FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 FIPS 140-2 Non-Proprietary Security Policy Symantec Control Center Cryptographic Module Version 1.0 Document Version 1.2 July 19, 2012 Document Version 1.2 © Symantec Page 1 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 Prepared For: Prepared By: Symantec Corporation Apex Assurance Group, LLC 350 Ellis Street 530 Lytton Avenue, Ste. 200 Mountain View, CA 94043 Palo Alto, CA 94301 www.symantec.com www.apexassurance.com Abstract This document provides a non-proprietary FIPS 140-2 Security Policy for the Control Center Cryptographic Module Version 1.0. Document Version 1.2 © Symantec Page 2 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 Table of Contents 1 Introduction .................................................................................................................................................... 5 1.1 About FIPS 140.................................................................................................................................................5 1.2 About this Document .......................................................................................................................................5 1.3 External Resources...........................................................................................................................................5 1.4 Notices .............................................................................................................................................................5 1.5 Acronyms .........................................................................................................................................................5 2 Symantec Control Center Cryptographic Module Version 1.0 .......................................................................... 8 2.1 Solution Overview ............................................................................................................................................8 2.2 Cryptographic Module Specification................................................................................................................8 2.2.1 Validation Level Detail .............................................................................................................................8 2.2.2 Approved Cryptographic Algorithms........................................................................................................9 2.2.3 Non-Approved Cryptographic Algorithms................................................................................................9 2.3 Module Interfaces..........................................................................................................................................10 2.4 Roles, Services, and Authentication ...............................................................................................................12 2.4.1 Operator Services and Descriptions .......................................................................................................12 2.4.2 Operator Authentication ........................................................................................................................14 2.5 Physical Security ............................................................................................................................................14 2.6 Operational Environment ..............................................................................................................................14 2.7 Cryptographic Key Management ...................................................................................................................16 2.7.1 Key Generation ......................................................................................................................................17 2.7.2 Key Entry, Output, and Protection .........................................................................................................17 2.7.3 Key/CSP Storage and Zeroization ...........................................................................................................17 2.8 Self-Tests........................................................................................................................................................19 2.8.1 Power-On Self-Tests ...............................................................................................................................19 2.8.2 Conditional Self-Tests.............................................................................................................................19 2.8.3 Critical Functions Tests...........................................................................................................................20 2.9 Mitigation of Other Attacks ...........................................................................................................................20 3 Guidance and Secure Operation .................................................................................................................... 