LEVEL 2 NON-PROPRIETARY SECURITY POLICY FOR Lunaź PCI-e Cryptographic Module (Used as a Standalone Device and as an Embedded Device in Lunaź SA that includes configurations Cloning [CL] and Key Export [CKE]) DOCUMENT NUMBER: CR-4123 REVISION LEVEL: 1 REVISION DATE: July 7, 2015 SECURITY LEVEL: Non-proprietary © Copyright 2011-2015 SafeNet, Inc. ALL RIGHTS RESERVED This document may be freely reproduced and distributed whole and intact including this copyright notice. SafeNet, Inc. reserves the right to make changes in the product or its specifications mentioned in this publication without notice. Accordingly, the reader is cautioned to verify that information in this publication is current before placing orders. The information furnished by SafeNet, Inc. in this document is believed to be accurate and reliable. However, no responsibility is assumed by SafeNet, Inc. for its use, or for any infringements of patents or other rights of third parties resulting from its use. Document is uncontrolled when printed. CR-4123 Revision Level: 1 PREFACE This document deals only with operations and capabilities of the Lunaź PCI-e Cryptographic Module in the technical terms of a FIPS 140-2 cryptographic module security policy. More information is available on the Luna PCI-e and other SafeNet products from the following sources: The SafeNet internet site contains information on the full line of security products at http://www.safenet-inc.com/. For answers to technical or sales related questions please refer to the contacts listed below or on the SafeNet internet site at http://www.safenet-inc.com/company/contact.asp. SafeNet Contact Information: SafeNet, Inc. (Corporate Headquarters) 4690 Millennium Drive Belcamp, MD 21017 Telephone: 410-931-7500 TTY Users: 800-735-2258 Fax: 410-931-7524 SafeNet Canada, Inc. 20 Colonnade Road Suite 200 Ottawa, Ontario K2E 7M6 Telephone: +1 613 723 5077 Fax: +1 613 723 5079 SafeNet Sales: U.S. (800) 533-3958 International +1 (410) 931-7500 SafeNet Technical Support: U.S. (800) 545-6608 International +1 (410) 931-7520 SafeNet Customer Service: U.S. (866) 251-4269 EMEA +44 (0) 1276 60 80 00 APAC 852 3157 7111 Document is Uncontrolled When Printed. Page i of iv CR-4123 Revision Level: 1 TABLE OF CONTENTS Section Title Page 1. INTRODUCTION ..................................................................................................................................... 1 1.1 Purpose ............................................................................................................................................ 1 1.2 Scope ............................................................................................................................................... 1 1.3 Overview .......................................................................................................................................... 1 2. SECURITY POLICY MODEL INTRODUCTION ..................................................................................... 2 2.1 Functional Overview ......................................................................................................................... 2 2.2 Assets to be Protected ..................................................................................................................... 3 2.3 Operating Environment .................................................................................................................... 3 3. SECURITY POLICY MODEL DESCRIPTION ........................................................................................ 4 3.1 Operational Policy ............................................................................................................................ 4 3.1.1 Module Capabilities................................................................................................................... 5 3.1.2 Partition Capabilities ................................................................................................................. 6 3.2 FIPS-Approved Mode ..................................................................................................................... 10 3.3 Description of Operator, Subject and Object ................................................................................. 10 3.3.1 Operator .................................................................................................................................. 10 3.3.2 Roles ....................................................................................................................................... 10 3.3.3 Account Data .......................................................................................................................... 11 3.3.4 Subject .................................................................................................................................... 11 3.3.5 Operator ­ Subject Binding ..................................................................................................... 12 3.3.6 Object ...................................................................................................................................... 12 3.3.7 Object Operations ................................................................................................................... 12 3.4 Identification and Authentication .................................................................................................... 13 3.4.1 Authentication Data Generation and Entry ............................................................................. 13 3.4.2 Limits on Login Failures .......................................................................................................... 13 3.5 Access Control ............................................................................................................................... 13 3.5.1 Object Protection .................................................................................................................... 15 3.5.2 Object Re-use ......................................................................................................................... 15 3.5.3 Privileged Functions................................................................................................................ 15 3.6 Cryptographic Material Management ............................................................................................. 16 3.7 Cryptographic Operations .............................................................................................................. 17 3.8 Self-tests ........................................................................................................................................ 23 Document is Uncontrolled When Printed. Page ii of iv CR-4123 Revision Level: 1 3.9 Firmware Security .......................................................................................................................... 24 3.10 Physical Security ........................................................................................................................ 24 3.11 EMI / EMC .................................................................................................................................. 25 3.12 Fault Tolerance ........................................................................................................................... 25 3.13 Mitigation of Other Attacks ......................................................................................................... 25 LIST OF TABLES Table Title Page Table 1-1. FIPS 140-2 Security Requirements ............................................................................................. 1 Table 3-1. Module Capabilities and Policies ................................................................................................ 7 Table 3-2. Partition Capabilities and Policies ............................................................................................... 8 Table 3-3. Object Attributes Used in Access Control Policy Enforcement ................................................. 14 Table 3-4. Approved and Allowed Security Functions for SafeXcel 3120 .................................................. 17 Table 3-5. Approved and Allowed Security Functions for SafeXcel 1746 .................................................. 18 Table 3-6. Approved and Allowed Security Functions Firmware Implementation ...................................... 19 Table 3-8. Module Self-Tests ..................................................................................................................... 23 Table A-1. Roles and Required Identification and Authentication ................................................................ 1 Table A-2. Strengths of Authentication Mechanisms ................................................................................... 1 Table A-3. Services Authorized for Roles .................................................................................................... 1 Table A-4. Access Rights within Services .................................................................................................... 2 Table A-5 Keys and Critical Security Parameters Used in the Module ........................................................ 3 LIST OF FIGURES Figure Title Page Figure 2-1. Luna PCI-e Cryptographic Module ............................................................................................. 3 Figure 2-2. Luna SA with PCI-e Installed ..................................................................................................... 3 LIST OF APPENDICES Appendix Title Page APPENDIX A. SECURITY POLICY CHECKLIST TABLES ..................................................................... 