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HPE XP8 Encrypt Backend 4pk NVMe I/O Mod (eDKBN)
FIPS 140-2
Non-Proprietary Cryptographic Module Security Policy
Version: 4.1
Date: March 17, 2021
Prepared by: Hewlett Packard Enterprise Company
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Table of Contents
1 Introduction ..................................................................................................................4
1.1 Hardware and Physical Cryptographic Boundary.........................................................................5
1.2 Firmware and Logical Cryptographic Boundary...........................................................................8
1.3 Mode of Operation.......................................................................................................................9
2 Cryptographic Functionality ......................................................................................... 10
2.1 Critical Security Parameters.......................................................................................................11
3 Roles, Authentication and Services .............................................................................. 13
3.1 Assumption of Roles...................................................................................................................13
3.2 Authentication Methods............................................................................................................14
3.3 Services.......................................................................................................................................15
4 Self-tests ..................................................................................................................... 18
4.1 Power up self-tests.....................................................................................................................18
4.2 Sampling test..............................................................................................................................19
4.3 Firmware load test .....................................................................................................................19
5 Physical Security Policy................................................................................................ 19
6 Operational Environment ............................................................................................ 20
7 Mitigation of Other Attacks Policy................................................................................ 20
8 Security Rules and Guidance ........................................................................................ 20
8.1 Crypto Officer Guidance.............................................................................................................21
8.2 User Guidance............................................................................................................................22
8.3 Physical Security Inspection .......................................................................................................22
9 Design Assurance Policy............................................................................................... 23
9.1 Configuration Management Overview.......................................................................................23
9.2 Installation, Initialization, and Start-up Overview .....................................................................23
9.3 Secure Delivery and Operation Overview..................................................................................23
10 References and Definitions .......................................................................................... 24
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List of Tables
Table 1 – Cryptographic Module Configurations..........................................................................................4
Table 2 – Security Level of Security Requirements.......................................................................................4
Table 3 – Ports and Interfaces ......................................................................................................................9
Table 4 – Approved and CAVP Validated Cryptographic Functions............................................................10
Table 5 – Critical Security Parameters (CSPs) .............................................................................................11
Table 6 – Public Security Parameter (PSP)..................................................................................................12
Table 7 – Roles Description.........................................................................................................................13
Table 8 – Authentication Description Strengths.........................................................................................14
Table 9 – Authenticated Services................................................................................................................15
Table 10 – Unauthenticated Services .........................................................................................................15
Table 11 – CSP Access Rights within Services .............................................................................................16
Table 12 – Power Up Self-tests...................................................................................................................18
Table 13 – Conditional Self-tests ................................................................................................................19
Table 14 – Physical Security Inspection Guidelines ....................................................................................20
Table 15 – References.................................................................................................................................24
Table 16 – Acronyms and Definitions .........................................................................................................24
List of Figures
Figure 1 – (a) Front Side of the Module (b) Front Side of the Module with light......................6
Figure 2 – (a) Back Side of the Module (b) Back Side of the Module with light.......................6
Figure 3 – Up Side of the Module .................................................................................................................7
Figure 4 – Bottom Side of the Module..........................................................................................................7
Figure 5 – Module Block Diagram................................................................................................................8
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1 Introduction
This document defines the Security Policy for the HPE XP8 Encrypt Backend 4pk NVMe I/O Mod (eDKBN) ,
hereafter denoted the module. The module is 32 Gb/s PCIe I/O module with Encryption. The module
provides high speed data at rest encryption for HPE storage. In other words, the module encrypts data
onto SSDs and decrypts data read from SSDs using XTS-AES. The XTS-AES mode was approved by CMVP
for protecting the confidentiality of data on storage devices. The module meets FIPS 140-2 overall Level 2
requirements.
Table 1 – Cryptographic Module Configurations
Module HW P/N and Version FW Version
1 HPE XP8 Encrypt Backend 4pk NVMe
I/O Mod (eDKBN)
P/N: 3292549-A
Version: A or B
90-00-01
The part number of the FLASH NOR memory is different between Version A and B. In addition, a heat
dissipation sheet is applied to Version B.
