YUBICO, INC. YubiHSM 2 Cryptographic Module FIPS 140-3 Non-Proprietary Security Policy Version 1.0 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 2 of 54 TABLE OF CONTENTS 1 General..................................................................................................................................................................6 1.1 Overview ......................................................................................................................................................6 1.2 Security Levels..............................................................................................................................................6 2 Cryptographic Module Specification.....................................................................................................................7 2.1 Description...................................................................................................................................................7 2.2 Tested and Vendor Affirmed Module Version and Identification................................................................8 2.3 Excluded Components..................................................................................................................................9 2.4 Modes of Operation.....................................................................................................................................9 2.5 Algorithms....................................................................................................................................................9 2.6 Security Function Implementations...........................................................................................................13 2.7 Algorithm Specific Information ..................................................................................................................19 2.8 RBG and Entropy........................................................................................................................................19 2.9 Key Generation...........................................................................................................................................20 2.10 Key Establishment......................................................................................................................................20 2.11 Industry Protocols......................................................................................................................................20 3 Cryptographic Module Interfaces .......................................................................................................................20 3.1 Ports and Interfaces ...................................................................................................................................20 4 Roles, Services, and Authentication....................................................................................................................21 4.1 Authentication Methods............................................................................................................................21 4.2 Roles...........................................................................................................................................................22 4.3 Approved Services......................................................................................................................................22 4.4 Non-Approved Services..............................................................................................................................38 4.5 External Software/Firmware Loaded .........................................................................................................39 5 Software/Firmware Security...............................................................................................................................39 5.1 Integrity Techniques...................................................................................................................................39 5.2 Initiate on Demand ....................................................................................................................................39 6 Operational Environment ...................................................................................................................................39 6.1 Operational Environment Type and Requirements ...................................................................................39 7 Physical Security .................................................................................................................................................39 7.1 Mechanisms and Actions Required............................................................................................................39 7.2 EFP/EFT Information ..................................................................................................................................39 7.3 Hardness Testing Temperature Ranges .....................................................................................................40 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 3 of 54 8 Non-Invasive Security .........................................................................................................................................40 8.1 Mitigation Techniques ...............................................................................................................................40 9 Sensitive Security Parameters Management......................................................................................................40 9.1 Storage Areas .............................................................................................................................................40 9.2 SSP Input-Output Methods ........................................................................................................................41 