21 3.1 Initial Setup....................................................................................................................................................21 3.2 Crypto Officer Guidance ................................................................................................................................ 21 3.2.1 Software Packaging and OS Requirements ............................................................................................21 3.2.2 Enabling FIPS Mode................................................................................................................................22 3.2.3 Management Procedures.......................................................................................................................22 3.2.4 Additional Rules of Operation ................................................................................................................22 3.3 User Guidance ...............................................................................................................................................22 3.3.1 General Guidance...................................................................................................................................22 3.4 Role Changes .................................................................................................................................................23 3.5 Bound Module Modes of Operation ..............................................................................................................23 3.6 Bound Module Random Number Generator ..................................................................................................25 Document Version 1.2 © Symantec Page 3 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 List of Tables Table 1 – Acronyms and Terms......................................................................................................................................7 Table 2 – Validation Level by FIPS 140-2 Section...........................................................................................................9 Table 3 – FIPS-Approved Algorithm Certificates ............................................................................................................9 Table 4 – Logical Interface / Physical Interface Mapping ............................................................................................12 Table 5 – Module Services ...........................................................................................................................................14 Table 6 – Module Keys/CSPs........................................................................................................................................17 Table 7 – Power-On Self-Tests .....................................................................................................................................19 Table 8 – Conditional Self-Tests...................................................................................................................................20 Table 9 – Critical Functions Tests.................................................................................................................................20 Table 10 – Module Mode Descriptions........................................................................................................................24 List of Figures Figure 1 – Module Boundary and Interfaces Diagram .................................................................................................11 Document Version 1.2 © Symantec Page 4 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 1 Introduction 1.1 About FIPS 140 Federal Information Processing Standards Publication 140-2 — Security Requirements for Cryptographic Modules specifies requirements for cryptographic modules to be deployed in a Sensitive but Unclassified environment. The National Institute and Technology (NIST) and Communications Security Establishment of Canada (CSEC) jointly run the Cryptographic Module Validation Program (CMVP). The National Institute of Standards and Technology, National Voluntary Laboratory Accreditation Program (NVLAP) accredits independent testing labs to perform FIPS 140-2 testing; the CMVP validates test reports for modules meeting FIPS 140-2 validation. Validation is the term given to a cryptographic module that is documented and tested against the FIPS 140-2 Security Requirements for Cryptographic Modules. More information is available on the CMVP website at csrc.nist.gov/groups/STM/cmvp/index.html. 1.2 About this Document This non-proprietary Cryptographic Module Security Policy for the Control Center Cryptographic Module Version 1.0 from Symantec 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 module in a FIPS 140-2 mode of operation. The Symantec Control Center Cryptographic Module Version 1.0 may also be referred to as the “module” in this document. 