FIPS 140-2 Non-Proprietary Security Policy: Encryption I/O Module and VMAX 12G SAS Module
Document Version 1.5 © Dell EMC Page 1 of 15
FIPS 140-2 Level 1 Non-Proprietary Security Policy
PowerMax NVMe and VMAX 12G SAS Module
[A] HW: 303-305-100A-06 + FW: v3.08.41.00 for VMAX 12G SAS encryption
Module
[B] HW: 303-493-001C-03 + FW: v3.09.34.00 for PowerMax NVMe Module
Document Version 1.5
November 3, 2021
FIPS 140-2 Non-Proprietary Security Policy: Encryption I/O Module and VMAX 12G SAS Module
Document Version 1.5 © Dell EMC Page 2 of 15
Abstract
This document provides a non-proprietary FIPS 140-2 Security Policy for the PowerMax NVMe Module
and VMAX 12G SAS Module from Dell EMC.
Table of Contents
1 Introduction ..................................................................................................................................................4
1.1 About FIPS 140 .............................................................................................................................................4
1.2 About this Document....................................................................................................................................4
1.3 External Resources .......................................................................................................................................4
1.4 Notices..........................................................................................................................................................4
1.5 Acronyms......................................................................................................................................................4
2 PowerMax NVMe Module and VMAX 12G SAS Module ................................................................................6
2.1 Product Overview.........................................................................................................................................6
2.2 Cryptographic Module Specification ............................................................................................................6
2.2.1 Validation Level Detail .............................................................................................................................9
2.2.2 Approved Algorithms and Implementation Certificates..........................................................................9
2.3 Module Interfaces ........................................................................................................................................9
2.4 Roles, Services, and Authentication ...........................................................................................................10
2.4.1 Operator Services and Descriptions.......................................................................................................10
2.5 Physical Security.........................................................................................................................................11
2.6 Operational Environment...........................................................................................................................11
2.7 Cryptographic Key Management ...............................................................................................................13
2.8 Self-Tests ....................................................................................................................................................13
2.8.1 Power-On Self-Tests...............................................................................................................................14
2.8.2 Conditional Self-Tests ............................................................................................................................14
2.8.3 Critical Self-Tests....................................................................................................................................14
2.9 Mitigation of Other Attacks .......................................................................................................................14
3 Guidance and Secure Operation..................................................................................................................15
3.1 Crypto Officer Guidance .............................................................................................................................15
3.2 User Guidance ............................................................................................................................................15
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List of Tables
Table 1 – Acronyms and Terms......................................................................................................................................5
Table 2 – Validation Level by DTR Section.....................................................................................................................9
Table 3 – Algorithm Certificates ....................................................................................................................................9
Table 4 – Logical Interface / Physical Interface Mapping ............................................................................................10
Table 5 – Operator Services and Descriptions.............................................................................................................11
Table 6 – Module Keys/CSP .........................................................................................................................................13
List of Figures
Figure 1 – [A] Physical Boundary (Top)..........................................................................................................................7
Figure 2 – [A] Physical Boundary (Bottom)....................................................................................................................7
Figure 3 – [B] Physical Boundary (Top)..........................................................................................................................8
Figure 4 – [B] Physical Boundary (Bottom)....................................................................................................................8
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1 Introduction
1.1 About FIPS 140
Federal Information Processing Standards Publication 140-2 — Security Requirements for Cryptographic
Modules specifies requirements for cryptographic module to be deployed in a Sensitive but Unclassified
environment. The National Institute of Standards and Technology (NIST) and Communications Security
Establishment (CSE) Cryptographic Module Validation Program (CMVP) runs the FIPS 140 program. The
CMVP accredits independent testing labs to perform FIPS 140 testing; the CMVP also validates test
reports for all modules pursuing FIPS 140 validation. Validation is the term given to a module that is
documented and tested against the FIPS 140 criteria.
More information is available on the CMVP website at
http://csrc.nist.gov/groups/STM/cmvp/index.html.
1.2 About this Document
This non-proprietary Cryptographic Module Security Policy for the PowerMax NVMe Module and VMAX
12G SAS Module solution from Dell EMC provides an overview of the product and a high-level
description of how it meets the security requirements of FIPS 140-2 Level 1. This document contains
details on the module’s cryptographic keys and critical security parameters. This Security Policy
concludes with instructions and guidance on running the module in a FIPS 140-2 mode of operation.
