.7 Physical Level Security The HighAssurance 4000 Gateway shall be installed in a controlled area with authorized personnel access only. 2.5 Secure Setup Procedure The Security HighAssurance 4000 Gateway must be set up, installed, and operated in accordance with the instructions in the User Guide. · SafeNet HighAssurance 4000 Gateway User's Guide For secure device management using telnet, IPSec must be enabled on the management port and a VPN Client must be installed on the management workstation. For detailed instructions refer to the SafeNet HighAssurance 4000 Gateway User's Guide. IPSec on the management port must always operate using FIPS-approved cipher and authentication algorithms (AES, 3DES encryption and SHA1 authentication). MD5 authentication is also available in non-FIPS mode operation. The HighAssurance 4000 Gateway is shipped with all encryption mechanisms disabled to allow installation test and acceptance. Prior to operation, encryption mechanisms should be enabled. · The HighAssurance 4000 Gateway browser interface to the Policy Manager application must be operated using FIPS-approved cipher and authentication algorithms (Astor 3DES encryption and RSA authentication). - Microsoft Internet Explorer version 6.0 or higher (www.microsoft.com ); or - Netscape version 7.0. (www.netscape.com) All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 7 of 16 Note: The browser must support high-grade (128-bit) security. The HighAssurance 4000 Gateway's tamper-evident seal must be intact. If the tamper-evident seal is broken, the HighAssurance 4000 Gateway is not FIPS-140-2 Level 2 compliant. The following user-supplied software must be installed on the management workstation: · VT-100 terminal emulation utility such as HyperTerminal or TeraTerm Pro (Used to connect to the CLI through a serial link) · Adobe Acrobat Reader version 5.0 or higher (www.adobe.com) (used to open the PDF files on the Security Gateway CD). · VPN client application such as SSH Sentinel · The SafeEnterprise Security Management Center may also be installed to manage the module. The SafeEnterprise Security Management Center User's Guide must be used to install the SMC application. The following operating systems are supported: · Microsoft Windows 2000 · Linux 2.4 (Red Hat Linux 7.2) 2.6 Initiating FIPS Compliant Mode As stated in section 2.5 (above), the HighAssurance 4000 Gateway is shipped with all encryption mechanisms disabled. For the SafeNet HighAssurance 4000 Gateway to initiate the module in FIPS Compliant mode the Crypto-Officer (Admin User) must create and load a policy (via the Policy Editor) that uses AES or 3DES for data encryption and HMAC SHA-1 for authentication or use SMC to configure the module and create a policy. NOTE: MD5 is not a FIPS-approved authentication algorithm. Using MD5 authentication in a security policy takes the Security Gateway out of FIPS compliant operation. 3 Purpose of a HighAssurance 4000 Gateway Policy The HighAssurance 4000 Gateway is a high performance security appliance that offers IPSec encryption for Gigabit Ethernet (1 Gbps) traffic. The HighAssurance 4000 Gateway has two Gigabit Ethernet ports. Traffic on the local port is received and transmitted within the trusted network in the clear, while traffic on the remote port over the internet has security processing applied to it. The AES and 3DES algorithm employed by the HighAssurance 4000 Gateway to encrypt/decrypt all sensitive data, is the current standard for the protection of Unclassified but Sensitive Information for the Federal Government. In addition, the HMAC SHA-1 algorithm is used to provide message integrity and authentication. 3.1 HighAssurance 4000 Gateway Security Feature Overview Security Features · Hardware-based IPSec encryption processing · Comprehensive security standards support · Compliant with IPSec RFC 2401 · Encapsulating Security Payload (ESP) and Authentication Header (AH) supported in Tunnel mode Key Management · Internet Key Exchange (IKE) RFCs 2408, 2409 Key Exchange · Authenticated Diffie-Hellman key exchange Key Types Key Name Description and /or Type of Key Storage Location Storage Method Purpose All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 8 of 16 Pre-Shared Key Encryption / Decryption 32 Byte AES Non-volatile Flash Policy File ­ 24 Byte 3DES Plain-text 8 Byte DES HMAC Key Message Signing 20 Byte HMAC- Non-volatile Flash Policy File ­ SHA-1-96 Plain-text IPSec Session One Symmetric Key per 32 Byte AES Volatile SDRAM Plain-text Encryption Key IPSec Security Association 24 Byte 3DES (SA) IPSec Session One Authentication Key per 20 Byte HMAC- Volatile SDRAM Plain-text Authentication Key IPSec Security Association SHA-1-96 (SA) Management Encrypt messages to and 256 Bit AES Plain-text Interface Certificate from policy editor 168 Bit 3DES Volatile SDRAM Session Key Module Keys Authenticate messages to 1024 Bit RSA Non-volatile Flash Plain-text and from policy editor Authenticate module to remote devices Firmware Upgrade Authenticates firmware to 1024 Bit RSA Non-Volitle Flash Plaintext Key be loaded Public CA Root Key Authenticates Gateway with 1024 or 2048 Bit Non-volatile Flash Plaintext a certificate authority RSA Public Zeroization · Sets module to factory default keys · Sets module to factory default policies · Sets module to factory