1 APPENDIX B. LIST OF TERMS, ABBREVIATIONS AND ACRONYMS ................................................. 1 Document is Uncontrolled When Printed. Page iii of iv CR-4123 Revision Level: 1 - THIS PAGE LEFT BLANK INTENTIONALLY - Document is Uncontrolled When Printed. Page iv of iv CR-4123 Revision Level: 1 1. INTRODUCTION 1.1 Purpose This document describes the security policies enforced by SafeNet Inc.'s Lunaź PCI-e cryptographic module1. The Luna PCI-e cryptographic module can be used as a standalone device or embedded in the Luna SA appliance in the following configurations: o Cloning [CL]; and o Key Export [CKE]. This document applies to Hardware Versions VBD-05-0100, VBD-05-0101, and VBD-05-01032 with Firmware Versions 6.2.1 and 6.2.5. 1.2 Scope The security policies described in this document apply to the Password Authentication (Level 2) configuration of the Luna PCI-e cryptographic module only and do not include any security policy that may be enforced by the host appliance or server. 1.3 Overview The cryptographic module meets all level 2 requirements for FIPS 140-2 as summarized in Table 1-1. Table 1-1. FIPS 140-2 Security Requirements Security Requirements Section Level Cryptographic Module Specification 2 Cryptographic Module Ports and Interfaces 2 Roles and Services and Authentication 2 Finite State Machine Model 2 Physical Security 3 Operational Environment N/A Cryptographic Key Management 2 EMI/EMC 3 Self-Tests 2 Design Assurance 3 Mitigation of Other Attacks 2 Cryptographic Module Security Policy 2 1Also known as the K6 or the cryptographic module. 2From the perspectives of functionality and physical security, hardware versions VBD-05-0100, VBD-05-0101, and VBD- 05-0103 are equivalent. Document is Uncontrolled When Printed. Page 1 of 26 CR-4123 Revision Level: 1 2. SECURITY POLICY MODEL INTRODUCTION 2.1 Functional Overview The Luna PCI-e cryptographic module is a multi-chip embedded hardware cryptographic module in the form of a PCI-Express card that typically resides within a custom computing or secure communications appliance. The cryptographic module is contained in its own secure enclosure that provides physical resistance to tampering. The cryptographic boundary of the module is defined to encompass all components inside the secure enclosure on the PCI-e card. Figure 2-1 depicts the Luna PCI-e cryptographic module and Figure 2-2 depicts the Luna SA appliance, with the Luna PCI-e module installed. A module is explicitly configured to operate in either FIPS Level 2 or FIPS Level 3 mode, and may be configured to operate in a non-FIPS mode of operation. Configuration in FIPS mode enforces the use of FIPS-approved algorithms only. Configuration in FIPS Level 2 mode requires the use of passwords for user authentication. Note that selection of FIPS or non-FIPS mode of operation occurs at initialization of the cryptographic module, and cannot be changed during normal operation without zeroizing the module's non-volatile memory. The cryptographic module is accessed directly (i.e., electrically) via the PCI-Express communications interface. The module provides secure key generation and storage for symmetric keys and asymmetric key pairs along with symmetric and asymmetric cryptographic services. Access to key material and cryptographic services for users and user application software is provided through the PKCS #11 programming interface. A module may host multiple user definitions or "partitions" that are cryptographically separated and are presented as "virtual tokens" to user applications. Each partition must be separately authenticated in order to make it available for use. This Security Policy is specifically written for the Luna PCI-e cryptographic module in a Password Authentication (FIPS Level 2) configuration. Cryptographic Boundary Document is Uncontrolled When Printed. Page 2 of 26 CR-4123 Revision Level: 1 Figure 2-1. Luna PCI-e Cryptographic Module Figure 2-2. Luna SA with PCI-e Installed 2.2 Assets to be Protected The module is designed to protect the following assets: 1. User-generated private keys, 2. User-generated secret keys, 3. Cryptographic services, and 4. Module security critical parameters. 2.3 Operating Environment The module is assumed to operate as a key management and cryptographic processing card within a security appliance that may operate in a TCP/IP network environment. The host appliance may be used in an internal network environment when key management security is a primary requirement. It may also be deployed in environments where it is used primarily as a cryptographic accelerator, in which case it will often be connected to external networks. It is assumed that the appliance includes an internal host computer that runs a suitably secured operating system, with an interface for use by locally connected or remote administrators and an interface to provide access to the module's cryptographic functions by application services running on the host computer. It is also assumed that only known versions of the application services are permitted to run on the internal host computer of the appliance. It is assumed that trained and trustworthy administrators are responsible for the initial configuration and ongoing maintenance of the appliance and the cryptographic module. It is assumed that physical access to the cryptographic module will be controlled, and that connections will be controlled either by accessing the module via a direct local connection or by accessing it via remote connections controlled by the host operating system and application service. Document is Uncontrolled When Printed. Page 3 of 26 CR-4123 Revision Level: 1 3. SECURITY POLICY MODEL DESCRIPTION This section provides a narrative description of the security policy enforced by the module, in its most general form. It is intended both to state the security policy enforced by the module and to give the reader an overall understanding of the security behaviour of the module. The detailed functional specification for the module is provided elsewhere. The security behaviour of the cryptographic module is governed by the following security policies: Operational Policy Identification and Authentication Policy Access Control Policy Cryptographic Material Management Policy Firmware Security Policy Physical Security Policy These policies complement each other to provide assurance that cryptographic material is securely managed throughout its life cycle and that access to other data and functions provided by the product is properly controlled. Configurable parameters that determine many of the variable aspects of the module's behaviour are specified by the higher level Operational Policy implemented at two levels: the cryptographic module as a whole and the individual partition. This is described in section 3.1. The Identification and Authentication policy is crucial for security enforcement and it is described in section 3.4. The access control policy is the main security functional policy enforced by the module and is described in section 3.5, which also describes the supporting object re-use policy. Cryptographic Material Management is described in section 3.6. Firmware security, physical security and fault tolerance are described in sections 3.8 through 3.12. 3.1 Operational Policy The module employs the concept of the Operational Policy to control the overall behaviour of the module and each of the partitions within. At each level, either the module or the partition is assigned a fixed set of "capabilities" that govern the allowed behaviour of the module or individual partition. The SO establishes the Operational Policy by enabling/disabling or refining the corresponding policy elements to equate to or to be more restrictive than the pre-assigned capabilities. The set of configurable policy elements is a proper subset of the corresponding capability set. That is, not all elements of the capability set can be refined. Which of the capability set elements have corresponding policy set elements is pre-determined based on the "personality" of the partition or manufacturing restrictions placed on the module. For example, the module capability setting for "domestic algorithms and key sizes available" does not have a corresponding configurable policy element. Document is Uncontrolled When Printed. Page 4 of 26 CR-4123 Revision Level: 1 There are also several fixed settings that do not have corresponding capability set elements. These are elements of the cryptographic module's behaviour that are truly fixed and, therefore, are not subject to configuration by the SO. The specific settings3 are the following: Allow/disallow non-sensitive secret keys ­ fixed as disallow. Allow/disallow non-sensitive private keys ­ fixed as disallow. Allow/disallow non-private secret keys ­ fixed as disallow. Allow/disallow non-private private keys ­ fixed as disallow. Allow/disallow secret key creation through the create objects interface ­ fixed as disallow. Allow/disallow private key creation through the create objects interface ­ fixed as disallow. Further, policy set elements can only refine capability set elements to more restrictive values. Even if an element of the policy set exists to refine an element of the capability set, it may not be possible to assign the policy set element to a value other than that held by the capability set element. Specifically, if a capability set element is set to allow, the corresponding policy element may be set to either enable or disable. However, if a capability set element is set to disallow, the corresponding policy element can only be set to disable. Thus, an SO cannot use policy refinement to lift a restriction set in a capability definition. 