Certification Report
EAL 4+ Evaluation of nCipher nShield Family of
Hardware Security Modules Firmware Version 2.33.60
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2009
Document number: 383-4-82-CR
Version: 1.2
Date: 30 October 2009
Pagination: i to iv, 1 to 9
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using
the Common Methodology for Information technology Security Evaluation, Version 2.3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 2.3. This certification report, and its associated certificate, apply only to the
identified version and release of the product in its evaluated configuration. The evaluation
has been conducted in accordance with the provisions of the CCS, and the conclusions of the
evaluation facility in the evaluation report are consistent with the evidence adduced. This
report, and its associated certificate, are not an endorsement of the IT product by the
Communications Security Establishment Canada, or any other organization that recognizes
or gives effect to this report, and its associated certificate, and no warranty for the IT product
by the Communications Security Establishment Canada, or any other organization that
recognizes or gives effect to this report, and its associated certificate, is either expressed or
implied.
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FOREWORD
The Canadian Common Criteria Evaluation and Certification Scheme (CCS) provides a
third-party evaluation service for determining the trustworthiness of Information Technology
(IT) security products. Evaluations are performed by a commercial Common Criteria
Evaluation Facility (CCEF) under the oversight of the CCS Certification Body, which is
managed by the Communications Security Establishment Canada.
A CCEF is a commercial facility that has been approved by the CCS Certification Body to
perform Common Criteria evaluations; a significant requirement for such approval is
accreditation to the requirements of ISO/IEC 17025:2005, the General Requirements for the
Competence of Testing and Calibration Laboratories . Accreditation is performed under the
Program for the Accreditation of Laboratories - Canada (PALCAN), administered by the
Standards Council of Canada.
The CCEF that carried out this evaluation is DOMUS IT Security Laboratory located in
Ottawa, Ontario.
By awarding a Common Criteria certificate, the CCS Certification Body asserts that the
product complies with the security requirements specified in the associated security target. A
security target is a requirements specification document that defines the scope of the
evaluation activities. The consumer of certified IT products should review the security target,
in addition to this certification report, in order to gain an understanding of any assumptions
made during the evaluation, the IT product's intended environment, its security requirements,
and the level of confidence (i.e., the evaluation assurance level) that the product satisfies the
security requirements.
This certification report is associated with the certificate of product evaluation dated 25
March 2009 and the security target identified in Section 4 of this report.
The certification report, certificate of product evaluation and security target are posted on the
CCS Certified Products list at: http://www.cse-cst.gc.ca/its-sti/services/cc/cp-pc-eng.html
and http://www.commoncriteriaportal.org/
This certification report makes reference to the following trademarked or registered
trademarks:
• nCipher, netHSM and nShield are trademarks or registered trademarks of nCipher
Corporation Ltd.; and
• Windows is a registered trademark of Microsoft Corporation.
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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TABLE OF CONTENTS
Disclaimer....................................................................................................................................... i
Foreword........................................................................................................................................ ii
Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation ................................................................................ 2
2 TOE Description ................................................................................................................... 2
3 Evaluated Security Functionality........................................................................................ 2
4 Security Target...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
6 Security Policy....................................................................................................................... 3
7 Assumptions and Clarification of Scope............................................................................. 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 3
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
7.3 CLARIFICATION OF SCOPE.......................................................................................... 4
8 Architectural Information ................................................................................................... 4
9 Evaluated Configuration...................................................................................................... 4
10 Documentation ...................................................................................................................... 5
11 Evaluation Analysis Activities ............................................................................................. 5
12 ITS Product Testing.............................................................................................................. 6
12.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
12.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
12.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
12.4 CONDUCT OF TESTING ............................................................................................... 8
12.5 TESTING RESULTS...................................................................................................... 8
13 Results of the Evaluation...................................................................................................... 8
14 Evaluator Comments, Observations and Recommendations ........................................... 8
15 Acronyms, Abbreviations and Initializations..................................................................... 8
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16 References.............................................................................................................................. 9
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Executive Summary
nCipher nShield Family of Hardware Security Modules Firmware Version 2.33.60 (hereafter
referred to as nShield HSM Firmware), from nCipher Corporation Ltd., is the Target of
Evaluation for this Evaluation Assurance Level (EAL) 4 augmented evaluation.