1.3 External Resources The Symantec website (http://www.symantec.com) contains information on Symantec products. The Cryptographic Module Validation Program website (csrc.nist.gov/groups/STM/cmvp/documents/140- 1/1401val2012.htm) contains links to the FIPS 140-2 certificate and Symantec contact information. 1.4 Notices This document may be freely reproduced and distributed in its entirety without modification. 1.5 Acronyms The following table defines acronyms found in this document: Document Version 1.2 © Symantec Page 5 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 Acronym Term AES Advanced Encryption Standard AIX Advanced Interactive eXecutive ANSI American National Standards Institute API Application Programming Interface CBC Cipher Block Chaining CCM Counter with CBC-MAC CFB Cipher Feedback CMVP Cryptographic Module Validation Program CO Crypto Officer CSEC Communications Security Establishment Canada CSP Critical Security Parameter CTR Counter DES Data Encryption Standard DESX Data Encryption Standard XORed DH Diffie-Hellman DMZ Demilitarized Zone DRBG Deterministic Random Bit Generator DSA Digital Signature Algorithm EC Elliptic Curve ECB Electronic Code Book ECC Elliptic Curve Cryptography ECDH Elliptic Curve Diffie-Hellman ECDRBG Elliptic Curve Deterministic Random Bit Generator ECDSA Elliptic Curve Digital Signature Algorithm ECIES Elliptic Curve Integrated Encryption System EMC Electromagnetic Compatibility EMI Electromagnetic Interference FCC Federal Communications Commission FIPS Federal Information Processing Standard FTP File Transfer Protocol GCM Galois/Counter Mode GPC General Purpose Computer GUI Graphical User Interface HMAC (Keyed-) Hash Message Authentication Code HP Hewlett-Packard HTTP Hypertext Transfer Protocol HTTPS Secure Hypertext Transfer Protocol Document Version 1.2 © Symantec Page 6 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 IBM International Business Machine JAR Java Archive JRE Java Runtime Environment JVM Java Virtual Machine KAT Known Answer Test LAN Local Area Network MAC Message Authentication Code MD Message Digest MTA Mail Transfer Agent NIS Network Information Service NIST National Institute of Standards and Technology OEAP Optimal Asymmetric Encryption Padding OFB Output Feedback OS Operating System PBE Password Based Encryption PKCS Public-Key Cryptography Standards PRNG Pseudo Random Number Generator PSS Probabilistic Signature Scheme RC Rivest Cipher RACE Research and Development in Advanced Communications Technologies in Europe RIPEMD RACE Integrity Primitives Evaluation Message Digest RNG Random Number Generator RSA Rivest, Shamir, and Adleman SHA Secure Hash Algorithm SMG Symantec Messaging Gateway SMTP Simple Mail Transfer Protocol SP Special Publication SSL Secure Sockets Layer TDEA Triple Data Encryption Algorithm TDES Triple Data Encryption Algorithm TLS Transport Layer Security USB Universal Serial Bus Table 1 – Acronyms and Terms Document Version 1.2 © Symantec Page 7 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 2 Symantec Control Center Cryptographic Module Version 1.0 2.1 Solution Overview The Symantec Control Center Cryptographic Module Version 1.0 has been implemented as part of the Symantec Messaging Gateway, a secure email gateway offering. The Control Center provides management services, such as centralized administration, reporting, and monitoring. These management services are conducted via a Console, which runs within a Web Browser of a workstation connected to the module. 2.2 Cryptographic Module Specification The module, the Symantec Control Center Cryptographic Module Version 1.0, is a software shared library that provides cryptographic services required by the Control Center component of the Symantec Messaging Gateway. The module is a software-only module installed on a General Purpose Computer running Windows XP SP2. The module is comprised of two components: 1. The Symantec cryptographic module wrapper fully initializes and manages FIPS mode. This includes performing an integrity check, verifying the provider is configured, invoking the provider self tests, and reporting status. 