The module is intended for use by US Federal agencies and other markets that require FIPS 140-2 validated
PCIe I/O module used for HPE storage system with data at rest encryption feature. The module is a
hardware cryptographic module with multi-chip embedded embodiment.
The FIPS 140-2 security levels for the module are as follows:
Table 2 – Security Level of Security Requirements
Security Requirement Security Level
Cryptographic Module Specification 2
Cryptographic Module Ports and Interfaces 2
Roles, Services, and Authentication 2
Finite State Model 2
Physical Security 2
Operational Environment N/A
Cryptographic Key Management 2
EMI/EMC 2
Self-Tests 2
Design Assurance 2
Mitigation of Other Attacks N/A
Overall 2
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1.1 Hardware and Physical Cryptographic Boundary
The physical form of the module is depicted in Figure 1 to 4; the physical boundary of the cryptographic
module is the enclosure of metal frame shown in the Figures. Major components of the module are
module board, FPGA, SDRAM, PCIe-Switch, SPI ROM and interfaces. The module board is covered with
the metal frame and the tamper seal is on the screw. In addition, the black louvers are implemented to
the circuit board to disturb the access from an opening of the front and back side of the module as shown
figure-1(b), 2(b). The black louver and the metal frame are opaque within the visible spectrum. The
module relies on HPE storage as input/output devices.
(a)
(b)
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Figure 1 – (a) Front Side of the Module (b) Front Side of the Module with light
(a)
(b)
Figure 2 – (a) Back Side of the Module (b) Back Side of the Module with light
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Figure 3 – Up Side of the Module
Figure 4 – Bottom Side of the Module
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1.2 Firmware and Logical Cryptographic Boundary
Black bold line shows the cryptographic boundary. The FPGA is responsible for processing IOs to SSDs as
well as encrypting/decrypting IOs where applicable. The PCIe-Switch is connected to FPGA, miniSAS-HD
and CPU with PCI-Express interface, therefore IOs in the module can access to SSDs high speed
transmission. Firmware images are stored in the SPI ROM of FPGA and PCIe-Switch. They are loaded to
each FPGA and PCIe-Switch when the module power up. All functions and system initialization are
performed by the FPGA, which is contained within the cryptographic boundary of the module. CSPs are
stored in SPI ROM.
Figure 5 – Module Block Diagram
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Table 3 – Ports and Interfaces
Port Description Logical Interface Type
Main edge - PCI-express: plaintext input/output, module control data
input, module status data output
- I2C: module control data input, module status data output
- Power: 12V power input
- Power
- Data in
- Data out
- Control in
- Status out
PCIe edge - PCIe: cipher text input/output - Data in
- Data out
LED - LED: module status output - Status out
1.3 Mode of Operation
The module only supports FIPS-approved mode of operation, and therefore, only supports FIPS-approved
security functions. No other modes of operation and no other security functions are implemented.
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2 Cryptographic Functionality
The module implements the FIPS Approved cryptographic functions listed in the tables below.
The module implements no vendor affirmed security function.
Table 4 – Approved and CAVP Validated Cryptographic Functions
Algorithm Description Cert #
AES-ECB [FIPS 197] [SP 800-38A]
Functions: Encryption, Decryption
Key sizes: 256 bits
C1594
XTS-AES mode [FIPS 197] [NIST SP 800-38E]
Functions: Encryption, Decryption
Key sizes: 256 bits
C1594
AES Key Unwrap(KTS) [FIPS 197] [NIST SP 800-38F]
Functions: Key unwrapping; key establishment
methodology provides 256 bits of encryption strength
Key sizes: 256 bits
C1594
SHS [FIPS 180-4]
Functions: Calculation of HMAC, Message digesting of
authentication data
SHA sizes: SHA-256
C1594
HMAC [FIPS 198-1]
Functions: MAC generation
SHA sizes: SHA-256
C1594
AES-OFB is implemented in the cryptographic algorithm implementation in the module and it is
validated under C1594. However, since the module does not use AES-OFB, no command using AES-OFB
is available for the module. Therefore, AES-OFB is not listed in Table 4.
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2.1 Critical Security Parameters
All CSPs used by the module are described in this section. All usage of these CSPs by the module (including
all CSP lifecycle states) is described in the services detailed in Section 3.