default configurations · All plaintext keys are zeroized Encryption · AES-CBC (256 bit) · 3DES-CBC (168 bit) Random Number Generation · FIPS 186-2 Appendix 3.1 Message integrity · HMAC SHA-1 Signature Verification · RSA PKCS#1 Device management SafeNet HighAssurance 4000 Gateway · Management access via the RS-232 craft port or secure 10/100 Ethernet port · Secure management access via XML-RPC (see Glossary) · Command line and web-based management interfaces · Secure IPSec session for management application · Secure telnet session for device configuration · SNMPv2c MIB managed objects supported · Alarm condition detection and reporting through audit log capability · Secure Remote authenticated software updates. · Secure management access via SafeEnterprise Security Management Center (SMC) · SMC and device use of XML-RPC All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 9 of 16 Role Based Access Control · Access to security configuration and device management controlled by strict userid/password authentication 3.2 Module Self-Tests · As required by FIPS 140-2, the module performs the following self-tests at start-up: Power-Up Tests: · AES Known Answer Test · 3DES Known Answer Test · HMAC-SHA-1 Known Answer Test · RSA Known Answer Test · RNG Known Answer Test · Firmware Integrity Test (32 Bit CRC) · Bypass Test Continuous Random Number Generator Test: · The module includes a continuous test on the output from the FIPS compliant RNG to FIPS 186-2. The module compares the output of the RNG with the previous output to ensure the RNG has not failed to a constant value. The Broadcom RBG 100 Random Bit Generator is a non-approved, non-deterministic hardware-based RNG. A continuous test is done for both RNGs. Conditional Pairwise Consistency Test: The module includes a conditional pairwise consistency test (sign and verify operation) every time RSA keys are generated. Conditional Bypass Test: The module includes a conditional bypass test that is performed every time a Security Policy is loaded. Firmware Load Test: · The module includes a software/firmware load test with an RSA signature verification of downloaded software/firmware. In order for the module to maintain FIPS compliance the software/firmware to be upgraded must be validated to FIPS 140-2. If any of these self-tests fail, the module enters an error state and all data is inhibited. Running of the power-on self-tests is automatically initiated whenever power to the module is cycled or, on demand, by issuing the "reboot" command. 4 Specification of the HighAssurance 4000 Gateway Security Policy Three roles, that either provide security services or receive services of the Security Gateway, are the basis of the specification of the HighAssurance 4000 Gateway security policy. These roles are: · Crypto Security Officer: The Crypto Security Officer role consists of the Admin user. The role defines and implements all security and network services. The role specifies the traffic to have security algorithms applied and the transforms to be applied, defines the IP network interfaces and remote management mechanisms, and performs any software updates or network troubleshooting. · Crypto Security Officer A: The Crypto Security Officer "A" role consists of the Super user. The role controls access to the HighAssurance 4000 Gateway by maintaining all role-based userid/password configurations. · User: The User role uses the security services implemented on the Security Gateway. The User is any entity with an assigned IP address that matches the module's IPSec policy as defined by the Crypto All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 10 of 16 Security Officer User role. The HighAssurance 4000 Gateway receives user traffic on its local port. It then applies the security services to that traffic and transmits the traffic out the remote port. In addition, the HighAssurance 4000 Gateway can receive encrypted traffic on its remote port, decrypt the traffic and transmit the traffic to the user on the local port. 4.1 Identification and Authentication Policy Login by UserID and Password, which are maintained by the Crypto Security Officer A, is the primary Identification /Authentication mechanism used to enforce access restrictions for performing or viewing security relevant events. The following table defines the Identification and Authentication Policy: Identification/ Authentication Role SafeNet HighAssurance 4000 Gateway Crypto Security Officer (CSO) OPS UserId/Password Crypto Security Officer A Admin UserId/Password (CSOA) User Network Remote peer IP address and either certificate or pre-shared k Note: Any reference of CSO and CSOA under the Access Control, Roles, and Services indicates the Identification/Authentication as found in the table above. Table 1 - Identification/Authentication Policy Access of the Crypto Security Officer may be denied after unsuccessful login attempts. The Crypto Security Officer may set inactivity time outs for Login sessions. 