2. An bound validated module (see certificate number 1048) provides cryptographic functions. All operations of the module occur via calls from the Symantec applications and their respective internal daemons/processes. As such there are no untrusted services calling the services of the module, as APIs are not exposed. 2.2.1 Validation Level Detail The following table lists the level of validation for each area in FIPS 140-2: 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 Document Version 1.2 © Symantec Page 8 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 FIPS 140-2 Section Title Validation Level Self-Tests 1 Design Assurance 1 Mitigation of Other Attacks 1 Table 2 – Validation Level by FIPS 140-2 Section 2.2.2 Approved Cryptographic Algorithms The module’s cryptographic algorithm implementations have received the following certificate numbers from the Cryptographic Algorithm Validation Program: Algorithm CAVP Certificate AES – ECB, CBC, OFB-128, CFB-128 bit mode for 128, 192, 669 and 256 bit key sizes AES CCM 669 AES CTR 669 DSA 251 ECDRBG Vendor Affirmed: SP 800-90 ECDSA, ECDSA-SHA1 72 FIPS 186-2 PRNG (Change Notice 1 – with and without the 389 mod q step) HMAC DRBG Vendor Affirmed: SP 800-90 HMAC-SHA-1, HMAC-SHA-224, HMAC-SHA-256, HMAC- 353 SHA-384, HMAC-SHA-512 RSA X9.31, PKCS#1 v1.5, PKCS#1 v2.1 (SHA256 – PSS) 311 SHA-1, SHA-224, SHA-256, SHA-384, SHA-512 702 TDES – ECB, CBC, CFB-64, OFB-64 mode 614 X9.82 Dual ECDRBG Vendor Affirmed: SP 800-90 1 Table 3 – FIPS-Approved Algorithm Certificates 2.2.3 Non-Approved Cryptographic Algorithms The module does not implement any non-approved algorithms in FIPS mode. The module utilizes the following non-FIPS-approved algorithm implementations that are only allowed in a non-Approved mode of operation: • • DES Random Number Generators (ANSI X9.31, MD5Random, and SHA1Random) • DESX • RC2 block cipher • Diffie-Hellman, EC-Diffie-Hellman, EC- 1 Note this implementation has received FIPS 140-2 Level 1 validation 1048: http://csrc.nist.gov/groups/STM/cmvp/documents/140-1/1401val2008.htm#1048 Document Version 1.2 © Symantec Page 9 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 • Diffie-Hellman with Cofactor (Bit lengths RC4 stream cipher for the Diffie-Hellman key agreement must • RC5 block cipher be between 1024 and 2048 bits. Diffie- Hellman shared secret provides between • PBE with SHA1 and Triple-DES 80 bits and 112 bits of encryption • strength) RSA encrypt/decrypt (allowed for key transport) • ECAES • RSA OAEP for key transport • AES-GCM • Raw RSA encryption and decryption • ECIES • RSA Keypair Generation MultiPrime (two • MD2 or three primes) • MD5 • RIPEMD160 • PBE • HMAC-MD5 2.3 Module Interfaces The figure below shows the module’s physical and logical block diagram: Document Version 1.2 © Symantec Page 10 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 Figure 1 – Module Boundary and Interfaces Diagram 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 module. 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 services that applications directly call, and the API provides functions that may be called by a referencing application (see Section 2.4 – Roles, Services, and Authentication for the list of available functions). The module distinguishes between logical interfaces by logically separating the information according to the defined API. 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 Network interface calls Data Output Output parameters of API function Network interface calls Control Input API function calls Keyboard interface, Mouse Interface Document Version 1.2 © Symantec Page 11 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 FIPS 140-2 Interface Logical Interface Module Physical Interface Status Output For FIPS mode, function calls Display controller returning status information and return codes provided by API function calls. Power None Power supply Table 4 – Logical Interface / Physical Interface Mapping As shown in Figure 1 – Module Boundary and Interfaces Diagram and Table 5 – Module Services, the output data path is provided by the data interfaces and is logically disconnected from processes performing key generation or zeroization. No key information will be output through the data output interface when the module zeroizes keys. 2.4 Roles, Services, and Authentication The module supports a Crypto Officer and a User role. The module does not support a Maintenance role. 2.4.1 Operator Services and Descriptions The services available to the User and Crypto Officer roles in the module are as follows: Document Version 1.2 © Symantec Page 12 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 Service Roles Input Output Key/CSP Access On Demand Self- Crypto None Status None test Officer Get FIPS140 