Dell EMC’s PowerMax NVMe Module and VMAX 12G SAS Module line cards may also be referred to as
the “module” in this document.
1.3 External Resources
The Dell EMC website (http://www.dellemc.com) contains information on the full line of products from
Dell EMC, including a detailed overview of the PowerMax NVMe Module and VMAX 12G SAS Module
solution. The Cryptographic Module Validation Program website contains links to the FIPS 140-2
certificate and Dell EMC contact information.
1.4 Notices
This document may be freely reproduced and distributed in its entirety without modification.
1.5 Acronyms
The following table defines acronyms found in this document:
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Acronym Term
AES Advanced Encryption Standard
API Application Programming Interface
CSE Communications Security Establishment
CSP Critical Security Parameter
DEK Data Encryption Key
DTR Derived Testing Requirement
ECB Electronic Codebook
FIPS Federal Information Processing Standard
GPC General Purpose Computer
GPOS General Purpose Operating System
I/O Input/Output
KAT Known Answer Test
KEK Key Encryption Key
NIST National Institute of Standards and Technology
NVMe Non-Volatile Memory Express
NVRAM Non-Volatile Random Access Memory
OSC Oscillator
PCIe Peripheral Component Interconnect Express
SAS Serial Attached SCSI
SCSI Small Computer System Interface
XTS Xor-Encrypt-Xor-based Tweaked CodeBook with
CipherText Stealing
Table 1 – Acronyms and Terms
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2 PowerMax NVMe Module and VMAX 12G SAS Module
2.1 Product Overview
Dell EMC Data at Rest Encryption provides hardware-based, on-array, back-end encryption for Dell EMC
storage systems, including VMAX and PowerMax. Data at Rest Encryption protects information from
unauthorized access when drives are physically removed from the system and also offers a convenient
means of decommissioning all drives in the system at once.
Dell EMC modules implement AES-XTS 256-bit encryption on all drives in the system. These modules
encrypt and decrypt data as it is being written to or read from a drive. Because the encryption happens
in the I/O module, the back end drives need not be self-encrypting and all back end drive types are
supported.
Dell EMC Efficient Encryption allows PowerMax to apply full data reduction capabilities of Dell EMC
storage on host encrypted data. It leverages the same hardware-based, on-array, back-end encryption
module used by the Data at Rest Encryption. The AES-XTS 256-bit encrypted data from a host-based
encryption application is decrypted using shared keys, for the sole purpose of allowing Data Reduction
via compression and deduplication, before storing this data securely on the drive. The shared keys are
protected during transmission using AES Key Wrapping.
2.2 Cryptographic Module Specification
The module is Dell EMC’s PowerMax NVMe Module and VMAX 12G SAS Module in the following
configuration for each:
[A] HW: 303-305-100A-06 + FW: v3.08.41.00 for VMAX 12G SAS encryption module
[B] HW: 303-493-001C-03 + FW: v3.09.34.00 for PowerMax NVMe module
Each is classified as a multi-chip embedded hardware cryptographic module, and the physical
cryptographic boundary is defined as the module board, controller, flash memory, and interfaces as
depicted in Figures 1 through 4 below. The logical cryptographic boundary of the modules is the
accessible API of the module firmware (v3.08.41.00 and v3.09.34.00) used by other system software.
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Figure 1 – [A] Physical Boundary (Top)
Figure 2 – [A] Physical Boundary (Bottom)
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Figure 3 – [B] Physical Boundary (Top)
Figure 4 – [B] Physical Boundary (Bottom)
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No components are excluded from validation. The module encrypts and decrypts data using only a FIPS-
approved mode of operation. It does not have any functional non-approved modes or bypass capability.
2.2.1 Validation Level Detail
The following table lists the level of validation for each area in FIPS 140-2:
FIPS 140-2 Section Title Validation Level
Cryptographic Module Specification 1
Cryptographic Module Ports and Interfaces 1
Roles, Services, and Authentication 1
Finite State Model 1
Physical Security 2
Operational Environment N/A
Cryptographic Key Management 1
Electromagnetic Interference / Electromagnetic Compatibility 1
Self-Tests 1
Design Assurance 3
Mitigation of Other Attacks N/A
Table 2 – Validation Level by DTR Section
The “Mitigation of Other Attacks” section is not applicable as the module does not implement any
countermeasures against special attacks.