9.3 SSP Zeroization Methods ...........................................................................................................................41 9.4 SSPs ............................................................................................................................................................42 9.5 Transitions..................................................................................................................................................49 10 Self-Tests ........................................................................................................................................................49 10.1 Pre-Operational Self-Tests .........................................................................................................................49 10.2 Conditional Self-Tests.................................................................................................................................49 10.3 Periodic Self-Test Information ...................................................................................................................51 10.4 Error States ................................................................................................................................................52 10.5 Operator Initiation of Self-Tests.................................................................................................................53 11 Life-Cycle Assurance.......................................................................................................................................53 11.1 Installation, Initialization, and Startup Procedures....................................................................................53 11.2 Administrator Guidance.............................................................................................................................53 11.3 Non-Administrator Guidance.....................................................................................................................53 11.4 Design and Rules ........................................................................................................................................53 11.5 End of Life...................................................................................................................................................54 12 Mitigation of Other Attacks............................................................................................................................54 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 4 of 54 List of Tables Table 1: Security Levels..................................................................................................................................................7 Table 2: Tested Module Identification – Hardware.......................................................................................................8 Table 3: Modes List and Description .............................................................................................................................9 Table 4: Approved Algorithms.....................................................................................................................................12 Table 5: Vendor-Affirmed Algorithms .........................................................................................................................12 Table 6: Non-Approved, Allowed Algorithms ..............................................................................................................12 Table 7: Non-Approved, Allowed Algorithms with No Security Claimed.....................................................................13 Table 8: Non-Approved, Not Allowed Algorithms .......................................................................................................13 Table 9: Security Function Implementations...............................................................................................................19 Table 10: Entropy Certificates .....................................................................................................................................20 Table 11: Entropy Sources...........................................................................................................................................20 Table 12: Ports and Interfaces.....................................................................................................................................21 Table 13: Authentication Methods..............................................................................................................................22 Table 14: Roles.............................................................................................................................................................22 Table 15: Approved Services .......................................................................................................................................38 Table 16: Non-Approved Services................................................................................................................................39 Table 17: Mechanisms and Actions Required..............................................................................................................39 Table 18: EFP/EFT Information ....................................................................................................................................40 Table 19: Hardness Testing Temperatures ..................................................................................................................40 Table 20: Storage Areas...............................................................................................................................................41 Table 21: SSP Input-Output Methods..........................................................................................................................41 