User None Status None Context Get seeder User None Seed None generator Get Default User None Random None Random Number Number Generator Generator Check FIPS 140-2 User None Status None Compliance Get State User None Status None Get Mode User None Status None Set Mode User API call parameter Status None Get Role User None Status None Set Role User API call parameter Status None Check Latest Self- User None Status None Test Results Check Mode User None Status None Configure CRNG User API call parameter None None Disable library User API call parameter None None Verify DSA User API call parameter Status None Parameters Encryption User API call parameters, Status, AES Key key, plaintext ciphertext TDES Key Decryption User API call parameters, Status, AES Key key, ciphertext plaintext TDES Key Digital Signature User API call parameters, Status, RSA Private Key Generation key, message signature RSA Public Key DSA Private Key DSA Public Key Digital Signature User API call parameters, Status RSA Private Key Verification key, signature, RSA Public Key message DSA Private Key DSA Public Key Key Establishment User API call parameters, Status, RSA Private Key Primitives key key RSA Public Key DH Key ECDH Key Document Version 1.2 © Symantec Page 13 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 Service Roles Input Output Key/CSP Access Key Generation User API call parameters Status, AES Key key/key TDES Key pair DSA Private Key DSA Public Key RSA Private Key RSA Public Key DH Key HMAC DRBG Key HMAC with SHA-1 and SHA-2 Keys HMAC DRBG Key MAC User API call parameters Status, HMAC with SHA-1 and SHA-2 Keys key, message hash Hashing User API call parameters, Status, None message hash Random Number User API call parameters Status, FIPS 186-2 PRNG Seed Generation random FIPS 186-2 PRNG Seed Key bits EC DRBG Entropy EC DRBG S Value (Seed Length) EC DRBG init_seed HMAC DRBG Entropy HMAC DRBG V Value (Seed Length) HMAC DRBG Key HMAC DRBG init_seed Zeroization Crypto API call parameters Status All Officer User Table 5 – Module Services 2.4.2 Operator Authentication As required by FIPS 140-2, there are two roles (a Crypto Officer role and User role) in the module that operators may assume. As allowed by Level 1, the module does not support authentication to access services. 2.5 Physical Security This section of requirements does not apply to this module. The module is a software-only module and does not implement any physical security mechanisms. 2.6 Operational Environment The module operates on a general purpose computer (GPC) running on a modern version of Microsoft Windows as a general purpose operating system (GPOS). For FIPS purposes, the module is running on Document Version 1.2 © Symantec Page 14 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 Microsoft Windows in single user mode and does not require any additional configuration to meet the FIPS requirements. The module was tested on the following platforms: • Microsoft Windows XP SP2 (32-bit) with Sun JRE 1.4.2 • Microsoft Windows XP SP2 (32-bit) with Sun JRE 1.5 • Microsoft Windows XP SP2 (32-bit) with Sun JRE 1.6. 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 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. Document Version 1.2 © Symantec Page 15 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 2.7 Cryptographic Key Management The table below provides a complete list of Critical Security Parameters used within the module: Storage Storage Input Output Keys and CSPs Zeroization Access Locations Method Method Method sensitiveData.clear() AES Key RAM Plaintext API call None CO: RWD power cycle parameter U: RWD sensitiveData.clear() TDES Key RAM Plaintext API call None CO: RWD power cycle parameter U: RWD sensitiveData.clear() HMAC with SHA RAM Plaintext API call None CO: RWD power cycle (1, 224, 256, parameter 384, 512) U: RWD sensitiveData.clear() ECDH Key RAM Plaintext None API call CO: RWD power cycle parameter U: RWD sensitiveData.clear() DH Private Key RAM Plaintext None API call CO: RWD power cycle parameter U: RWD sensitiveData.clear() DH Public Key RAM Plaintext None API call CO: RWD power cycle parameter U: RWD sensitiveData.clear() RSA Integrity RAM Plaintext None API call CO: RWD power cycle Check Key parameter U: RWD sensitiveData.clear() RSA Private Key RAM Plaintext API call None CO: RWD power cycle parameter U: RWD sensitiveData.clear() RSA Public Key RAM Plaintext API call CO: RWD None power cycle parameter U: RWD sensitiveData.clear() DSA Private Key RAM Plaintext API call CO: RWD None power cycle parameter U: RWD sensitiveData.clear() DSA Public Key RAM Plaintext API call CO: RWD None power cycle parameter U: RWD sensitiveData.clear() FIPS 186-2 RAM Plaintext None CO: RWD None