Table 5 – Critical Security Parameters (CSPs)
CSP Description / Usage
KEKini 256-bit factory-set key used to unwrap KEK using AES Key Unwrap. KEK wrapped with
KEKini using AES Key Wrap is entered to the module.
KEK Management service zeroizes KEKini by overwriting with 0xFF.
KEKini is generated outside the module and input to the module when the module is
manufactured. KEKini is stored in the SPI ROM in the module.
Authentication
data
256-bit string used to authenticate the operator. This bit string is set initial values as
factory-set. Different values are set for each Role, such as User or Crypto Officer. Services
other than Operator management cannot be used until initial Authentication Data is
updated. The module holds the message digest of Authentication data to verify whether
a digest of inputted Authentication data matches with it or not. SHA-256 is used for
digesting the Authentication data. Although the message digest of Authentication data is
not considered as a CSP, it can be zeroized by the Operator Management service
(overwriting with 0xFF).
Authentication data is stored in the SPI ROM in the module.
The initial Authentication data set at factory is distributed to a user of the module.
KEK 256-bit key used to unwrap DEKs and HMAC Keys using AES Key Unwrap. DEKs and HMAC
Keys wrapped with KEK using AES Key Wrap are entered to the module .
KEK Management service zeroizes KEK by overwriting with 0xFF.
KEK is generated outside the module, wrapped by KEKini or previous KEK, input to the
module, and decrypted by KEKini or previous KEK. KEK is stored in the SPI ROM in the
module.
DEK Two 256-bit keys used for XTS-AES encryption/decryption.
DEK Management service zeroizes DEK by overwriting with 0x00.
DEK is generated outside the module, wrapped by KEK, input to the module, and
decrypted by KEK. DEK is stored in the SRAM inside FPGA in the module.
HMAC Key 256-bit key used for authenticating firmware loaded from host .
HMAC Key Management service zeroizes HMAC Key by overwriting with 0xFF.
HMAC Key is generated outside the module, wrapped by KEK, input to the module, and
decrypted by KEK. HMAC Key is stored in the SPI ROM in the module.
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Table 6 – Public Security Parameter (PSP)
PSP Description / Usage
Index counter
of sampling
test
The index counter used for the Deterministic Sampling Method shown in IG 9.12. This
counter is used in the Sampling test service, and is written on the SRAM in the FPGA.
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3 Roles, Authentication and Services
3.1 Assumption of Roles
The module supports two distinct operator roles, User and Cryptographic Officer (CO). The cryptographic
module enforces the separation of roles, since concurrent operators are not supported. Re-authentication
is enforced when changing roles. The operator must be assigned to a single role. An operator must log out
before another operator can log in.
Table 6 lists all operator roles supported by the module. The module does not support a maintenance
role and bypass capability. After the module powers off or execute Sampling test, all the data stored in
SDRAM, including previously authenticated operators, are cleared. All CSPs are protected through APIs
and logic developed for the sole purpose of integration into specific HPE host platforms. Only HPE-
authored drivers can access cryptographic APIs. Further, the module functionally does not allow keys and
authentication data to be disclosed, modified, or substituted in FIPS mode of operation, and does not
provide an operator with any feedback that weaken the strength of the authentication mechanism during
an attempted authentication.
Table 7 – Roles Description
Role ID Role Description Authentication Type Authentication Data
CO Cryptographic Officer – The role which used
to FPGA assumed to perform cryptographic
initialization or management functions.
Role-based 256-bit string
User User – The role assumed to perform general
security services, including cryptographic
operations and other approved security
functions.
Role-based 256-bit string
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3.2 Authentication Methods
The module enforces role separation by requiring 256-bit authentication data for the two roles: User and
Cryptographic Officer. The Authentication data for each role is inputted in plaintext to authenticate the
operator when it logs in as the role. The module can login from Cryptographic Officer (User) to User
(Cryptographic Officer), and check Authentication data.
The module holds the Authentication data digested by SHA-256 to verify whether a digest of inputted
Authentication data matches with it or not.
Authentication process requires more than 300ms (actual measured value).
Table 8 – Authentication Description Strengths
Authentication Method Probability of a Single Successful
Random Attempt
Probability of a Successful
Attempt within a Minute
Credential (authentication
data)
1/2^256
The probability that a random
attempt will succeed or a false
acceptance will occur depends on
256-bit Authentication data.