Table 22: SSP Zeroization Methods .............................................................................................................................42 Table 23: SSP Table 1...................................................................................................................................................44 Table 24: SSP Table 2...................................................................................................................................................49 Table 25: Pre-Operational Self-Tests...........................................................................................................................49 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 5 of 54 Table 26: Conditional Self-Tests ..................................................................................................................................51 Table 27: Pre-Operational Periodic Information .........................................................................................................51 Table 28: Conditional Periodic Information.................................................................................................................52 Table 29: Error States ..................................................................................................................................................53 List of Figures Figure 1 - YubiHSM 2 Cryptographic Module ................................................................................................................7 Figure 2 - Block Diagram................................................................................................................................................8 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 6 of 54 1 GENERAL 1.1 OVERVIEW This document defines the Security Policy for the Yubico, Inc. (Yubico) YubiHSM 2 Cryptographic Module, hereafter “the module”. The physical form of the module is depicted in Figure 1. The module is a single-chip embodiment as defined by FIPS 140-3 and conforms to Security Level 3. 1.2 SECURITY LEVELS The module meets the overall requirements of FIPS 140-3 Security Level 3. Section Title Security Level 1 General 3 2 Cryptographic module specification 3 3 Cryptographic module interfaces 3 4 Roles, services, and authentication 3 5 Software/Firmware security 3 6 Operational environment N/A 7 Physical security 3 8 Non-invasive security N/A 9 Sensitive security parameter management 3 10 Self-tests 3 11 Life-cycle assurance 3 12 Mitigation of other attacks N/A Overall Level 3 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 7 of 54 Table 1: Security Levels 2 CRYPTOGRAPHIC MODULE SPECIFICATION 2.1 DESCRIPTION The YubiHSM 2 Cryptographic Module (the module) is a single-chip module validated at FIPS 140-3 Security Level 3. Figure 1 - YubiHSM 2 Cryptographic Module Purpose and Use: The module is the core component of the Yubico YubiHSM 2 product and is a dedicated hardware security module that offers superior protection for private keys against theft and misuse. Module Type: Hardware Module Embodiment: Single Chip Module Characteristics: The critical components within the module are encapsulated inside a single, integrated circuit. Cryptographic Boundary: The cryptographic boundary is defined as the IC package that comprises the Infineon Technologies SLE 78CLUFX5000P. Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 8 of 54 Figure 2 - Block Diagram 2.2 TESTED AND VENDOR AFFIRMED MODULE VERSION AND IDENTIFICATION The YubiHSM 2 Cryptographic Module is designed to meet the requirements of FIPS 140-3 Security Level 3 (refer to Table 1). The module is available in the following configuration (refer to Table 2): Tested Module Identification – Hardware: Model and/or Part Number Hardware Version Firmware Version Processors Features SLE78CLUFX5000P SLE78CLUFX5000P 2.4.1 SLE78CLUFX5000P Single-Chip Table 2: Tested Module Identification – Hardware N.B. The module returns the hardware identifier ‘78CLUFX5000P’ and firmware version ‘2.4.1’ when queried Vendor-Affirmed Operational Environments - Software, Firmware, Hybrid: N/A for this module. Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 9 of 54 2.3 EXCLUDED COMPONENTS The module does not exclude any components from the requirements of FIPS 140-3. 2.4 MODES OF OPERATION Modes List and Description: The module supports an Approved mode and a non-Approved mode of operation. The Approved mode must be initialized per the instructions in this Security Policy. The module does not support a degraded mode of operation or a maintenance interface. The module requires zeroisation prior to changing the mode of operation. The mode of operation cannot be changed if any SSPs are present. The operator must update the default Authentication Key upon authenticating to the module for the first time. Mode Name Description Type Status Indicator Approved Only Approved algorithms are available. Approved 01 Non-Approved Both Approved and non-Approved algorithms are available. Non-Approved 00 Table 3: Modes List and Description Mode Change Instructions and Status: The module requires zeroisation prior to changing the mode of operation. The mode of operation cannot be changed if any SSPs are present. The operator must update the default Authentication Key upon authenticating to the module for the first time. Section 11.1 provides mode change instructions. 