power cycle PRNG Seed U: RWD sensitiveData.clear() FIPS 186-2 RAM Plaintext None CO: RWD None power cycle PRNG Seed Key U: RWD Document Version 1.2 © Symantec Page 16 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 Storage Storage Input Output Keys and CSPs Zeroization Access Locations Method Method Method sensitiveData.clear() EC DRBG RAM Plaintext None CO: RWD None power cycle Entropy U: RWD sensitiveData.clear() EC DRBG S RAM Plaintext None CO: RWD None power cycle Value (Seed Length) U: RWD sensitiveData.clear() EC DRBG RAM Plaintext None CO: RWD None power cycle init_seed U: RWD sensitiveData.clear() HMAC DRBG RAM Plaintext None CO: RWD None power cycle Entropy U: RWD sensitiveData.clear() HMAC DRBG V RAM Plaintext None CO: RWD None power cycle Value (Seed Length) U: RWD sensitiveData.clear() HMAC DRBG RAM Plaintext None CO: RWD None power cycle Key U: RWD sensitiveData.clear() HMAC DRBG RAM Plaintext None CO: RWD None power cycle init_seed U: RWD R = Read W = Write D = Delete Table 6 – Module Keys/CSPs 2.7.1 Key Generation The module supports the generation of the DSA, RSA, and Diffie-Hellman (DH) and ECC public and Private Keys. The module also uses a Federal Information processing Standard 186-2, Digital Signature Standard (FIPS 186-2) Approved random number generator and a FIPS Approved Dual Elliptic Curve Deterministic Random Bit Generator (ECDRBG SP 800-90) for generating asymmetric and symmetric keys. 2.7.2 Key Entry, Output, and Protection All keys and CSPs reside on memory internally allocated by the module and can only be output using the exposed APIs. The module does not support key entry or output from the physical boundary. The operating system and the JRE protect the memory and process space from unauthorized access. 2.7.3 Key/CSP Storage and Zeroization The module does not provide long-term cryptographic key storage. Storage of keys is the responsibility of the user of the module. All keys and CSPs are automatically zeroized by the module at the end of their Document Version 1.2 © Symantec Page 17 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 lifetime. The user can ensure destruction of sensitive data by calling sensitiveData.clear(). Powercycling the module will also zeroize keys. Document Version 1.2 © Symantec Page 18 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 2.8 Self-Tests The module performs power-up and conditional self-tests to ensure proper operation. If a power-up self- test fails, the module is disabled and throws a SecurityException. The module can only leave the disabled state by restarting the Java Virtual Machine. If a conditional self-test fails, the module throws a SecurityException and aborts the operation. A conditional self-test failure does not disable the module. In event of a self-test failure, the module provides the following message: Could not initialize class com.rsa.jsafe.provider.JsafeJCE. The following sections discuss the module’s self-tests in more detail. 2.8.1 Power-On Self-Tests The module implements the following power-on self-tests: TYPE DETAIL Software Integrity Check RSA Digital Signature Verification • AES Known Answer Tests • DES • ECDRBG • ECDSA • FIPS186 PRNG • HMAC DRBG • HMAC SHA-1 • HMAC SHA-224 • HMAC SHA-256 • HMAC SHA-384 • HMAC SHA-512 • SHA-1 • SHA-224 • SHA-256 • SHA-384 • SHA-512 • TDES • DSA Pair-wise Consistency Tests • ECDSA • RSA Table 7 – Power-On Self-Tests Power-on self-tests are executed automatically when the module is loaded into memory. 2.8.2 Conditional Self-Tests The module implements the following conditional self-tests: Document Version 1.2 © Symantec Page 19 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 TYPE DETAIL • DSA Pair-wise Consistency Tests • ECDSA • RSA Continuous RNG Tests Performed on all approved RNGs Table 8 – Conditional Self-Tests 2.8.3 Critical Functions Tests The module implements the following critical functions tests: TYPE DETAIL • Known Answer MD5 and HMAC-MD5 when operating in FIPS140_SSL_MODE Tests Table 9 – Critical Functions Tests 2.9 Mitigation of Other Attacks As a defense against timing attacks, RSA key operations implement blinding by default. By using the blinding method, it is ensured that the decryption time is not correlated to the input ciphertext; as a consequence, attempts of timing attacks are thwarted. Blinding is implemented through blinding modes with the following available options: • Blinding mode off • Blinding mode with no update (the blinding value is squared for each operation) • Blinding mode with full update (a new blinding value is used for each operation). Document Version 1.2 © Symantec Page 20 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 3 Guidance and Secure Operation 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. 