3.1.1 Module Capabilities The following is the set of capabilities supported at the module level: Allow/disallow non-FIPS algorithms available. Allow/disallow password authentication (allowed and must be enabled in Level 2 configuration). Allow/disallow partition groups. Allow/disallow cloning. Allow/disallow masking4. Allow/disallow unmasking. Allow/disallow Korean algorithms5 Allow/disallow SO reset of partition PIN. Allow/disallow network replication. Allow/disallow forcing change of User authentication data. Allow/disallow Acceleration 3 The nomenclature used for these settings is based on PKCS#11. 4 A SafeNet term used to describe the encryption of a key for use only within a SafeNet cryptographic module. 5 Korean algorithms include SEED, ARIA, and KCDSA. Document is Uncontrolled When Printed. Page 5 of 26 CR-4123 Revision Level: 1 3.1.2 Partition Capabilities The following is the set of capabilities supported at the partition level. All capability elements described as "allow/disallow some functionality" are Boolean values where false (or "0") equates to disallow the functionality and true (or "1") equates to allow the functionality. The remainder of the elements are integer values of the indicated number of bits. Allow/disallow changing of certain key attributes once a key has been created. Allow/disallow multipurpose keys. Allow/disallow operation without RSA blinding. Allow/disallow signing operations with non-local keys. Allow/disallow raw RSA operations. Allow/disallow private key wrapping Allow/disallow private key unwrapping. Allow/disallow secret key wrapping Allow/disallow secret key unwrapping Allow/disallow RSA signing without confirmation Number of failed Partition User logins allowed before partition is locked out/cleared (default is 10; SO can configure it to be 3 <= N <= 10) The following capabilities are configurable only if the corresponding capability/policy is allowed and enabled at the module level: Allow/disallow private key cloning. Allow/disallow secret key cloning. Allow/disallow private key masking.6 Allow/disallow secret key masking. Allow/disallow private key unmasking. Allow/disallow secret key unmasking. The following tables summarize the module and partition capabilities, showing typical capability settings for Luna PCI-e cryptographic modules used in the following configurations: o Key Export (CKE), and o Cloning (CL); and An X indicates the default capability setting for each configuration of the module. Greyed-out rows indicate that the corresponding capability setting is not used as a default for any module configuration. 6Masking is performed using a FIPS-approved encryption algorithm with a key that is held only by the cryptographic module. Document is Uncontrolled When Printed. Page 6 of 26 CR-4123 Revision Level: 1 Table 3-1. Module Capabilities and Policies Description Capability CKE CL Policy Comments Enable SO can configure the policy to enable or disable the availability of non-FIPS Allow X X Non-FIPS algorithms Disable algorithms at the time the cryptographic module is initialized. available The cryptographic module must operate using FIPS-approved algorithms Disallow Disable only. Must be disabled in FIPS mode Enable SO can configure the policy to enable or disable the use of passwords Allow X X Password Disable without trusted path for authentication. authentication The cryptographic module must operate using the trusted path and module- Disallow Disable generated secrets for authentication. Enable SO can configure the policy to enable or disable the availability of the Allow X X Cloning Disable cloning function for the cryptographic module as a whole. Disallow Disable The cryptographic module must operate without cloning. Enable SO can configure the policy to enable or disable the availability of the Allow Masking Disable masking function for the cryptographic module as a whole. Disallow X X Disable The cryptographic module must operate without masking. Enable SO can configure the policy to enable or disable the availability of the Allow X X Unmasking Disable unmasking function for the cryptographic module as a whole. Disallow Disable The cryptographic module must operate without unmasking. Enable SO can configure the policy to enable or disable the availability of Korean Allow Korean algorithm7 Disable algorithms for the cryptographic module as a whole. Disallow X X Disable The cryptographic module must operate without Korean algorithms. Enable SO can configure the policy to enable a partition to be reset if it is locked as Allow X X Disable a result of exceeding the maximum number of failed login attempts. Partition reset A partition cannot be reset and must be re-created as a result of exceeding Disallow Disable the maximum number of failed login attempts. Enable SO can configure the policy to enable the replication of the module's key Allow X Network Replication Disable material over the network to a second module. Disallow X Disable The module cannot be replicated over the network. Enable This capability is set prior to shipment to the customer. If enabled, it forces Force user PIN Allow X X Disable the user to change the PIN upon first login. change Disallow Disable The user is never forced to change PIN on first login. Enable This capability is set prior to shipment to the customer. It allows the use of Allow X X Acceleration Disable the onboard crypto accelerator. Disallow Disable Remote authentication cannot be enabled for the module. 7 Korean algorithms are only available upon customer request. Document is Uncontrolled When Printed. Page 7 of 26 CR-4123 Revision Level: 1 Table 3-2. Partition Capabilities and Policies Description Prerequisite Capability KE CL Policy Comments Enable SO can configure the policy to enable the use of keys for more than one purpose, e.g., an RSA private key Allow X X Multipurpose keys N/A Disable could be used for digital signature and for decryption for key transport purposes. Disallow Disable Keys can only be used for a single purpose. Enable SO can configure the policy to enable changing key Allow X X attributes. Change attributes N/A Disable Disallow Disable Key attributes cannot be changed. SO can configure the use of blinding mode for RSA operations. Blinding mode is used to defeat timing Enable analysis attacks on RSA digital signature operations, Operate without RSA Allow X X N/A but it also imposes a significant performance penalty blinding on the signature operations. Disable Disallow Disable Blinding mode is not used for RSA operations. Enable SO can configure the ability to sign with externally- Allow X X generated private keys that have been imported into Signing with non-local Disable the partition. N/A keys Externally-generated private keys cannot be used for Disallow Disable signature operations. Enable SO can configure the ability to use raw (no padding) Allow X X format for RSA encrypt/decrypt operations for key Raw RSA operations N/A Disable transport purposes. Disallow Disable Raw RSA cannot be used. Enable SO can configure the ability to wrap private keys for Allow X export. Disable Private key wrapping N/A Private keys cannot be wrapped and exported from Disallow X Disable the partition. Enable SO can configure the ability to unwrap private keys Allow X X and import them into the partition. Disable Private key unwrapping N/A Private keys cannot be unwrapped and imported into Disallow Disable the partition. Enable SO can configure the ability to wrap secret keys and Allow X X export them from the partition. Disable Secret key wrapping N/A Secret keys cannot be wrapped and exported from Disallow Disable the partition. Document is Uncontrolled When Printed. Page 8 of 26 CR-4123 Revision Level: 1 Description Prerequisite Capability KE CL Policy Comments Enable SO can configure the ability to unwrap secret keys Allow X X and import them into the partition. Disable Secret key unwrapping N/A Secret keys cannot be unwrapped and imported into Disallow Disable the partition. Cloning enabled, Enable SO can configure the ability to clone private keys from Trusted path Allow X one module and partition to another. Private key cloning Disable authentication enabled Disallow X Disable Private keys cannot be cloned. Cloning enabled, Enable SO can configure the ability to clone secret keys from Trusted path Allow X X one module and partition to another. Secret key cloning Disable authentication enabled Disallow Disable Secret keys cannot be cloned. Enable SO can configure the ability to mask private keys for Allow storage outside the partition. Disable Private key masking Masking enabled Private keys cannot be masked for storage outside Disallow X X Disable the partition. Enable SO can configure the ability to mask secret keys for Allow storage outside the partition. Disable Secret key masking Masking enabled Secret keys cannot be masked for storage outside the Disallow X X Disable partition. Enable This setting allows unmasking of private keys. Secret key cloning Allow X X Private key unmasking Disable enabled Disallow Disable Private keys cannot be unmasked Enable This setting allows unmasking of secret keys. Secret key cloning Allow X X Secret key unmasking Disable enabled Disallow Disable Secret keys cannot be unmasked User password The SO can configure the minimum password length Minimum / maximum authentication 7-16 characters Configurable for Level 2 modules, but minimum length must always password length enabled be >= 7. Number of failed Partition Minimum:1, The SO can configure; default maximum value is 10. N/A Configurable User logins allowed Maximum:10 Document is Uncontrolled When Printed. Page 9 of 26 CR-4123 Revision Level: 1 3.2 FIPS-Approved Mode The SO controls operation of a module in FIPS-approved mode, as defined by FIPS PUB 140-2, by enabling or disabling the appropriate Module Policy settings (assuming each is allowed at the Module Capability level). To operate in FIPS-approved mode, the following policy settings are required: "Non-FIPS Algorithms Available" must be disabled. Additionally, for operation at FIPS Level 2: "Password authentication" must be enabled (implies that trusted path authentication is disallowed or disabled), and Raw RSA operations can only be used for key transport in FIPS mode. The policy setting for "Password authentication" may also be configured in the case where "Non-FIPS Algorithms Available" has been enabled. If the SO selects policy options (i.e., enables "Non-FIPS Algorithms Available") that would place a module in a mode of operation that is not approved, a warning is displayed and the SO is prompted to confirm the selection. The SO can confirm FIPS mode of operation by matching the displayed capability and policy settings to those described in Sections 3.1 and 3.2. 