Therefore, the probability is
1/2^256, which is less than
1/1,000,000.
200/2^256
Since authentication requires more
than 300ms in a worst case
scenario, the module can perform
at most 200 times Authentication
data per minute. Therefore, the
probability that multiple attacks
within a given minute will be
successful is 200/2^256, which is
less than 1/100,000.
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3.3 Services
All services implemented by the module are listed in the tables below. Each service description also
describes all usage of CSPs by the service. Also, Table 9 shows the role that is able to perform the service.
Table 9 – Authenticated Services
Service Description CO User
Operator Management Adds an operator’s role, and an Authentication data,
updates the Authentication data and zeroizes one or
all operators and Authentication data
X X
Logout Operator logout of the module
This service can execute when operator logged in
X X
Decrypt Decrypts data using XTS-AES X
Encrypt Encrypts data using XTS-AES X
DEK Management Loads, updates and zeroizes DEKs X X
KEK Management Loads, updates and zeroizes KEKs X X
HMAC Key Management Loads, updates and zeroizes the HMAC key X X
Firmware Update Updates the firmware X X
Abort Abort Decrypt and Encrypt X
Table 9 shows the services that are available without an operator authentication.
Table 10 – Unauthenticated Services
Service Description
Module Reset
(On demand power up
self-tests)
Reset the module is performed power off/on
Login Authenticates operators
Get Current Operator Get the operator’s role and an identity string of the current operator
Revert Zeroizes CSPs, and an Authentication data returns initialization.
Show Status Show module status with LEDs or bits in a status register
Refer to backend NVMe IF specification about bits in a status register as MRPC
command
Hardware Setting Initialize hardware settings
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Service Description
Copy transmission Copy I/O data
Sampling test
(On demand firmware
integrity test)
Performs the firmware integrity test using Sampling
Table 10 defines the relationship between access to CSPs and the different module services. The modes
of access shown in the table are defined as:
• E = Execute: The module executes using the CSP.
• W = Write: The module writes the CSP. The write access is typically performed after a CSP is
imported into the module, when the module generates a CSP, or when the module overwrites an
existing CSP.
• Z = Zeroize: The module zeroizes the CSP.
Table 11 – CSP Access Rights within Services
Service
CSPs
KEKini KEK DEK
Authenticat
ion data
HMAC Key
Operator Management W/Z
Decrypt E
Encrypt E
DEK Management E W/Z
KEK Management E/W/Z E/W/Z
HMAC Key Management E W/Z
Firmware Update E
Module Reset(Self-tests)
Sampling test
Hardware setting
Abort
Login E
Logout
Get Current Operator
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Service
CSPs
KEKini KEK DEK
Authenticat
ion data
HMAC Key
Show Status
Revert Z Z Z Z
Copy transmission
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4 Self-tests
4.1 Power up self-tests
Each time the module is powered up it tests that the cryptographic algorithms still operate correctly and
that sensitive data have not been damaged. Power up self-tests are available on demand by power cycling
or resetting the module.
On power up or reset, the module performs the self-tests described in Table 12 below. Each Firmware
Integrity tests and all Cryptographic Algorithm Known Answer tests (hereafter KATs) must be completed
successfully prior to any other use of cryptography by the module. If Firmware Integrity test or one of the
KATs fails, the module enters the fatal error state. If Firmware Integrity test or one of the KATs fails, signal
path(connected CPU to the module) doesn’t link up and the module shows the result of self-tests with
bits in an IO status are set as “11XXb”.
Self-tests do not require any intervention or input from the operator. Power up self-tests are
automatically executed when the module is powered up.
Table 12 – Power Up Self-tests
Test Target Description
Firmware Integrity 16 or 32 bit CRC performed over all code in Flash memory.
XTS-AES mode KATs: Encryption, Decryption
Key sizes: 256 bits
AES Key Unwrap KATs: Unwrap
Key sizes: 256 bits
HMAC KATs: Verification
SHA sizes: SHA-256
Note1: The SHA-256 algorithm doesn’t perform independently for self-test, but is performed the self-tests
using HMAC ; thus, the SHA-256 doesn’t describe Table 11.