3.1 Initial Setup The Symantec cryptographic module wrapper fully initializes and manages FIPS mode. This includes performing an integrity check, verifying the provider is configured, performing the provider self tests, and reporting status. When the module is loaded by the host application, the FIPSModeManager.startFIPSMode() function is called to initialize the module in a FIPS-approved mode of operation. This function checks the integrity of the module, runs all power-up self-tests, and, if successful, sets the module in the FIPS140_SSL_MODE by default. The operator can change to the other FIPS approved mode by using the setMode() API call with the argument FIPS140_MODE provided the sensitiveData.clear() function is called first in order to zeroize all keys/CSPs. The initialization function records the following message to a log file: System running in FIPS 140 mode. The module uses JAR-signing to check the integrity of the module (the consuming application provides the signing certificate for the JARs of the module). Upon failure of either the software integrity test or any of the self-tests, the function throws an exception as status output and disables the library. Additionally, the module logs the following message: FIPS initialization failed, FIPS cryptographic services disabled 3.2 Crypto Officer Guidance 3.2.1 Software Packaging and OS Requirements The module must be installed on a General Purpose Operating System running Windows XP SP2 (32-bit) in single user mode. To configure single-user mode, the following must be disabled: • Remote registry and remote desktop services • Remote assistance • Guest accounts • Server and terminal services Document Version 1.2 © Symantec Page 21 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 Contact Microsoft support for configuration details; specific configuration steps are beyond the scope of this document. 3.2.2 Enabling FIPS Mode No specific configuration is required to enforce FIPS mode beyond the FIPSModeManager.startFIPSMode(FIPS140_SSL_MODE) or FIPSModeManager.startFIPSMode(FIPS140_MODE) function. Status can be verified by calling the FIPSModeManager.isInFIPS140Mode() function, which returns true if the module is in a FIPS- Approved mode and false if in a non-Approved mode. 3.2.3 Management Procedures The Crypto Officer can run the self-tests at any time by calling the runSelfTests() function. 3.2.4 Additional Rules of Operation 1. All host system components that can contain sensitive cryptographic data (main memory, system bus, disk storage) must be located in a secure environment. 2. The writable memory areas of the Module (data and stack segments) are accessible only by the calling application so that the Module is in "single user" mode, i.e. only the calling application has access to that instance of the Module. 3. Imported keys should be generated via FIPS-approved manner. 4. The operating system is responsible for multitasking operations so that other processes cannot access the address space of the process containing the Module. 5. the operator must invoke the sensitiveData.clear() method before changing the module mode in order to ensure all keys and CSPs are zeroized 3.3 User Guidance 3.3.1 General Guidance In order to use the module in FIPS 140 mode of operation, the User must only use the approved algorithms as listed in Table 3 – FIPS-Approved Algorithm Certificates. The requirements for using the approved algorithms in a FIPS 140 mode of operation are as follows: • The bit-length for a DSA key pair must be 1024 bits. • Random Number Generators must be seeded with values of at least 160 bits in length. • HMAC-DRBG random data requests must be less than 219 bits in length. Document Version 1.2 © Symantec Page 22 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 • Bit lengths for an RSA key pair must be between 1024 and 4096 bits in multiples of 512. When used for transporting keys and using the minimum allowed modulus size, the minimum strength of encryption provided is 80 bits. • Bit lengths for the Diffie-Hellman key agreement must be between 1024 and 2048 bits. Diffie-Hellman shared secret provides between 80 bits and 112 bits of encryption strength. Using the minimum allowed modulus size, the minimum strength of encryption provided is 80 bits. • Bit lengths for an HMAC key must be one half of the block size. • If RSA key generation is requested in FIPS140 mode, the toolkit always uses the FIPS140-approved RSA X9.31 key generation procedure. Key wrapping methodology provides between 80 and 150 bits of encryption strength. • EC key pairs must have domain parameters from the set of NIST-recommended named curves (P192, P224, P256, P384, P521, B163, B233, B283, B409, B571, K163, K233, K283, K409, and