2.2.2 Approved Algorithms and Implementation Certificates
The module’s cryptographic algorithm implementations have received the following certificate numbers
from the Cryptographic Algorithm Validation Program:
Algorithm Type Algorithm CAVP Certificate
Symmetric Key AES 256-bit in XTS mode
AES 256-bit key wrap (unwrap only)
AES 256-bit ECB encrypt/decrypt
3586
3598
Note1
Keyed Hash HMAC-SHA512 2296
Message Digest SHA-512 2961
Table 3 – Algorithm Certificates2
2.3 Module Interfaces
The interfaces for the cryptographic boundary include physical and logical interfaces. The physical
interfaces provided by the module are mapped to four FIPS 140-2 defined logical interfaces: Data Input,
1
Not used directly by the module but CAVP tested and validated as a pre-requisite for the XTS and KTS functions
(AES Cert. #3598)
2
For certs. #2296 and #2961, not all tested sizes are used by the module
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Data Output, Control Input, and Status Output. The mapping of logical interfaces to module physical
interfaces is provided in the following table:
FIPS 140-2 Logical
Interface
Module Physical Interface
Data Input [A][B] PCI Express
[A] Mini-SAS HD
Data Output [A][B] PCI Express
[A] Mini-SAS HD
Control Input PCI Express
Status Output PCI Express
Power / Service LED (1 per module)
Green: indicates operational
Link LEDs (1 per port, 2 per module)
Blue: indicates active connection
Blue blinking: port marking – port needs service
Power PCI Express
Table 4 – Logical Interface / Physical Interface Mapping
2.4 Roles, Services, and Authentication
As required by FIPS 140-2, there are two roles (a Crypto Officer role and User role) in the module that
operators may assume. As allowed by Level 1, the module does not support authentication to access
services.
2.4.1 Operator Services and Descriptions
The services available to the User and Crypto Officer roles in the module are as follows:
Service Description Service Input / Output Interface Key/CSP
Access
Roles
Initialize Initializes the
module for FIPS
mode of
operation
Configuration Parameters /
Module configured
PCI Express KEK
DEK
HMAC Key
Crypto
Officer
Self Test Performs self
tests on critical
functions of
module (integrity
and algorithm
self-tests)
Initiate self tests / Self tests
pass or fail. Note this is not a
user-callable service. It is
invoked automatically when
module is powered on.
PCI Express HMAC Key Crypto
Officer
Decrypt Decrypts data
using AES
Initiate AES decryption / data
decrypted
Mini-SAS HD
PCI Express
DEK Crypto
Officer
User
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Service Description Service Input / Output Interface Key/CSP
Access
Roles
Encrypt Encrypts data
using AES
Initiate AES encryption/ data
encrypted
Mini-SAS HD
PCI Express
DEK Crypto
Officer
User
Keyed Hash
(HMAC)
Firmware
authentication /
integrity
On load / pass/fail PCI Express HMAC Key Crypto
Officer
Message
digest (SHS)
Message digest
functions /
support firmware
integrity
Initiate message digest / data
hashed
PCI Express None Crypto
Officer
Show Status Shows status of
the module
Show status commands /
Module status
PCI Express
LEDs
None Crypto
Officer
Decommission Revert
configuration to
default
Run decommission / CSPs
cleared
PCI Express KEK
DEK
HMAC Key
Crypto
Officer
Key Unwrap Unwrap DEK Internally unwrap encrypted
DEK / plaintext DEK. Note
this is not a user-callable
service.
PCI Express KEK
DEK
Crypto
Officer
User
Table 5 – Operator Services and Descriptions
2.5 Physical Security
The module is a multiple-chip embedded module and conforms to Level 2 requirements for physical
security. The cryptographic module consists of production-grade components3
in a strong, opaque metal
cover protected with tamper evidence labels installed at time of manufacture. The physical boundary of
the cryptographic module is the same as the physical boundary depicted in Figure 4 – [B] Physical
Boundary.
The module does not include a maintenance mode; therefore, the FIPS-140-2 maintenance mode
requirements do not apply.
2.6 Operational Environment
The module operates in a limited operational environment and does not implement a General Purpose
Operating System.
3
Production grade is robust/rugged metal and plastic designed for intensive computing environments (i.e., server
rooms) with standard passivation applied to the metal, designed to meet requirements for power, temperature,
reliability, shock, and vibrations.