3.3 Description of Operator, Subject and Object 3.3.1 Operator An operator is defined as an entity that acts to perform an operation on a module. An operator may be directly mapped to a responsible individual or organization, or it may be mapped to a composite of a responsible individual or organization plus an agent (application program) acting on behalf of the responsible individual or organization. In the case of a Certification Authority (CA), for example, the organization may empower one individual or a small group of individuals acting together to operate a cryptographic module as part of the company's service. The operator might be that individual or group, particularly if they are interacting with a module locally. The operator might also be the composite of the individual or group, who might still be present locally to a module, plus the CA application running on a network-attached host computer. 3.3.2 Roles In a Level 2 configuration (Password Authentication), the cryptographic module supports two authenticated roles: Partition User and Security Officer (SO). It also supports one unauthenticated operator role, the Public User, primarily to permit access to status information and diagnostics before authentication. The SO is a privileged role, which exists only at the module level, whose primary purpose is to initially configure the module for operation and to perform security administration tasks such as partition creation. The Partition User is the key management and user role for the partition. For an operator to assume any role other than Public User, the operator must be identified and authenticated. The following conditions must hold in order to assume one of the authenticated roles: No operator can assume the Partition User or Security Officer role before identification and authentication; No identity can assume the Partition User plus the Security Officer role. Document is Uncontrolled When Printed. Page 10 of 26 CR-4123 Revision Level: 1 3.3.3 Account Data The module maintains the following User and SO account data: Partition ID or SO ID number. Partition User encrypted or SO encrypted authentication data (checkword). Partition User authentication challenge secret (one for each role, as applicable). Partition User locked out flag. An authenticated User is referred to as a Partition User. The ability to manipulate the account data is restricted to the SO and the Partition User. The specific restrictions are as described below: 1. Only the Security Officer role can create (initialize) and delete the following security attributes: o Partition ID. o Checkword. 2. If Partition reset is allowed and enabled, the SO role only can modify the following security attribute: o Locked out flag for Partition User. 3. Only the Partition User can modify the following security attribute: o Checkword for Partition User. 4. Only the Security Officer role can change the default value, query, modify and delete the following security attribute: o Checkword for Security Officer. 3.3.4 Subject For purposes of this security policy, the subject is defined to be a module session. The session provides a logical means of mapping between applications connecting to a module and the processing of commands within a module. Each session is tracked by the Session ID, the Partition ID and the Access ID, which is a unique ID associated with the application's connection. It is possible to have multiple open sessions with a module associated with the same Access ID/Partition ID combination. It is also possible for a module to have sessions opened for more than one Partition ID or have multiple Access IDs with sessions opened on a module. Applications running on remote host systems that require data and cryptographic services from a module must first connect via the communications service within the appliance, which will establish the unique Access ID for the connection and then allow the application to open a session with one of the partitions within a module. A local application (e.g., command line administration interface) will open a session directly with the appropriate partition within a module without invoking the communications service. Document is Uncontrolled When Printed. Page 11 of 26 CR-4123 Revision Level: 1 3.3.5 Operator ­ Subject Binding An operator must access a partition through a session. A session is opened with a partition in an unauthenticated state and the operator must be authenticated before any access to cryptographic functions and Private objects within the partition can be granted. Once the operator is successfully identified and authenticated, the session state becomes authenticated and is bound to the Partition User represented by the Partition ID. Any other sessions opened with the same Access ID/Partition ID combination will share the same authentication state and be bound to the same Partition User. 3.3.6 Object An object is defined to be any formatted data held in volatile or non-volatile memory on behalf of an operator. For the purposes of this security policy, the objects of primary concern are private (asymmetric) keys and secret (symmetric) keys. 3.3.7 Object Operations Object operations may only be performed by a Partition User. The operations that may be performed are limited by the role associated with the user's login state, see section 3.5. New objects can be made in several ways. The following list identifies operations that produce new objects: o Create, o Copy, o Generate, o Unwrapping, o Derive. Existing objects can be modified and deleted. The values of a subset of attributes can be changed through a modification operation. Objects can be deleted through a destruction operation. Constant operations do not cause creation, modification or deletion of an object. These constant operations include: Query an object's size; Query the size of an attribute; Query the value of an attribute; Use the value of an attribute in a cryptographic operation; Search for objects based on matching attributes; Cloning an object; Wrapping an object; and Masking and unmasking an object. Secret keys and private keys are always maintained as Sensitive objects and, therefore, they are permanently stored with the key value encrypted to protect its confidentiality. Key objects held in volatile memory do not have their key values encrypted, but they are subject to active zeroization in the event of a module reset or in response to a tamper event. For additional information about the clearing of sensitive data, see Section 3.13. Operators are not given direct access to key values for any purpose. Document is Uncontrolled When Printed. Page 12 of 26 CR-4123 Revision Level: 1 3.4 Identification and Authentication 3.4.1 Authentication Data Generation and Entry The module requires that Partition Users and the SO be authenticated by proving knowledge of a secret shared by the operator and the module. The FIPS mode is determined when the HSM is initialized: a module that is to support Level 2 mode must be initialized using a password to define the SO authentication data. For a module operating in FIPS Level 2 mode, the SO must enable the "User password authentication" (implies that the trusted path authentication is disallowed or disabled). The SO defines a user password when a partition is created. The minimum length of the password must always be equal to or greater than 7 characters, and up to 16 characters. 3.4.2 Limits on Login Failures The module also implements a maximum login attempts policy. The policy differs for an SO authentication data search and a Partition User authentication data search. In the case of an SO authentication data search: If three (3) consecutive SO logon attempts fail, a module is zeroized. In the case of a Partition User authentication data search, one of two responses will occur, depending on the partition policy: 1. If "Partition reset" is Allowed and Enabled, then if "n" ("n" is set by the SO at the time the cryptographic module is initialized) consecutive operator logon attempts fail, the module flags the event in the Partition User's account data, locks the Partition User and clears the volatile memory space. The SO must unlock the partition in order for the Partition User to resume operation. 2. If "Partition reset" is not Allowed or not Enabled, then if "n" consecutive Partition User logon attempts via the physical trusted path fail, the module will erase the partition. The SO must delete and re-create the partition. Any objects stored in the partition, including private and secret keys, are permanently erased. 