4.2 Access Control, Roles, and Services The roles defined above use and/or implement a number of security services in the HighAssurance 4000 Gateway. Those services are: · Test Functions ­ internal system test of hardware and software at power up or reboot · Encryption/Decryption ­ services executed on user data · Key Generation ­ Services to generate and update secure key material · Network Services ­ services to manage and configure the network interfaces of the system · Security Services ­ services to configure and protect the security policy of the system · Upgrade ­ upgrades system software Table 2 defines the services, the roles that use the services, the security relevant objects created or used in the performance of the service, and the form of access given to those security relevant objects. The cryptographic boundary for the implementation of these services extends to the physical dimensions of a High Assurance 4000 Gateway module and includes all internal printed circuit cards, integrated circuitry, and so forth contained within its physical dimensions. Note: Items highlighted in blue in Table 2 are Services with description of services detailed directly below highlighted area. Table 2 - Roles and Services Roles Service Security Relevant SRDI Access Data Item Read, Write, Execute CSOA Create Passwords Create or change the CSO and Admin passwords. Password Write, Execute CSOA Set Password Lockout All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 11 of 16 Sets how many attempts a password may be incorrectly Password Write entered. CSOA Set Password Policy Sets the AR-25.2 or default password policy. Password Write CSOA Set Audit Log Sets the audit-log parameters such as how many logs and None Write were the logs will be sent. CSOA View Audit Log Views the audit-log information. None Read CSOA Zeroization Zeroize the HA4000. Triple-DES, AES, Execute RSA, Diffie-Hellman, Passwords CSOA Run Self-Test CSO Self-test (critical function test, memory test, encrypt None Execute hardware test, algorithm self-tests, software authentication, RNG test). CSOA Key Generation CSO Generate symmetric and asymmetric keys. Triple-DES, AES, Write, Execute RSA, and Diffie- Hellman CSOA Configure CSO Configure IP addresses, subnets, logging, and port None Read, Write, settings Execute CSOA Create Security Policy CSO Configure Security Policy Filters, Phase 1 and Phase 2 Triple-DES, AES, Read, Write, Encryption Algorithms, set expiration of key lifetime. RSA, and Diffie- Execute Hellman CSOA Delete Security Policy CSO Deletes Security Policy Triple-DES, AES, Execute RSA, and Diffie- Hellman CSOA Show Status CSO Display network statistics, network configuration, display None Read port information, display security policy information. CSOA Reboot CSO Reboot the HA4000 None Execute CSOA Edit Security Policy CSO Update the security policy rules of the HA4000. Triple-DES, AES, Read, Write RSA CSOA Load Security Policy All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 12 of 16 CSO Load an updated or saved security policy into the None Execute HA4000. CSOA Firmware Upgrade CSO Update the firmware of the HA4000. RSA Execute CSOA Import/Export Key CSO Importing and exporting public keys. RSA Execute User Encrypt/Decrypt Encrypt/Decrypt network traffic. AES/Triple-DES Execute session key, IPSec Session Authentication Key, CA Root Key, Diffie- Hellman 4.3 Physical Security Policy The HighAssurance 4000 Gateway system has been designed to satisfy the Level 2 physical security requirements of FIPS140-2. The system is housed in an opaque, steel chassis with external connections provided for the local and remote data network ports, as well as the Craft (serial) port, 10/100 Ethernet port, and status LEDs. The top lid and baseboard sub-assembly are attached to the case using screws. A tamper evident seal is provided over one screw in such a manner that an attempt to remove the cover requires removal of that screw and indicates subsequent evidence of tampering. The Crypto Security Officer shall periodically check the tamper evident seal to verify that the module has not been opened. If the seal is broken, the module is no longer FIPS-140-2 compliant. The tampered module shall be returned for re-certification (following the required return procedures). Other modules with which it exchanged keys and have no evidence of tampering, shall be zeroized. Figure 2. Rear Panel Tamper Seal, HA4000 4.4 Strength of Function Within the cryptographic security boundary, the HighAssurance 4000 Gateway will only act on traffic for which a security policy has been defined. Therefore any data received for which no policy exists will be discarded. In addition, any clear traffic destined for the HighAssurance 4000 Gateway's network address will be discarded. The HighAssurance 4000 Gateway will only respond to IP protocol 50 and 51 and TCP/UDP port 500 packets. Thus port scans and DOS attacks are mitigated. All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 13 of 16 A secure environment relies on security mechanisms, such as firewalls, intrusion detection systems and so forth, to provide mitigation of other attacks, which could lead to a loss of integrity, availability, confidentiality, or accountability, outside of the cryptographic security boundary. Further, no mitigation is provided against clandestine electromagnetic interception and reconstruction or loss of confidentiality via covert channels (such as power supply modulation), or other techniques, not tested as part of this certification. 