Note2: The AES ECB (256bit) algorithm doesn’t perform independently for self-test, but is performed the
self-tests using XTS-AES ; thus, the AES ECB doesn’t describe Table 11.
Note3: Perform 16bit CRC for PCIe-Switch bootloader Firmware and FPGA main Firmware
Perform 32bit CRC for PCIe-Switch main Firmware and Configuration data, FPGA bootloader
Firmware and Configuration data
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4.2 Sampling test
Since this type of module is required not to stop when it is in operation, the function to reset the PCIe-
Switch component only is implemented. The “Sampling test” service described in Table 9 of the security
policy is the function. The “Sampling test” service is neither power up self-tests nor on demand power up
self-tests. The function of the PCIe-Switch component in this module is a data path control, and therefore,
the function to reset the PCIe-Switch component is used for an error such as the case that a PCIe error is
detected in a register.
A processing time requirement for resetting the PCIe-Switch only is highly demanded, that is, it is required
to complete the reset in a very short time, comparing with the time for the power up self-tests. In order
to address this problem, the concept of the sampling test shown in IG 9.12 is employed.
For the sampling test, the PCIe-Switch firmware component is divided into 17 portions. The number of
the portions is less than 20 that is the maximum number of portions defined in IG 9.12. In the single
sampling test, the integrity of 2,008,000 bits of firmware data is checked. The data size is more than
1,000,000 bits required by IG 9.12.
In addition to the integrity test, the sampling test runs the cryptographic algorithm known answer tests
for all cryptographic algorithms implemented in the module.
In the sampling test, the portion of the PCIe-Switch bootloader Firmware is deterministically selected.
That is, when the PCIe-Switch is reset 17 times (it means that the sampling test is called 17 times), the
integrity of the whole PCIe-Switch firmware is checked.
4.3 Firmware load test
As the firmware is being externally sent to the module, the firmware images are authenticated using the
HMAC authentication technique. Both a loaded firmware image and the HMAC key stored in the module
are fed into the SHA engine, together with the proper SHA-256 algorithm, the calculated HMAC digest is
compared with the one embedded in the firmware image. If they don't equal, the firmware authentication
fails and the module indicate the state. If “Firmware Update” results in failure, the admin status field code
of 11XXb is sent from the FPGA as the response. In addition, the reason of the failure is included in the
admin status field code as 0x00001000 that means “Firmware image HMAC authentication failure”.
The firmware load test is automatically performed when the Firmware Update service is invoked.
Table 13 – Conditional Self-tests
Test Target Description
Firmware Load HMAC authentication performed when firmware is loaded.
5 Physical Security Policy
The module is a multi-chip embedded cryptographic module and conforms to Level 2 requirements for
physical security. The cryptographic module consists of production-grade components. four tamper
evident seals are pre-installed (at factory) as shown on the Figure 1-4 with dashed arrows. These tamper
evident seals are very fragile and cannot be removed without clear signs of damage to the labels. The
module is implemented with the black louver that is opaque within the visible spectrum. Also, from the
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bottom side of the module, the SDRAM is hidden by bending structure to the metal frame and adding
blind parts front of the module.
Table 14 – Physical Security Inspection Guidelines
Physical Security Mechanism Inspection/Test Guidance Details
Tamper Evident Seals Shown on the Figure 1-4 with dashed arrows.
Upon receipt of the new module from HPE or
whenever the existing module in the storage
system is removed and re-installed, the CO should
visually inspect the module and the tamper evident
seals found on the module. It is recommended that
the CO inspects the tamper evident seals, each time
the module can be disconnected from the storage
system (when the storage system is powered off, in
the case of the system maintenance, etc.). If an
evidence of tampering (including scratches or
scrapes, signs of peeling off, tearing or damage) is
detected, the CO shall immediately refuse the
module installation and notify the
management. CO shall also request a new
replacement module with tamper evident seals by
contacting HPE Customer Support.
louver Black louver shown on the Figure 1 and 2
Metal frame Metal frame shown on the Figure 2
6 Operational Environment
The module is designated as a limited operational environment under the FIPS 140-2 definitions. The
module includes a firmware load service to support necessary updates. New firmware versions within the
scope of this validation must be validated through the FIPS 140-2 CMVP. Any other firmware loaded into
this module is out of the scope of this validation and require a separate FIPS 140-2 validation.