3.5 Access Control The Access Control Policy is the main security function policy enforced by a module. It governs the rights of a subject to perform privileged functions and to access objects stored in a module. It covers the object operations detailed in section 3.3.7. A subject's access to objects stored in a module is mediated on the basis of the following subject and object attributes: Subject attributes: o Session ID o Access ID and Partition ID associated with session o Session authentication state (binding to authenticated Partition identity and role) Document is Uncontrolled When Printed. Page 13 of 26 CR-4123 Revision Level: 1 Object attributes: o Owner. A Private object is owned by the Partition User associated with the subject that produces it. Ownership is enforced via internal key management. o Private. If True, the object is Private. If False, the object is Public. o Sensitive. If True, object is Sensitive. If False, object is Non-Sensitive. o Extractable8. If True, object may be extracted. If False, object may not be extracted. o Modifiable. If True, object may be modified. If False, object may not be modified. Objects are labelled with a number corresponding to their partition and are only accessible by a subject associated with the owning Partition ID. Only generic data and certificate objects can be non-sensitive. Sensitive objects are encrypted using the partition's secret key to prevent their values from ever being exposed to external entities. Key objects are always created as Sensitive objects and can only be used for cryptographic operations by a logged in Partition User. Key objects that are marked as extractable may be exported from a module using the Wrap operation if allowed and enabled in the partition's policy set. Table 3-3 summarizes the object attributes used in Access Control Policy enforcement. Table 3-3. Object Attributes Used in Access Control Policy Enforcement Attribute Values Impact TRUE ­ Object is private to (owned by) the Object is only accessible to subjects operator identified as the Access Owner (sessions) bound to the operator identity when the object is created. that owns the object. PRIVATE FALSE ­ Object is not private to one Object is accessible to all subjects operator identity. associated with the partition in which the object is stored. TRUE ­ Attribute values representing Key material is stored in encrypted form. plaintext key material are not permitted to exist (value encrypted). SENSITIVE FALSE ­ Attribute values representing Plaintext data is stored with the object and is plaintext data are permitted to exist. accessible to all subjects otherwise permitted access to the object. TRUE ­ The object's attribute values may The object is "writeable" and its attribute be modified. values can be changed during a copy or set MODIFIABLE attribute operation. FALSE ­ The object's values may not be The object can only be read and only modified. duplicate copies can be made. TRUE ­ Key material stored with the object The ability to extract a key permits sharing may be extracted from the Luna with other crypto modules and archiving of cryptographic module using the Wrap key material. EXTRACTABLE operation. FALSE ­ Key material stored with the object Keys must never leave a module's control. may not be extracted from the Luna cryptographic module. The module does not allow any granularity of access other than owner or non-owner (i.e., a Private object cannot be accessible by two Partition Users and restricted to other Partition Users). Ownership of a Private object gives the owner access to the object through the allowed operations but does not allow the owner to assign a subset of rights to other operators. Allowed operations are those permitted by the cryptographic module and Partition Capability and Policy settings. Extract means to remove the key from the control of the module. This is typically done using the Wrap operation, but the 8 Mask operation is also considered to perform an extraction when cloning is enabled for the container. Document is Uncontrolled When Printed. Page 14 of 26 CR-4123 Revision Level: 1 The policy is summarized by the following statements: A subject may perform an allowed operation on an object if the object is in the partition with which the subject is associated and one of the following two conditions holds: 1. The object is a "Public" object, i.e., the PRIVATE attribute is FALSE, or 2. The subject is bound to the Partition User that owns the object. Allowed operations are those permitted by the object attribute definitions within the constraints imposed by the HSM and Partition Capability and Policy settings. 3.5.1 Object Protection The module cryptographically protects the values of sensitive objects stored in its internal flash memory. Sensitive values protected using AES 256 bit encryption with three different keys ­ each having a separate protection role. The three keys used to protect sensitive object values are the following: User Storage Key (USK)/Security Officer Master Key (SMK) ­ this key is created by the cryptographic module when the User or SO is created. It is used to maintain cryptographic separation between users' keys. Master Tamper Key (MTK) ­ this key is securely stored in the battery-backed RAM. It encrypts keys as they are generated to ensure that they can only be used by the co-processor itself or with authorization from it. Key Encryption Key (KEK) ­ this key is stored in battery-backed RAM in the module. It also encrypts all sensitive object values and is used to provide the "decommissioning" feature. The KEK is erased in response to an external decommission signal. This provides the capability to prevent access to sensitive objects in the event that the module has become unresponsive or has lost access to primary power. 3.5.2 Object Re-use The access control policy is supported by an object re-use policy. The object re-use policy requires that the resources allocated to an object be cleared of their information content before they are re-allocated to a different object. 3.5.3 Privileged Functions The module shall restrict the performance of the following functions to the SO role only: Module initialization Partition creation and deletion Configuring the module and partition policies Module zeroization Firmware update Document is Uncontrolled When Printed. Page 15 of 26 CR-4123 Revision Level: 1 3.6 Cryptographic Material Management Cryptographic material (key) management functions protect the confidentiality of key material throughout its life-cycle. The FIPS PUB 140-2 approved key management functions provided by the module are the following: (1) Deterministic Random Bit Generation (DRBG) in accordance with NIST SP 800-90 section 10.2.1. (2) Cryptographic key generation in accordance with the following indicated standards: a. RSA 1024-4096 bits key pairs in accordance with FIPS PUB 186-2. b. TDES 112 bits and 168 bits (SP 800-67, ANSI X9.52). c. AES 128, 192, 256 bits (FIPS PUB 197). d. DSA 1024, 2048 and 3072 bit key pairs in accordance with FIPS PUB 186-3. e. Elliptic Curve key pairs (curves in accordance with SP 800-57) in accordance with FIPS PUB 186-3. f. Diffie-Hellman key pairs. g. Key Derivation in accordance with NIST SP 800-108 (Counter & Feedback modes). (3) Diffie-Hellman (2048-3072 bits) key establishment methodology provides between 112 and 128 bits of encryption strength. 9 (4) EC Diffie-Hellman (ECDH) (curves in accordance with SP 800-57) key establishment in accordance with NIST SP 800-56A. (5) Encrypted key storage (using AES 256 bit encryption, see Section 3.5.1) and key access following the PKCS #11 standard. (6) Destruction of cryptographic keys is performed in one of three ways as described below in accordance with the PKCS #11 and FIPS PUB 140-2 standards: a. An object on a Luna cryptographic module that is destroyed using the PKCS #11 function C_DestroyObject is marked invalid and remains encrypted with the Partition User's key or a Luna cryptographic module's general secret key until such time as its memory locations (flash or RAM) are re-allocated for additional data on a Luna cryptographic module, at which time they are purged and zeroized before re-allocation. b. Objects on a Luna cryptographic module that are destroyed as a result of authentication failure are zeroized (all flash blocks in the Partition User's memory turned to 1's). If it is an SO authentication failure, all flash blocks used for key and data storage on a Luna cryptographic module are zeroized. c. Objects on a Luna cryptographic module that are destroyed through C_InitToken (the SO- accessible command to initialize a Luna cryptographic module available through the API) are zeroized, along with the rest of the flash memory being used by the SO and Partition Users. Keys are always stored as secret key or private key objects with the Sensitive attribute set. The key value is, therefore, stored in encrypted form using the owning Partition User's Storage Key (USK) and the Master Tamper Key (MTK) stored in the battery-backed RAM. Access to keys is never provided directly to a calling application. A handle to a particular key is returned that can be used by the application in subsequent calls to perform cryptographic operations. 9 Non-approved but allowed method in FIPS mode. Document is Uncontrolled When Printed. Page 16 of 26 CR-4123 Revision Level: 1 Private key and secret key objects may be imported into a module using the Unwrap, Unmask (if cloning and unmasking are enabled at the HSM level) or Derive operation under the control of the Access Control Policy. Any externally-set attributes of keys imported in this way are ignored by a module and their attributes are set by a module to values required by the Access Control Policy. 