5 Crypto Security Officer and User Guidance Access Interface Role Permissions Service CLI GUI CSOA CSO User Create Passwords Set Password Lockout Set Password Policy Set Audit Log View Audit Log Zeroization Run Self-Test Key Generation Configure Create Security Policy Delete Security Policy Show Status Reboot Edit Security Policy Load Security Policy Firmware Upgrade Import/Export Key Encrypt/Decrypt 6 Glossary of Terms Authentication Authentication is the process of identification of a user, device or other entity, (typically based on a password or pass phrase) known only to a single user, which when paired with the user's identification allows access to a secure resource. CBC The cipher-block chaining mode of DES ­ See FIPS Publication 81 for a complete description of CBC mode. Confidentiality Confidentiality is the assurance that information is not disclosed to unauthorized persons, processes, or devices. Configuration Management All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 14 of 16 Management of security features and assurances through control of changes made to hardware, firmware, software, or documentation, test, test fixtures, and test documentation throughout the lifecycle of the IT. Crypto Security Officer (CSO) The Crypto Security Officer is the individual responsible for all security protections resulting from the use of technically sound cryptographic systems. The Crypto Security Officer duties are defined within this document. Crypto Security Officer A (CSOA) The Crypto Security Officer A is the individual responsible for controlling access to the HighAssurance 4000 Gateway by maintaining all role-base userid/password configurations. The Crypto Security Officer A duties are defined within this document. DES A cryptographic algorithm for the protection of UNCLASSIFIED data, published in Data Encryption Standard FIPS Publication 46, DES was approved by the National Institute of Standards and Technology (NIST), and is intended for public and private use. End to End Encryption The totality of protection of information passed in a telecommunications system by cryptographic means, from point of origin to point of destination. IKE Internet Key Exchange IP Internet Protocol IPSEC Security standard for IP networks Network User (User) The Network User is a HA4000 device that has authenticated with a remote HA4000 device to perform encryption/decryption services between one or more HA4000s NIST National Institute of Standards and Technology Role A Role is a pre-defined mission carrying with it a specific set of privileges and access based on required need-to-know Role Based Access Control (RBAC) RBAC is an access control mechanism, which restricts access to features and services used in the operation of a device based on a user's predefined mission. Session Key An encryption or decryption key used to encrypt/decrypt the payload of a designated packet. Security Policy The set of rules, regulations and laws which must be followed to ensure that the security mechanisms associated with the HighAssurance 4000 Gateway are operated in a safe and effective manner. The HighAssurance 4000 Gateway Security Policy shall be applied to all IP data flows through the HighAssurance 4000 Gateway, per FIPS 140-2 (Level 2) requirements. It is an aggregate of public law, directives, regulations, rules, and regulates how an organization shall manage, protect, and distribute information. TCP Transmission Control Protocol Tunnel Logical IP connection in which all data packets are encrypted UDP User Datagram Protocol XML-RPC A Remote Procedure Calling protocol having a set of implementations that allow software running on disparate operating systems, running in different environments to make procedure calls over the Internet. Its remote procedure calling uses HTTP as the transport and XML as the encoding. XML-RPC is designed to be as simple as possible, while allowing complex data structures to be transmitted, processed and returned. 7 References Federal Information Processing Standard Publication 140-2 "Security Requirements for Cryptographic Modules," (Supersedes FIPS Publication 140-1, 11 January 1994 All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 15 of 16 CipherOptics SG-series User Guide, Version 5.1, Part Number 800-001-102, RevD, January 2007 CipherOptics SG-series Installation Guide, Part Number 800-038-003, Rev B, January 2007 CipherOptics Security Gateway FIPS 140-2 Vendor Evidence Document, April 2004 Finite State Machine Document, November 23, 2002 Security Gateway IPSec Module Design Specification, November 27, 2002 8 Revisions This document is an element of the Federal Information Processing Standard (FIPS) Validation process as defined in Publication 140-2. Additions, deletions, or other modifications to this document are subject to document configuration management and control. No changes shall be made once stamped FINAL, without the express approval of the Document Control Officer (DCO). 8.1 Revision History Revision Change Description Change Document Approved A Original Issue CB-078 05/07/04 B Mods per NIST comments CB-084 10/08/04 C Updated firmware version to 4.0 CB-xxx Mm/dd/yy D Updated firmware version to 5.1 7/08/08 All rights reserved. This document may be freely copied and distributed Date: Document Number: Rev: Sheet: without the Author's permission provided that it is copied and distributed in its entirety without modification. 07/09/2008 007-002-101 D 16 of 16