The TOE, nShield HSM Firmware, is the firmware executing on a dedicated PCI card. The
firmware provides protection for the cryptographic keys used within computing platforms,
managing cryptographic key generation, archiving, recovery and destruction and
incorporates FIPS PUB 140-2 validated cryptography.
DOMUS IT Security Laboratory is the CCEF that conducted the evaluation. This evaluation
was completed on 17 March 2009 and was carried out in accordance with the rules of the
Canadian Common Criteria Evaluation and Certification Scheme (CCS).
The scope of the evaluation is defined by the security target, which identifies assumptions
made during the evaluation, the intended environment for nShield HSM Firmware, the
security requirements, and the level of confidence (evaluation assurance level) at which the
product is intended to satisfy the security requirements. Consumers are advised to verify that
their operating environment is consistent with that specified in the security target, and to give
due consideration to the comments, observations and recommendations in this certification
report.
The results documented in the Evaluation Technical Report (ETR)1
for this product provide
sufficient evidence that it meets the EAL 4 augmented assurance requirements for the
evaluated security functionality. The evaluation was conducted using Common Methodology
for Information Technology Security Evaluation, Version 2.3 (with applicable final
interpretations), for conformance to the Common Criteria for Information Technology
Security Evaluation, version 2.3. The following augmentation is claimed: ALC_FLR.1 –
Basic Flaw Remediation.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the nShield HSM Firmware evaluation meets all the conditions of the Arrangement on
the Recognition of Common Criteria Certificates and that the product will be listed on the
CCS Certified Products list (CPL) and the Common Criteria portal (the official website of
the Common Criteria Project).
1
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 4 augmented
evaluation is nCipher nShield Family of Hardware Security Modules Firmware Version
2.33.60 (hereafter referred to as nShield HSM Firmware), from nCipher Corporation Ltd..
2 TOE Description
The TOE, nShield HSM Firmware, is the firmware executing on a dedicated PCI card. The
firmware provides protection for the cryptographic keys used within computing platforms,
managing cryptographic key generation, archiving, recovery and destruction and
incorporates FIPS PUB 140-2 validated cryptography.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for nShield HSM Firmware is identified
in Section 6 of the Security Target.
The following cryptographic modules were evaluated to the FIPS 140-2 standard:
Cryptographic Module Certificate #
nShield F3 4000, nShield F3 2000, nShield F3 2000 for
netHSM, nShield F3 500 and nShield F3 500 for netHSM
#965
nShield F3 500, nShield F3 500 for NetHSM and nShield
F3 10 PCI
#966
nShield F3 4000, nShield F3 2000, nShield F3 2000 for
netHSM, nShield F3 500 and nShield F3 500 for netHSM
#968
nShield F3 500, nShield F3 500 for NetHSM and nShield
F3 10 PCI
#970
nShield F2 500 and nShield F2 10 PCI #973
nShield F2 4000, nShield F2 2000 and nShield F2 500 #977
The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in nShield HSM Firmware:
Cryptographic Algorithm Standard Certificate #
Triple-DES (3DES) FIPS 46-3 #570
Advanced Encryption Standard (AES) FIPS 197 #599
Rivest Shamir Adleman (RSA) ANSI X9.31 #274
Secure Hash Algorithm (SHA-1) FIPS 180-2 #648
Keyed-Hash Message Authentication
Code (HMAC)
FIPS 198 #309
Random Number Generator (PRNG) FIPS 186-2 Change
Notice 1 SHA-1
and FIPS 186-2
#340
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RNG General
Purpose RNG
Digital Signature (DSA and ECDSA) FIPS 186-2 #64,#233
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: nCipher nShield Family of Hardware Security Modules Firmware Version 2.33.60
Security Target
Version: 1.9
Date: 17 March 2009
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 2.3, for conformance to the Common Criteria for Information
Technology Security Evaluation, Version 2.3.
nShield HSM Firmware is:
a. Common Criteria Part 2 conformant, with security functional requirements based only
upon functional components in Part 2;
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 4 augmented, containing all security assurance requirements in
the EAL 4 package, as well as the following: ALC_FLR.1 – Basic Flaw Remediation.
6 Security Policy
nShield HSM Firmware implements a Cryptographic Operations and Key Management
security policy to manage cryptographic key generation, archiving, recovery and destruction.