3.7 Cryptographic Operations Because of its generic nature, the module's cryptographic co-processor and firmware support a wide range of cryptographic algorithms and mechanisms. The approved cryptographic functions and algorithms that are relevant to the FIPS 140-2 validation are the following: 1. Symmetric encryption/decryption (key wrap/unwrap) TDES 168 bits and AES 128, 192 and 256 bits in accordance with PKCS #11. 2. Symmetric encryption/decryption: TDES 112 bits and 168 bits (SP 800-67, ANSI X9.52). 3. Symmetric encryption/decryption: AES 128, 192, 256 bits (FIPS PUB 197). 4. Asymmetric key wrap/unwrap: RSA 1024 ­ 4096 (PKCS #1 V1.5 and OAEP) 5. Signature generation/verification (FIPS PUB 186-3): RSA 1024-3072 bits (PKCS #1 V1.5) with SHA-1, SHA-224, SHA-256, SHA-384, SHA-512, RSA 1024-3072 bits (PSS) with SHA-1, SHA- 224, SHA-256, SHA-384, SHA-512, RSA 1024-3072 bits (X9.31) with SHA-1, DSA 1024-3072 bits with SHA-1, SHA-224, SHA-256, ECDSA with SHA-1, SHA-224, SHA-256, SHA-384, SHA- 512. 6. Signature generation/verification (FIPS PUB 186-2): RSA 1024-4096 bits with SHA-1, SHA-224, SHA-256, SHA-384, SHA-512; DSA 1024 bits with SHA-1. 7. Hash generation SHA-1, SHA-224, SHA-256, SHA-384, SHA-512 (FIPS PUB 180-3). 8. Keyed hash generation HMAC using SHA-1, SHA-224, SHA-256, SHA-384, SHA-512 (FIPS PUB 198). 9. Message authentication TDES MAC (FIPS PUB 113) and CMAC (NIST SP 800-38B). 10. Deterministic Random Bit Generation (DRBG) (NIST SP 800-90 section 10.2.1) Table 3-4. Approved and Allowed Security Functions for SafeXcel 3120 Approved and Allowed Security Functions Certificate No. Symmetric Encryption/Decryption AES: (ECB, CBC, GCM); Encrypt/Decrypt; Key Size = 128, 192, 256) 1743 Triple-DES: (ECB, CBC); Encrypt/Decrypt KO 1,2) 1130 Secure Hash Standard (SHS) SHA-1, SHA-224, SHA-256, SHA-384, SHA-512 (Byte Only) 1531 Message Authentication Code HMAC-SHA-1, HMAC-SHA-224, HMAC-SHA-256, HMAC-SHA-384, HMAC-SHA- 1021 512 Triple-DES MAC (Vendor Affirmed) 1130 Document is Uncontrolled When Printed. Page 17 of 26 CR-4123 Revision Level: 1 Approved and Allowed Security Functions Certificate No. Asymmetric RSA: 865 FIPS186-2: ALG[ANSIX9.31]; KEYGEN(Y); SIG (gen); SIG (ver) (MOD: 1024, 1536, 2048, 3072, 4096 PubKey Values: 3, 17, 65537); ALG[RSASSA- PKCS1_V1_5]; SIG(gen); SIG(ver); (MOD: 1024, 1536, 2048, 3072, 4096); ALG[RSASSA-PSS]; SIG(gen); SIG(ver); (MOD: 1024, 1536, 2048, 3072, 4096) DSA: 545 FIPS186-3: PQG(gen): [ (1024,160) SHA( 1 ); (2048, 224) SHA( 224 ); (2048,256)SHA( 256 ); (3072,256)SHA( 256 ); ] KEYGEN: [ (1024,160); (2048,224); (2048,256) (3072,256) ] SIG(gen): [ (1024,160) SHA( 1 ); (2048,224) SHA( 1 , 224 ); (2048,256) SHA( 1 , 224 , 256 ); (3072,256) SHA( 1 , 224 , 256 ); ] SIG(ver): [ (1024,160) SHA( 1 ); (2048,224) SHA( 1 , 224 ); (2048,256) SHA( 1 , 224 , 256 ); (3072,256) SHA( 1 , 224 , 256 ); ] ECDSA: 230 FIPS186-3: PKG: CURVES ( P-192; P-224; P-256; P-384) Testing Candidates SIG(gen): CURVES ( P-192: (SHA-1); P-224: (SHA-1, 224) P-256: (SHA-1, 224, 256); P-384: (SHA-1, 224, 256, 384) SIG(ver): CURVES ( P-192: (SHA-1); P-224: (SHA-1, 224); P-256: (SHA-1, 224, 256) P-384: (SHA-1, 224, 256, 384) Random Number Generation NIST SP 800-90 DRBG (CTR) AES-256 114 Table 3-5. Approved and Allowed Security Functions for SafeXcel 1746 Approved and Allowed Security Functions Certificate No. Symmetric Encryption/Decryption AES: (ECB, CBC, CFB8); Encrypt/Decrypt; Key Size = 128, 192, 256) 1756 Triple-DES: (ECB, CBC, CFB8); Encrypt/Decrypt KO 1, 2) 1137 Message Authentication Code Triple-DES MAC (Vendor Affirmed) 1137 Document is Uncontrolled When Printed. Page 18 of 26 CR-4123 Revision Level: 1 Approved and Allowed Security Functions Certificate No. Asymmetric DSA: 548 FIPS186-2: SIG(gen); SIG(ver) MOD (1024) FIPS 186-3: SIG(gen): [ (1024,160) SHA( 1, 224, 256 ); (2048,224) SHA( 224 , 256); (2048,256) SHA( 256 ); (3072,256) SHA( 256 ) ] SIG(ver): [ (1024,160) SHA( 1, 224, 256 ); (2048,224) SHA( 224 , 256); ; (2048,256) SHA( 256 ); (3072,256) SHA( 256 )] ECDSA: 233 FIPS186-2: SIG(gen): CURVES( P-192 P-224 P-256 P-384 P-521 K-163 K-233 K-283 K-409 K-571 B-163 B-233 B-283 B-409 B-571) SIG(ver): CURVES( P-192 P-224 P-256 P-384 P-521 K-163 K-233 K-283 K-409 K-571 B-163 B-233 B-283 B-409 B-571) FIPS186-3: SIG(gen): CURVES( P-192: (SHA-1, 224, 256, 384, 512) P-224: (SHA-1, 224, 256, 384, 512) P-256: (SHA-1, 224, 256, 384, 512) P-384: (SHA-1, 224, 256, 384, 512) P-521: (SHA-1, 224, 256, 384, 512) K-163: (SHA-1, 224, 256, 384, 512) K-233: (SHA-1, 224, 256, 384, 512) K-283: (SHA-1, 224, 256, 384, 512) K-409: (SHA-1, 224, 256, 384, 512) K-571: K-283: (SHA-1, 224, 256, 384, 512) B- 163: (SHA-1, 224, 256, 384, 512) B-233 (SHA-1, 224, 256, 384, 512) B-283: (SHA- 1, 224, 256, 384, 512) B-409: (SHA-1, 224, 256, 384, 512) B-571: (SHA-1, 224, 256, 384, 512) SIG(ver): CURVES( P-192: (SHA-1, 224, 256, 384, 512) P-224: (SHA-1, 224, 256, 384, 512) P-256: (SHA-1, 224, 256, 384, 512) P-384: (SHA-1, 224, 256, 384, 512) P-521: (SHA-1, 224, 256, 384, 512) K-163: (SHA-1, 224, 256, 384, 512) K- 233: (SHA-1, 224, 256, 384, 512) K-283: (SHA-1, 224, 256, 384, 512) K-409: (SHA-1, 224, 256, 384, 512) K-571: K-283: (SHA-1, 224, 256, 384, 512) B-163: (SHA-1, 224, 256, 384, 512) B-233 (SHA-1, 224, 256, 384, 512) B-283: (SHA-1, 224, 256, 384, 512) B-409: (SHA-1, 224, 256, 384, 512) B-571: (SHA-1, 224, 256, 384, 512) Table 3-6. Approved and Allowed Security Functions Firmware Implementation Approved and Allowed Security Functions Certificate No. Symmetric Encryption/Decryption AES: (ECB, CBC, OFB, CFB8, CFB128 GCM); Encrypt/Decrypt; Key Size = 128, 1750 192, 256) Triple-DES: (ECB, CBC, OFB, CFB8, CFB64); Encrypt/Decrypt KO 1,2) 1134 Secure Hash Standard (SHS) SHA-1, SHA-224, SHA-256, SHA-384, SHA-512 (Byte Only) 1537 Document is Uncontrolled When Printed. Page 19 of 26 CR-4123 Revision Level: 1 Approved and Allowed Security Functions Certificate No. Message Authentication Code HMAC-SHA-1, HMAC-SHA-224, HMAC-SHA-256, HMAC-SHA-384, HMAC-SHA- 1027 512 Triple-DES MAC (Vendor Affirmed) 1134 CMAC (Key Sizes Tested: 128 192 256) 1750 Asymmetric RSA: FIPS186-2: [ANSIX9.31]; KEYGEN; SIG (gen); SIG (ver) (MOD: 1024, 1536, 2048, 3072, 4096 PubKey Values: 3, 17, 65,537 ); [RSASSA-PKCS1_V1_5]; SIG(gen); SIG(ver); (MOD: 1024, 1536, 2048, 3072, 4096); SHA(1, 224, 256, 384, 512); [RSASSA-PSS]; SIG(gen); SIG(ver); (MOD: 1024, 1536, 2048, 3072, 4096) SHA(1, 224, 256, 384, 512)) 870 FIPS 186-3: [ANSIX9.31]; SIG(gen); SIG (ver) (MOD: 1024 SHA(1, 224, 256, 384, 512); 2048 SHA(1, 224, 256, 384, 512); 3072); SHA(1, 224, 256, 384, 512)); [RSASSA-PKCS1_V1_5]; SIG(gen); SIG(ver); (MOD: 1024 SHA(1, 224, 256, 384, 512); (2048 SHA(1, 224, 256, 384, 512); 3072; SHA(1, 224, 256, 384, 512); ALG[RSASSA-PSS]; SIG(gen); SIG(ver); (MOD: 1024 SHA(1, 224, 256, 384, 512), 2048 SHA(1, 224, 256, 384, 512), 3072 SHA(1, 224, 256, 384, 512)) DSA: FIPS186-2: KEYGEN(Y); SIG(gen); SIG(ver) MOD (1024) FIPS186-3: ] KEYGEN: [ (1024,160); (2048, 224); (2048,256); (3072,256) ] 546 SIG(gen): [ (1024,160) SHA( 1 ); (2048, 224) SHA( 224 ); (2048,256) SHA( 256 ); (3072,256) SHA( 256 ) ] SIG(ver): [ (1024,160) SHA( 1 ); (2048, 224) SHA( 224 ); (2048,256) SHA( 256 ); (3072,256) SHA( 256 ) ] Document is Uncontrolled When Printed. Page 20 of 26 CR-4123 Revision Level: 1 Approved and Allowed Security Functions Certificate No. ECDSA: FIPS186-2: PKG: CURVES( P-192 P-224 P-256 P-384 P-521 K-163 K-233 K-283 K-409 K-571 B-163 B-233 B-283 B-409 B-571) SIG(gen): CURVES( P-192 P-224 P-256 P-384 P-521 K-163 K-233 K-283 K-409 K- 571 B-163 B-233 B-283 B-409 B-571) SIG(ver): CURVES( P-192 P-224 P-256 P-384 P-521 K-163 K-233 K-283 K-409 K- 571 B-163 B-233 B-283 B-409 B-571) FIPS186-3: PKG: CURVES( P-192 P-224 P-256 P-384 P-521 K-163 K-233 K-283 K-409 K-571) Testing Candidates SIG(gen): CURVES( P-192: (SHA-1, 224, 256, 384, 512) P-224: (SHA-1, 224, 256, 384, 512) P-256: (SHA-1, 224, 256, 384, 512) P-384: (SHA-1, 224, 256, 384, 512) P- 521: (SHA-1, 224, 256, 384, 512) K-163: (SHA-1, 224, 256, 384, 512) K-233: (SHA- 231 1, 224, 256, 384, 512) K-283: (SHA-1, 224, 256, 384, 512) K-409: (SHA-1, 224, 256, 384, 512) K-571: K-283: (SHA-1, 224, 256, 384, 512) B-163: (SHA-1, 224, 256, 384, 512) B-233 (SHA-1, 224, 256, 384, 512) B-283: (SHA-1, 224, 256, 384, 512) B-409: (SHA-1, 224, 256, 384, 512) B-571: (SHA-1, 224, 256, 384, 512) SIG(ver): CURVES( P-192: (SHA-1, 224, 256, 384, 512) P-224: (SHA-1, 224, 256, 384, 512) P-256: (SHA-1, 224, 256, 384, 512) P-384: (SHA-1, 224, 256, 384, 512) P- 521: (SHA-1, 224, 256, 384, 512) K-163: (SHA-1, 224, 256, 384, 512) K-233: (SHA- 1, 224, 256, 384, 512) K-283: (SHA-1, 224, 256, 384, 512) K-409: (SHA-1, 224, 256, 384, 512) K-571: K-283: (SHA-1, 224, 256, 384, 512) B-163: (SHA-1, 224, 256, 384, 512) B-233 (SHA-1, 224, 256, 384, 512) B-283: (SHA-1, 224, 256, 384, 512) B-409: (SHA-1, 224, 256, 384, 512) B-571: (SHA-1, 224, 256, 384, 512) Key Agreement Scheme ECC: ( ASSURANCES ) SCHEMES [ Ephemeral Unified ( KARole(s): Initiator / Responder ) ( EA: P-192 SHA1 SHA224 SHA256 SHA384 SHA512 ) ( EB: P-224 SHA224 SHA256 SHA384 SHA512 ) ( EC: P-256 SHA256 SHA384 SHA512 ) ( ED: P-384 SHA384 SHA512 ) ( EE: P-521 ) ] 23 [ OnePassDH ( No_KC: [N/A] ) ( KARole(s): Initiator / Responder ) ( EA: P-192 SHA1 SHA224 SHA256 SHA384 SHA512 CMAC ) ( EB: P-224 SHA224 SHA256 SHA384 SHA512 HMAC ) ( EC: P-256 SHA256 SHA384 SHA512 HMAC ) ( ED: P-384 SHA384 SHA512 HMAC ) ( EE: P-521 ) ] Diffie-Hellman (key agreement; key establishment methodology provides between 112 and 128 bits of encryption strength. Key Transport RSA (key wrapping; key establishment methodology provides between 80 and 152 bits of encryption strength) Key Derivation NIST SP 800-108 (Counter Mode) (Vendor Affirmed) Document is Uncontrolled When Printed. Page 21 of 26 CR-4123 Revision Level: 1 Table 3-7 ­ Non-FIPS Approved Security Functions Encrypt/Decrypt DES-ECB DES-CBC RC2-ECB RC2-CBC RC4 RC5-ECB RC5-CBC CAST5-ECB CAST5-CBC RSA X-509 