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Additionally, the module meets Federal Communications Commission (FCC) FCC Electromagnetic
Interference (EMI) and Electromagnetic Compatibility (EMC) requirements for business use as defined
by 47 Code of Federal Regulations, Part 15, Subpart B.
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2.7 Cryptographic Key Management
The table below provides a complete list of Critical Security Parameters used within the module:
Keys and
CSPs
Storage
Location
/
Method
Use Input Method /
Output
Generated Zeroized Access
KEK (AES key
unwrapping
key)
Flash in
Plaintext
256-bit key
to unwrap
DEK
Electronic,
plaintext via host
platform / No
Generated at host
platform install time
outside the module
via FIPS-approved
library
Yes
Decommission
CO
RWD
User
R
DEK (AES) DRAM in
Plaintext
256-bit key
to encrypt /
decrypt data
Electronic,
encrypted with
KEK / No
Generated outside
the module at time
of install or
replacement of disk
drives outside the
module via FIPS-
approved library
Yes
Power Off
Reset
Decommission
CO
RWD
User
RW
HMAC Key EEPROM
in
Plaintext
512-bit key
used in
firmware
integrity test
Electronic,
plaintext via host
platform / No
Generated at host
platform install time
outside the module
via FIPS-approved
library
Never CO
RWD
User
None
R = Read W = Write D = Delete
Table 6 – Module Keys/CSP
The DEK is entered encrypted electronically from the host platform into the module. The DEK is wrapped
with the KEK. The module then uses its internally stored copy of the host platform-generated KEK to
decrypt the DEK using AES in KW mode. This functionality has been tested and found compliant to SP
800-38F “Recommendation for Block Cipher Modes of Operation: Methods for Key Wrapping” and is
denoted on the module certificate as KTS.
2.8 Self-Tests
The module includes an array of self-tests that are run to prevent any secure data from being released
and to ensure all components are functioning correctly. In the event of any self-test failure, the module
will report an error status and shutdown into an error state. When the module is in an error state, no
keys, CSPs, or data will be output and the module will not perform cryptographic functions. Upon failure
of the self-tests the module will halt and become inoperable.
The module does not support a bypass function.
The following sections discuss the module’s self-tests in more detail.
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2.8.1 Power-On Self-Tests
Power-on self-tests are run upon every initialization of the module and do not require operator
intervention to run. If any of the tests fail, the module will not initialize. The module will enter an error
state and no cryptographic functions can be accessed. The module implements the following power-on
self-test:
• AES XTS Encrypt KAT
• AES XTS Decrypt KAT
• AES Key Unwrap KAT
• HMAC-SHA512 KAT
• SHA512 KAT
• Firmware integrity via HMAC-SHA512
The module performs this power-on self-test automatically during initialization, and it must pass before
a User/Crypto Officer can perform cryptographic functions. The power-up self-tests can also be
performed by power-cycling the module.
2.8.2 Conditional Self-Tests
Conditional self-tests are tests that run continuously during operation of a module. The module does not
perform any conditional self-tests since it does not implement any functions that require a conditional
test.
2.8.3 Critical Self-Tests
The module implements the following critical function test which is necessary for the secure operation
of the module. The test is invoked before the use of the AES XTS algorithm to ensure that the two keys
used in this operation are not identical:
• AES XTS Duplicate Key Test
2.9 Mitigation of Other Attacks
The module does not mitigate other attacks.
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3 Guidance and Secure Operation
This section describes how to configure the module for FIPS-approved mode of operation. Operating the
module without maintaining the following settings will remove the module from the FIPS-approved
mode of operation.
3.1 Crypto Officer Guidance
The Crypto Officer (i.e. authorized Dell EMC personnel) must configure and enforce the following
initialization procedures in order to operate in FIPS approved mode of operation:
• Verify that the name and part number of module is as specified on the title page of this
document.
• Verify encryption is enabled on the host platform.
• Ensure that KEK, DEK, and HMAC are generated on the host platform via FIPS-approved module.
Please note that this functionality is beyond the scope of the validation.
• Ensure that the KEK and HMAC are successfully entered on the module at time of installation.
Otherwise, no specific commands or settings are required to place the module in FIPS-approved mode
of operation.
3.2 User Guidance
No additional guidance is required for Users to maintain FIPS mode of operation.
End of Document