Further details of this security policy are found in Sections 5 and 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of nShield HSM Firmware should consider assumptions about usage and
environmental settings as requirements for the product’s installation and its operating
environment. This will ensure the proper and secure operation of nShield HSM Firmware.
7.1 Secure Usage Assumptions
The following Secure Usage Assumption is listed in the ST:
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• The administrative users are assumed to be trusted and not careless, willfully negligent,
or hostile. The administrative users must follow and abide by the instructions provided by
the user guidance documentations.
7.2 Environmental Assumptions
The following Environmental Assumption is listed in the ST:
• nShield HSM Firmware is assumed to be located in a physically secure location, with
appropriate physical security measures.
7.3 Clarification of Scope
nShield HSM Firmware provides a level of protection that is appropriate for an assumed non-
hostile and well-managed user community. While nShield HSM Firmware is designed to
protect its user community against inadvertent or casual attempts to breach system security, it
is not intended for situations in which determined attempts by hostile and well-funded
attackers use sophisticated attacks from within the physical zone, nor could it provide
complete protection against authorized key custodian intentionally or carelessly disclosing
the secret information under their control.
NOTE: It should be noted here that the TOE is firmware only. This evaluation did not
include any of the hardware platforms.
8 Architectural Information
nShield HSM Firmware is a firmware executing on a dedicated PCI card. The firmware
comprises the six subsystems: Command Dispatch, nCore API, Crypto Mechanisms, Device
Abstractions, Device Drivers, and Run-time Libraries.
Further details about the system architecture are proprietary to the vendor, and are not
provided in this report.
9 Evaluated Configuration
The evaluated configuration for nShield HSM Firmware comprises firmware version
2.33.60cam1 in its default state running on the following hardware platforms:
• nShield PCI F3 500;
• nShield PCI F3 2000;
• nShield PCI F3 4000;
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• nShield PCI F2 500;
• nShield PCI F2 2000;
• nShield PCI F2 4000;
• netHSM 500 (containing an nShield PCI F3 500); and,
• netHSM 2000 (containing an nShield PCI F3 2000).
10 Documentation
The nCipher Corporation Ltd. documents provided to the consumer are as follows:
• nShield User Guide (UNIX-based) version 6.2;
• netHSM User Guide (UNIX-based) version 6.3;
• nShield User Guide (Windows) version 6.2;
• netHSM User Guide (Windows) version 6.3;
• nCore API developer reference guide build 2.10.77;
• nShield QuickStart Guide (UNIX-based) version 3.2;
• nShield User Guide (UNIX-based) version 6.2;
• nShield QuickStart Guide (Microsoft Windows) version 3.2;
• nShield User Guide (Windows) version 6.2; and
• Hardware Installation Guide Version 3.0.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of nShield HSM
Firmware, including the following areas:
Configuration management: An analysis of the nShield HSM Firmware configuration
management system and associated documentation was performed. The evaluators found that
the nShield HSM Firmware configuration items were clearly marked, and could be modified
and controlled, and that the configuration management system supported generation of the
TOE. The developer’s configuration management system was observed during a site visit,
and it was found to be mature and well developed.
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Secure delivery and operation: The evaluators examined the delivery documentation and
determined that it described all of the procedures required to maintain the integrity of nShield
HSM Firmware during distribution to the consumer. The evaluators examined and tested the
installation, generation and start-up procedures, and determined that they were complete and
sufficiently detailed to result in a secure configuration.
Design documentation: The evaluators analysed the nShield HSM Firmware functional
specification, high-level design, low-level design, security policy model, and a subset of the
implementation representation; they determined that the documents were internally
consistent, and completely and accurately instantiated all interfaces and security functions.
The evaluators also independently verified that the correspondence mappings between the
design documents were correct.
Guidance documents: The evaluators examined the nShield HSM Firmware administrator
and user guidance documentation and determined that it sufficiently and unambiguously
described how to securely use and administer the product, and that it was consistent with the
other documents supplied for evaluation.