SEED ARIA Digest MD2 MD5 HAS-160 Sign/Verify AES MAC DES-MAC RC2-MAC RC5-MAC CAST5-MAC SSL3-MD5-MAC SSL3-SHA1-MAC KCDSA Generate Key DES RC2 RC4 RC5 CAST5 SEED ARIA GENERIC-SECRET SSL PRE-MASTER Generate Key Pair KCDSA Wrap Symmetric Key Using Symmetric Algorithm RC2-ECB CAST5-ECB Unwrap Symmetric Key With Symmetric Algorithm RC2-ECB CAST5-ECB Document is Uncontrolled When Printed. Page 22 of 26 CR-4123 Revision Level: 1 3.8 Self-tests The module provides self-tests on power-up and on request to confirm the firmware integrity, and to check the random number generator and each of the implemented cryptographic algorithms. Table 3-8. Module Self-Tests Test When Performed Indicator Boot loader performs a SHA-1 integrity check of the Power-on Module halt10 firmware prior to firmware start DRBG Instantiate Function Known Answer Test (KAT) Power-on Module halt DRBG Generate Function KAT Power-on Module halt DRBG Reseed Function KAT Power-on Module halt DRBG Uninstantiate Function KAT Power-on Module halt TDES Known Answer Test (KAT) Power-on/Request Module halt / Error - Halt11 SHA-1 KAT Power-on/Request Module halt / Error - Halt SHA-224 KAT Power-on/Request Module halt / Error - Halt SHA-256 KAT Power-on/Request Module halt / Error - Halt SHA-384 KAT Power-on/Request Module halt / Error - Halt SHA-512 KAT Power-on/Request Module halt / Error - Halt HMAC SHA-1 KAT Power-on/Request Module halt / Error - Halt HMAC SHA-224 KAT Power-on/Request Module halt / Error - Halt HMAC SHA-256 KAT Power-on/Request Module halt / Error - Halt HMAC SHA-384 KAT Power-on/Request Module halt / Error - Halt HMAC SHA-512 KAT Power-on/Request Module halt / Error - Halt RSA KAT Power-on/Request Module halt / Error - Halt DSA KAT Power-on/Request Module halt / Error - Halt Diffie-Hellman KAT Power-on/Request Module halt / Error - Halt AES KAT Power-on/Request Module halt / Error - Halt AES-GCM KAT Power-on/Request Module halt / Error - Halt ECDH KAT Power-on/Request Module halt / Error - Halt ECDSA KAT Power-on/Request Module halt / Error - Halt KDF KAT Power-on/Request Module halt / Error - Halt DRBG conditional tests Continuous Error - Halt HRNG conditional tests Continuous Error - Halt RSA ­ Pair-wise consistency test (asymmetric key pairs) On generation Error DSA ­ Pair-wise consistency test (asymmetric key pairs) On generation Error ECDSA ­ Pair-wise consistency test (asymmetric key On generation Error pairs) Firmware load test (4096-bit RSA sig ver) On firmware update Error ­ module will continue load with existing firmware While the module is running Power-On Self Tests (POST) all interfaces are disabled until the successful completion of the self-tests. 10 Details of the failure can be obtained from the dual-port following a module halt. 11 An error message is output, the cryptographic module halts, and data output is inhibited. Document is Uncontrolled When Printed. Page 23 of 26 CR-4123 Revision Level: 1 3.9 Firmware Security The Firmware Security Policy assumes that any firmware images loaded in conformance with the policy have been verified by SafeNet to ensure that the firmware will function correctly. The policy applies to initial firmware loading and subsequent firmware updates. The module shall not allow external software 12 to be loaded inside its boundary. Only properly formatted firmware may be loaded. The communication of initial or updated firmware to a target module shall be initiated by a SafeNet module dedicated to that function. Firmware shall be digitally signed using the SafeNet Manufacturing signature key and encrypted using a secret key that can be derived (based on an internally held secret key) by the receiving module for decryption. RSA (4096 bits) PKCS #1 V1.5 with SHA-256 is used as the approved signature method. The unencrypted firmware must not be visible outside a module before, during and after the loading operation. The Boot Loader shall provide an integrity check to ensure the integrity of the firmware and to ensure the integrity of any permanent security-critical data stored within a cryptographic module. 3.10 Physical Security The Luna cryptographic module is a multi-chip embedded module as defined by FIPS PUB 140-2 section 4.5. The module is enclosed in a strong metal enclosure that provides tamper-evidence. Any tampering that might compromise a module's security is detectable by visual inspection of the physical integrity of a module. Within the metal enclosure, a hard opaque epoxy covers the circuitry of the cryptographic module. Attempts to remove this epoxy will cause sufficient damage to the cryptographic module so that it is rendered inoperable. The module's enclosure is opaque to resist visual inspection of the device design, physical probing of the device and attempts to access sensitive data on individual components of the device. The plaintext Critical Security Parameters (CSP) stored inside the module are the Master Tamper Key (MTK), the Key Encryption Key (KEK) and the Token/Module Variable Key (TVK). The MTK, KEK and TVK are stored in battery-backed RAM. The MTK and TVK are erased in the event of a tamper detection ­ either from the external tamper signal or removal of the card from the PCI-Express slot. The KEK is erased when a decommission signal is received. The module also senses and responds to out-of-range temperature and voltage conditions. In the event that the module senses an out-of-range temperature or voltage, it will clear all working memory and halt operations. It can be reset and placed back into operation when proper operating conditions have been restored. 12 External software means any form of executable code that has been generated by anyone other than SafeNet and has not been properly formatted and signed as a legitimate SafeNet firmware image. Document is Uncontrolled When Printed. Page 24 of 26 CR-4123 Revision Level: 1 3.11 EMI / EMC The module conforms to FCC Part 15 Class B requirements for home use. 3.12 Fault Tolerance If power is lost to a module for whatever reason, the module shall, at a minimum, maintain itself in a state that it can be placed back into operation when power is restored without compromise of its functionality or permanently stored data. A module shall maintain its secure state13 in the event of data input/output failures. When data input/output capability is restored the module will resume operation in the state it was prior to the input/output failure. 3.13 Mitigation of Other Attacks Timing attacks are mitigated directly by a module through the use of hardware accelerator chips for modular exponentiation operations. The use of hardware acceleration ensures that all RSA signature operations complete in very nearly the same time, therefore making the analysis of timing differences irrelevant. RSA blinding may also be selected as an option to mitigate this type of attack. The cryptographic module provides a connection to allow it to receive an external tamper event signal14. By responding to the signal a module can ensure that no sensitive data remains even if a determined attack defeats the external physical security protection measures. There are two sources for a potential tamper signal. The first is circuitry to detect the removal of a module from a PCI-Express slot. By responding to this external signal, the module ensures that all plaintext sensitive data are cleared if a module is removed from its slot. The second source is used only in the instance of an appliance installation. In that case, the signal would come from tamper detection circuitry that detects opening of the appliance cover. By responding to this external signal, the module ensures that all plaintext sensitive data are cleared if the appliance cover is opened. 13 A secure state is one in which either a Luna cryptographic module is operational and its security policy enforcement is functioning correctly, or it is not operational and all sensitive material is stored in a cryptographically protected form on a Luna cryptographic module. 14 This is external to the cryptographic boundary. Document is Uncontrolled When Printed. Page 25 of 26 CR-4123 Revision Level: 1 - THIS PAGE LEFT BLANK INTENTIONALLY - Document is Uncontrolled When Printed. Page 26 of 26 CR-4123 Revision Level: 1 APPENDIX A. SECURITY POLICY CHECKLIST TABLES Table A-1. Roles and Required Identification and Authentication Role Type of Authentication Authentication Data Security Officer Role-based Level 2 ­ Password Partition User Role-based Level 2 ­ Password Public User Not required N/A Table A-2. Strengths of Authentication Mechanisms Authentication Mechanism Strength of Mechanism Password (Level 2) Configurable by SO from 7 to 16 characters. The probability of guessing the challenge secret in a single attempt is 1 in 627 (approximately 3.5 x 1012). With login failure thresholds of 3 for SO and configurable from 1 to 15 (default 10) for users, this ensures the FIPS 140-2 required thresholds can never be reached. Table A-3. Services Authorized for Roles Role Authorized Services Security Officer Show Status, Self-test, Initialize Module, Configure Module Policy, Create Partition, Configure Partition Policy, Zeroize, Firmware Update Partition User Show Status, Self-test, Key and Key Pair Generation, Symmetric Encrypt/Decrypt, Asymmetric Signature/Verification, Symmetric & Asymmetric Key Wrap/Unwrap, Symmetric & Asymmetric Key Mask/Unmask, Store Data Object, Read Data Object, Partition Backup and Restore Public User Show Status, Self-test, Store Public Data Object, Read Public Data Object Document is Uncontrolled When Printed. Page A-1 of A-4 CR-4123 Revision Level: 1 Table A-4. Access Rights within Services Service Cryptographic Keys and CSPs Role Type(s) of Access Show Status15 N/A All N/A Self-test N/A