7 Mitigation of Other Attacks Policy
The module does not mitigate other attacks.
8 Security Rules and Guidance
The module design corresponds to the module security rules. This section documents the security rules
enforced by the cryptographic module to implement the security requirements of this FIPS 140-2 Level 2
module.
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1. The module shall provide two distinct operator roles: User and Cryptographic Officer.
2. The module shall provide role-based authentication.
3. The module shall clear previous authentications on power cycle.
4. When the module has not been placed in a valid role, the operator shall not have access to any
cryptographic services shown in Table 8.
5. The operator shall be capable of commanding the module to perform the power up self-tests by
cycling power or resetting the module.
6. Power up self-tests do not require any operator action.
7. Data output shall be inhibited during self-tests, zeroization, and error states.
8. Status information does not contain CSPs or sensitive data that if misused could lead to a compromise
of the module.
9. There are no restrictions on which keys or CSPs are zeroized by the zeroization service.
10. The module does not support concurrent operators .
11. The module does not support a maintenance interface or role.
12. The module does not support manual key entry.
13. The module does not have any external input/output devices used for entry/output of data.
14. The module does not output plaintext CSPs.
15. The module does not support the update of the logical serial number or vendor ID.
8.1 Crypto Officer Guidance
The Crypto Officer must configure and enforce the following initialization procedures in order to operate
in FIPS approved mode of operation:
1. Verify that the name and part number of module is 3292549-A (CTLSE) and version is A,B. The
3292549-A(CTLSE) is the part number of the board that includes the module.
2. Verify that the firmware version of module is 90-00-01.
3. Embed the module to the host storage system.
4. Supply power into the module through the host storage system.
5. Update and set the authentication data by the following personalization procedures when the module
is accessed for the first time.
a. Log in as the CO role with the factory setting CO authentication data. Use the Login service.
b. Change the CO and User authentication data. Use the Operator Management service.
c. Close the Login session. Use the Logout service.
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8.2 User Guidance
The User must configure and enforce the following initialization procedures in order to operate in FIPS
approved mode of operation
1. Enable data encryption on the parity group.
2. Format the Volumes at the parity-group level.
The initialization procedures performs automatically as inserting the module into main controller.
8.3 Physical Security Inspection
The Crypto Officer and Users shall inspect the module enclosure for evidence of tampering periodically.
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9 Design Assurance Policy
9.1 Configuration Management Overview
Programs and documents are managed using proprietary web-based configuration management system
(Electric Stock System). Documents for validation and hardware components are managed by revision
management by proprietary ledger.
9.2 Installation, Initialization, and Start-up Overview
The procedure is described in section 8.1.
9.3 Secure Delivery and Operation Overview
The module shipped to customers from the factory or the distribution centers. The module is delivered
by the contracted carrier and unpacked by the contacted service personnel on site, and its contents are
confirmed by the personnel.
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10 References and Definitions
The following standards are referred to in this Security Policy.
Table 15 – References
Abbreviation Full Specification Name
[FIPS140-2] Security Requirements for Cryptographic Modules, May 25, 2001
[NIST SP 800-131A] Transitions: Recommendation for Transitioning the Use of Cryptographic Algorithms
and Key Lengths, January 2011
[NIST SP 800-38A] Recommendation for Block Cipher Modes of Operation Methods and Techniques, 2001
Edition
[FIPS 198-1] The Keyed-Hash Message Authentication Code(HMAC), July 2008
[NIST SP 800-38E] Recommendation for Block Cipher Modes of Operation: The XTS-AES Mode for
Confidentiality on Storage Devices, January 2010
[NIST SP 800-38F] Recommendation for Block Cipher Modes of Operation: Methods for Key Wrapping,
December 2012
Table 16 – Acronyms and Definitions
Acronym Definition
AES Advanced Encryption Standard
CRC Cyclic Redundancy Check
CSP Critical Security Parameter
DEK Data Encryption Key
FIPS Federal Information Processing Standard
HMAC Hash-based Message Authentication Code
KAT Known Answer Test
KEK Key Encryption Key
NIST National Institute of Standards and Technology