K571). The domain parameters can be specified by name or can be explicitly defined. The module limits possible curves for Dual EC DRBG to P-256, P-384, and P-521 in accordance with SP 800-90. • EC Diffie-Hellman primitives must use curve domain parameters from the set of NIST-recommended named curves listed above. The domain parameters can be specified by name, or can be explicitly defined. When using the NIST-recommended curves, the computed Diffie-Hellman shared secret provides between 80 bits and 256 bits of encryption strength. • When using an Approved RNG to generate keys, the RNG′s requested security strength must be at least as great as the security strength of the key being generated. Additionally, operators must take care to zeroize CSPs when they are no longer needed using sensitiveData.clear(). 3.4 Role Changes If the operator needs to operate the module in different roles, then the operator must ensure that all instantiated cryptographic objects are destroyed before changing from the User role to the Crypto Officer role. 3.5 Bound Module Modes of Operation The module supports five modes of operation: • FIPS140_MODE Document Version 1.2 © Symantec Page 23 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 • FIPS140_SSL_MODE • NON_FIPS140_MODE • FIPS140_ECC_MODE • FIPS_SSL_ECC_MODE The following table lists the values that can be used in the setMode() method to change the mode of operation, and the algorithms available in that mode. Value in setMode() Available Algorithms FIPS140_MODE Provides all cryptographic algorithms listed in Table 3 – FIPS-Approved Algorithm Certificates. The default FIPS 140-2 approved random number generator is the FIPS 186-2 PRNG. FIPS140_SSL_MODE Provides all cryptographic algorithms listed in Table 3 – FIPS-Approved Algorithm Certificates plus the MD5 FIPS 140-2 approved if used message digest. with TLS protocol implementations This mode can be used in the context of the key establishment phase in the TLSv1, TLSv1.1 and TLSv1.2 This is the default mode for the protocols. For more information, see section 7.1 Symantec Control Center Acceptable Key Establishment Protocols in Cryptographic Module Version Implementation Guidance for FIPS PUB 140-2 and the 1.0. Cryptographic Module Validation Program. The implementation guidance disallows the use of the SSLv2 and SSLv3 versions. Cipher suites that include non-FIPS 140-2-approved algorithms are unavailable. This mode allows implementations of the TLS protocol to operate the module in a FIPS 140-2-compliant manner with the FIPS 186-2 PRNG as the default. FIPS140_ECC_MODE Provides all available algorithms listed in Section 2.2.2 and Section 2.2.3. Not FIPS 140-2 approved FIPS140_SSL_ECC_MODE Provides the same algorithms as FIPS140_MODE, plus ECAES and ECIES. The random number generator in this Not FIPS 140-2 approved mode is the Dual ECDRBG. NON_FIPS140_MODE Provides the same algorithms as FIPS140_SSL_MODE, plus ECAES and ECIES. The random number generator Not FIPS 140-2 approved in this mode is the Dual ECDRBG. The same restrictions with respect to protocol versions and cipher suites as in FIPS140_SSL_MODE apply. Table 10 – Module Mode Descriptions Once the module is operating in a FIPS-Approved mode, the setMode() function can only be used to change to a non-FIPS Approved mode. In order to return to a FIPS-Approved mode, the library must be halted and then reloaded (by either calling the relevant services or power cycling). Document Version 1.2 © Symantec Page 24 of 25 FIPS 140-2 Non-Proprietary Security Policy: Symantec Control Center Cryptographic Module Version 1.0 3.6 Bound Module Random Number Generator In FIPS 140-2 modes, the module provides a default RNG. For the FIPS140_MODE and FIPS140_SSL_MODE, the module provides a FIPS 186-2 Pseudo Random Number Generator (PRNG) and uses this PRNG internally by default in all operations that require the generation of random numbers. For FIPS140_ECC_MODE and FIPS140_SSL_ECC_MODE, the module implements an ECDRBG internally by default. Users in all modes (Approved or non-Approved) can select either the FIPS 186-2, ECDRBG or HMAC DRBG when creating a RNG object and setting this object against the operation requiring random number generation (for example key generation). However, whenever DSA is used, the RNG used internally will always be the FIPS 186-2 Change Notice 1 Option 1 with mod Q PRNG. Note: When using JRE 1.4.2, the Crypto-J toolkit does not check that the type of the random number generator selected is FIPS 140-2 approved. To ensure FIPS140-2 compatibility, the application should ensure a random number generator from Table 3 has been selected. Document Version 1.2 © Symantec Page 25 of 25