All N/A Initialize Module Authentication data via trusted path SO Write ­ SO authentication data Configure Module Policy Authentication data via trusted path SO Use16 Create Partition Authentication data via trusted path SO Write ­ User authentication data Configure Partition Policy Authentication data via trusted path SO Use Zeroize Authentication data, symmetric keys, asymmetric SO Write, Erase key pairs Firmware Update MVK17 SO Use, Write (firmware only) Key and Key Pair Generation Symmetric keys, asymmetric key pairs Partition User Write Symmetric Key Wrap/ Unwrap Symmetric with RSA Partition User Use, Write Symmetric with Symmetric ECB mode Asymmetric Key Wrap/ Unwrap Asymmetric with Symmetric CBC mode Partition User Use, Write Symmetric Key Mask/ Unmask Symmetric with AES 256 Partition User Use, Write Asymmetric Key Mask/ Symmetric with AES 256 Partition User Use, Write Unmask Partition Backup / Restore Symmetric keys, asymmetric key pairs Partition User Transfer18 Symmetric Encrypt/Decrypt Symmetric keys Partition User, Use Asymmetric Signature RSA, DSA private keys Partition User, Use Asymmetric Verification RSA, DSA public keys Partition User, Use Store Data Object Non-cryptographic data Partition User, Write Public User19 Read Data Object Non-cryptographic data Partition User, Read Public User20 15 Show status is provided by invoking the "hsm showinfo" command from the administrative interface. It will display identifying information about the module such as label, serial number, firmware version, etc., and state whether the module is in FIPS-approved mode. 16 Use means access to key material for use in performing a cryptographic operation. The key material is never visible. 17 Public key value. See Table A-5 for its description. 18 Transfer means moving a key using the cloning protocol from one cryptographic module to another. 19 The Public User has access to Public Data Objects only. 20 The Public User has access to Public Data Objects only. Document is Uncontrolled When Printed. Page A-2 of A-4 CR-4123 Revision Level: 1 Table A-5 Keys and Critical Security Parameters Used in the Module Key/CSP Name Description User password Used in Password Authentication (Level 2) configuration only. The user provided password used for authentication in a Level 2 configuration. Minimum of 7 characters and maximum of 16. SIM authorization values These user-supplied M of N secret values are used to authorize the insertion of a masked key blob previously extracted using the SIM II feature. Cloning Domain Vector A password-derived value that is used to control a module's ability to participate in the cloning protocol. It is entered into the module by the SO at the time the module is initialized. It is stored encrypted (using the SGSK) in the module. User Storage Key (USK) 32-byte AES key that is randomly generated for each user on a Luna cryptographic module. This key is used to encrypt all sensitive attributes of all private objects owned by the user. Security Officer Master Key (SMK) The storage key for the SO; a 32-byte AES key that is randomly generated for the SO on the module. This key is used to encrypt all sensitive attributes of all private objects owned by the SO. The USK/SMK is stored encrypted using an AES key. Global Storage Key (GSK) 32-byte AES key that is the same for all users on a specific Luna cryptographic module. It is used to encrypt permanent parameters within the non-volatile memory area reserved for use by the module. Secondary Global Storage Key (SGSK) 32-byte AES key that is the same for all users on a specific Luna cryptographic module. It is stored encrypted using USK and SMK. It is used to encrypt non-permanent parameters (parameters re-generated for every module initialization) within the non-volatile memory area reserved for use by the module. Token or Module Unwrapping Key (TUK) A 2048-bit RSA private key used in the cloning protocol. Stored in the Param area; encrypted with the GSK. Token or Module Wrapping Certificate (TWC) Based on the Hardware Origin Certificate (HOC). The TWC is an X.509 certificate signed by the private key corresponding to the HOC. Used in exchange of session encryption key as part of the handshake during the cloning protocol. Stored as plaintext in the Param area. U2 Key 24-byte TDES key used in conjunction with the auth code for a firmware update to derive a key used to decrypt the firmware update image when it is loaded into the module. Used for backwards compatibility purposes with earlier firmware versions. Stored in the Param area. Token or Module Variable Key (TVK) 32-byte AES key stored in a dedicated non-volatile RAM. It is used to encrypt authentication data stored for auto-activation purposes. The non-volatile RAM is actively zeroized in response to a tamper event. Master Tamper Key (MTK) 32 byte AES key that is stored in battery-backed RAM. The MTK encrypts all sensitive values and is erased in response to a tamper event. Key Encryption Key (KEK) 32 byte AES key that is stored in the module's battery-backed RAM. The KEK encrypts all sensitive values and is erased in response to a decommission signal. Masking Key AES 256-bit key stored in the Param area. It is generated on the cryptographic module at initialization time. It is used during masking operations. Encrypted using the SGSK. Document is Uncontrolled When Printed. Page A-3 of A-4 CR-4123 Revision Level: 1 Table A-5 Keys and Critical Security Parameters Used in the Module Key/CSP Name Description Manufacturer's Integrity Certificate (MIC) 4096-bit RSA public key certificate corresponding to the Manufacturer's Integrity Key (MIK) held at SafeNet. Used in verifying Hardware Origin Certificates (HOCs), which are generated in response to a customer function call to provide proof of hardware origin. Stored as plaintext in flash. Manufacturers Verification Key (MVK) 4096-bit Public key counterpart to the Manufacturer's Signature Key (MSK) held at SafeNet. Used to verify the digital signature on a firmware update image. Stored in flash as plaintext. Device Authentication Key (DAK) 2048-bit RSA private key used for a specific PKI implementation requiring assurance that a key or a specific action originated within the hardware crypto module. Encrypted using the GSK. Hardware Origin Key (HOK) A 4096 bit RSA private key used to sign certificates for other device key pairs, such as the TWC. It is generated at the time the device is manufactured. Encrypted using the GSK and stored in the Param area. Hardware Origin Certificate (HOC) The X.509 public key certificate corresponding to the HOK. It is signed by the Manufacturer's Integrity Key (MIK) at the time the device is manufactured. Stored as plaintext in the Param area. DRBG Key 32 bytes AES key stored in the BBRAM of the internal security co- processor. Used in the implementation of the NIST SP 800-90 CTR (AES) DRBG. DRBG Seed Random seed data drawn from the Hardware RBG in the security co- processor and used to seed the implementation of the NIST SP 800-90 CTR (AES) DRBG. DRBG V Part of the secret state of the approved DRBG. The value is stored in the security co-processor as plaintext and is generated using the methods described in SP800-90. It is zeroized during a tamper event. DRBG Entropy Input The entropy value used to initialize the approved DRBG. The 48-byte value is stored ephemerally in memory of the security co-processor. Document is Uncontrolled When Printed. Page A-4 of A-4 CR-4123 Revision Level: 1 APPENDIX B. LIST OF TERMS, ABBREVIATIONS AND ACRONYMS Term Definition ANSI American National Standards Institute CA Certification Authority Chrysalis-ITS Former name of SafeNet Canada, Inc. CKE Key Export with Cloning CL Cloning (a capability configuration used to allow the secure transfer of key objects from one module to another for backup and restore and object replication purposes). CLI Command Line Interface CRC Cyclic Redundancy Check CRT Chinese Remainder Theorem CSP Critical Security Parameter DAK Device Authentication Key DH Diffie Hellman DRBG Deterministic Random Bit Generator ECC Elliptic Curve Cryptography ECDH Elliptic Curve Diffie Hellman FIPS Federal Information Processing Standard GSK Global Storage Key HA High Assurance HOC Hardware Origin Certificate HOK Hardware Origin Key HRNG Hardware Random Number Generator HSM Hardware Security Module KAT Known Answer Test KDF Key Derivation Function KEK Key Encryption Key KES Key Export ­ SIM (a capability configuration used to allow the export of private keys as wrapped objects and to securely transfer the symmetric wrapping key between modules via a SIM [masked object] file). MAC Message Authentication Code Masking A SafeNet term to describe the encryption of a key for use only within a SafeNet cryptographic module. MIC Manufacturer's Integrity Certificate MIK Manufacturer's Integrity Key MSK Manufacturer's Signature Key MTK Master Tamper Key MVK Manufacturers Verification Key PCI Peripheral Component Interconnect PIN Personal Identification Number Document is Uncontrolled When Printed. Page B-1 of B-2 CR-4123 Revision Level: 1 Term Definition PKCS Public-Key Cryptography Standards PRNG Pseudo-Random Number Generator RA Registration Authority RNG Random Number Generator SA Server-Attached SCU Secure Capability Update SGSK Secondary Global Storage Key SHS Secure Hash Standard SIM Secure Information Management (a capability configuration used to allow the use of SIM [masked object] files for secure backup and recovery). SMK Security Officer's Master Key SO Security Officer TUK Token or Module Unwrapping Key TVK Token or Module Variable Key TWC Token or Module Wrapping Certificate TWK Token or Module Wrapping Key USK User's Storage Key Document is Uncontrolled When Printed. Page B-2 of B-2