Life-cycle support: The evaluators examined the development security procedures during a
site visit and determined that they detailed sufficient security measures for the development
environment to protect the confidentiality and integrity of the nShield HSM Firmware
design and implementation. The evaluators determined that the developer has used a
documented model of the TOE life-cycle and well-defined development tools that yield
consistent and predictable results. The evaluators reviewed the flaw remediation procedures
used by nCipher Corporation Ltd. for nShield HSM Firmware. During a site visit, the
evaluators also examined the evidence generated by adherence to the procedures. The
evaluators concluded that the procedures are adequate to track and correct security flaws, and
distribute the flaw information and corrections to consumers of the product.
Vulnerability assessment: The nShield HSM Firmware ST’s strength of function claims
were validated through independent evaluator analysis. The evaluators examined the
developer’s vulnerability analysis for nShield HSM Firmware and found that it sufficiently
described each of the potential vulnerabilities along with a sound rationale as to why it was
not exploitable in the intended environment. Additionally, the evaluators conducted an
independent review of public domain vulnerability databases, and all evaluation deliverables
to provide assurance that the developer has considered all potential vulnerabilities.
All these evaluation activities resulted in PASS verdicts.
12 ITS Product Testing
Testing at EAL 4 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
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12.1 Assessment of Developer Tests
The evaluators verified that the developer has met their testing responsibilities by examining
their test evidence, and reviewing their test results, as documented in the ETR2
.
The evaluators analyzed the developer’s test coverage and depth analysis and found them to
be complete and accurate. The correspondence between the tests identified in the developer’s
test documentation and the functional specification was complete.
12.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation, examining the developer's test documentation,
executing a sample of the developer's test cases, and creating test cases that augmented the
developer tests.
All testing was planned and documented to a sufficient level of detail to allow repeatability
of the testing procedures and results. Resulting from this test coverage approach was the
following list of DOMUS IT Security Laboratory test goals:
a. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests; and,
b. Cryptographic key management: The objective of these tests is to determine the TOE's
ability to provide well managed cryptographic key generation, archiving, recovery and
destruction.
12.3 Independent Penetration Testing
Subsequent to the examination of the developer's vulnerability analysis, independent
vulnerability analysis, and the independent review of public domain vulnerability databases
and all evaluation deliverables, limited independent evaluator penetration testing was
conducted. The penetration tests focused on:
• Bypassing;
• Tampering; and
• Direct attacks.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
anticipated operating environment.
2
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
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12.4 Conduct of Testing
nShield HSM Firmware was subjected to a comprehensive suite of formally documented,
independent functional and penetration tests. The testing took place at the Information
Technology Security Evaluation and Test (ITSET) Facility at DOMUS IT Security
Laboratory. The CCS Certification Body witnessed a portion of the independent testing. The
detailed testing activities, including configurations, procedures, test cases, expected results
and observed results are documented in a separate Test Results document.
12.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that nShield HSM Firmware behaves as specified in its ST and functional
specification.
13 Results of the Evaluation
This evaluation has provided the basis for an EAL 4 + level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
14 Evaluator Comments, Observations and Recommendations
nCipher Corporation Ltd. provides comprehensive guidance documents for the installation,
configuration and operation of nShield HSM Firmware.
nCipher Corporation Ltd. employs a rigorous testing process that tests all releases.
15 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
API Application Programming Interface
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CPL Certified Products list
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
HSM Hardware Security Modules
IT Information Technology
ITSET Information Technology Security Evaluation
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Acronym/Abbreviation/
Initialization
Description
and Testing
PALCAN Program for the Accreditation of Laboratories
Canada
ST Security Target
TOE Target of Evaluation
16 References
This section lists all documentation used as source material for this report:
a. CCS Publication #4, Technical Oversight, Version 1.1, August 2005.
b. Common Criteria for Information Technology Security Evaluation, Part 2: Security
Functional Requirements, CCMB-2005-08-002, Version 2.3, August 2005.
c. Common Criteria for Information Technology Security Evaluation, Part 3: Security
Assurance Requirements, CCMB-2005-08-003, Version 2.3, August 2005.
d. Common Methodology for Information Technology Security Evaluation, Evaluation
methodology, CCMB-2005-08-004, Version 2.3, August 2005.
e. nCipher nShield Family of Hardware Security Modules Firmware Version 2.33.60
Security Target, Version 1.9, 17 March 2009.
f. nCipher Corporation Ltd., nCipher nShield Family of Hardware Security Modules
Firmware Version 2.33.60, Evaluation Technical Report, Version 1.3, 17 March
2009.