2.5 ALGORITHMS The YubiHSM 2 Cryptographic Module supports the approved cryptographic algorithms shown in Table 4. Approved Algorithms: The module supports the following approved cryptographic algorithms. Algorithm CAVP Cert Properties Reference AES-CBC A5891 Direction - Decrypt, Encrypt Key Length - 128, 192, 256 SP 800-38A AES-CCM A5891 Key Length - 128, 192, 256 SP 800-38C AES-CMAC A5891 Direction - Generation, Verification Key Length - 128, 192, 256 SP 800-38B Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 10 of 54 Algorithm CAVP Cert Properties Reference AES-ECB A5891 Direction - Decrypt, Encrypt Key Length - 128, 192, 256 SP 800-38A AES-KWP A5891 Direction - Decrypt, Encrypt Key Length - 128, 192, 256 SP 800-38F Counter DRBG A5891 Prediction Resistance - No Mode - AES-256 Derivation Function Enabled - Yes SP 800-90A Rev. 1 ECDSA KeyGen (FIPS186-5) A5891 Curve - P-224, P-256, P-384, P-521 Secret Generation Mode - testing candidates FIPS 186-5 ECDSA SigGen (FIPS186-5) A5891 Curve - P-224, P-256, P-384, P-521 Hash Algorithm - SHA2-256, SHA2-384, SHA2- 512 Component - Yes FIPS 186-5 ECDSA SigVer (FIPS186-5) A5891 Curve - P-224, P-256, P-384, P-521 Hash Algorithm - SHA2-256, SHA2-384, SHA2- 512 FIPS 186-5 EDDSA KeyGen A5891 Curve - ED-25519 FIPS 186-5 EDDSA SigGen A5891 Curve - ED-25519 PreHash - No Pure - Yes FIPS 186-5 EDDSA SigVer A5891 Curve - ED-25519 FIPS 186-5 HMAC-SHA-1 A5891 Key Length - Key Length: 112-512 Increment 8 FIPS 198-1 HMAC-SHA2-256 A5891 Key Length - Key Length: 112-512 Increment 8 FIPS 198-1 HMAC-SHA2-384 A5891 Key Length - Key Length: 112-1024 Increment 8 FIPS 198-1 HMAC-SHA2-512 A5891 Key Length - Key Length: 112-1024 Increment 8 FIPS 198-1 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 11 of 54 Algorithm CAVP Cert Properties Reference KAS-ECC-SSC Sp800-56Ar3 A5891 Domain Parameter Generation Methods - P- 224, P-256, P-384, P-521 Scheme - fullUnified - KAS Role - initiator, responder onePassDh - KAS Role - initiator, responder onePassUnified - KAS Role - initiator, responder SP 800-56A Rev. 3 KDF ANS 9.63 (CVL) A5891 Hash Algorithm - SHA2-256 Key Data Length - Key Data Length: 512, 640 SP 800-135 Rev. 1 KDF SP800-108 A5891 KDF Mode - Counter Supported Lengths - Supported Lengths: 8- 2040 Increment 8 SP 800-108 Rev. 1 KTS-IFC A5891 Modulo - 2048, 3072, 4096 Key Generation Methods - rsakpg1-crt Scheme - KTS-OAEP-basic - KAS Role - initiator, responder Key Transport Method - Key Length - 1024 SP 800-56B Rev. 2 RSA Decryption Primitive Sp800-56Br2 (CVL) A5891 Modulo - 2048, 3072, 4096 SP 800-56B Rev. 2 RSA KeyGen (FIPS186-5) A5891 Key Generation Mode - probable Modulo - 2048, 3072, 4096 Primality Tests - 2powSecStr Private Key Format - crt FIPS 186-5 RSA SigGen (FIPS186-5) A5891 Modulo - 2048, 3072, 4096 Signature Type - pkcs1v1.5 FIPS 186-5 RSA Signature Primitive (CVL) A5891 Modulo - 2048, 3072, 4096 FIPS 186-4 RSA SigVer (FIPS186-5) A5891 Modulo - 2048, 3072, 4096 Signature Type - pkcs1v1.5 FIPS 186-5 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 12 of 54 Algorithm CAVP Cert Properties Reference SHA-1 A5891 Message Length - Message Length: 0-65528 Increment 8 FIPS 180-4 SHA2-256 A5891 Message Length - Message Length: 0-65528 Increment 8 FIPS 180-4 SHA2-384 A5891 Message Length - Message Length: 0-65528 Increment 8 FIPS 180-4 SHA2-512 A5891 Message Length - Message Length: 0-65528 Increment 8 FIPS 180-4 Table 4: Approved Algorithms Vendor-Affirmed Algorithms: The module supports the following vendor affirmed algorithms: Name Properties Implementation Reference CKG Key Type:Symmetric and Asymmetric Yubico Common Cryptographic Library NIST SP 800-133r2, Section 4 example 1, Sections 5.1, 5.2, and 6.1 Table 5: Vendor-Affirmed Algorithms Non-Approved, Allowed Algorithms: Name Properties Implementation Reference ECDSA Curve:brainpool256r1, brainpool384r1, brainpool512r1, secp256k1 Yubico Common Cryptographic Library IG C.A KAS Curve:brainpool256r1, brainpool384r1, brainpool512r1 Yubico Common Cryptographic Library IG C.A Table 6: Non-Approved, Allowed Algorithms Non-Approved, Allowed Algorithms with No Security Claimed: Name Caveat Use and Function DES No security claimed For internal integrity checking use only Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 13 of 54 Table 7: Non-Approved, Allowed Algorithms with No Security Claimed Non-Approved, Not Allowed Algorithms: Name Use and Function ECDSA Signature Primitive with SHA-1 Non-Approved signature generation RSA PKCS#1 v1.5 Signature Primitive with SHA-1 Non-Approved signature generation RSA PSS Signature Primitive with SHA-1 Non-Approved signature generation secp256k1 (ECDSA and KAS) - Currently not included as part of IG C.A for key agreement Non-Approved key agreement and signature generation with non-Approved curve Decrypt PKCS#1 Decryption Table 8: Non-Approved, Not Allowed Algorithms 2.6 SECURITY FUNCTION IMPLEMENTATIONS Name Type Description Properties Algorithms AKG AsymKeyPair- KeyGen CKG RSA 2048, 3072, 4096, ECDSA P-224, P-256, P-384, P-521 Standard:NIST FIPS 186-5 CKG: () Key Type: Asymmetric Counter DRBG: (A5891) RSA KeyGen (FIPS186-5): (A5891) Modulo: 2048, 3072, 4096 ECDSA KeyGen (FIPS186-5): (A5891) Curve: P-224, P-256, P-384, P-521, brainpool256r1, brainpool384r1, brainpool512r1 EDDSA KeyGen: (A5891) Curve: ed25519 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 14 of 54 Name Type Description Properties Algorithms AKV AsymKeyPair- KeyVer Standards:NIST SP 800-56Ar3, FIPS 186-5 ECDSA KeyGen (FIPS186-5): (A5891) EDDSA KeyGen: (A5891) KAS-ECC-SSC Sp800- 56Ar3: (A5891) RSA KeyGen (FIPS186-5): (A5891) ECSP UNK Signature Generation Primitive Standard:NIST FIPS 186-5 ECDSA SigGen (FIPS186-5): (A5891) Curve: P-224, P-256, P-384, P-521, brainpool256r1, brainpool384r1, brainpool512r1 Counter DRBG: (A5891) ENC BC-Auth Symmetric Encryption Standard:NIST FIPS 197 AES-CBC: (A5891) Key Size: 128, 192, 256 AES-ECB: (A5891) Key Size: 128, 192, 256 ENC-A BC-Auth Authenticated Symmetric Encryption Standard:NIST FIPS 197 AES-CCM: (A5891) Key Size: 128, 192, 256 DEC BC-UnAuth Symmetric Decryption Standard:NIST FIPS 197 AES-CBC: (A5891) Key Size: 128, 192, 256 AES-ECB: (A5891) Key Size: 128, 192, 256 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 15 of 54 Name Type Description Properties Algorithms DEC-A BC-UnAuth Authenticated Symmetric Decryption Standard:NIST FIPS 197 AES-CCM: (A5891) Key Size: 128, 192, 256 ESV ENT-ESV NIST SP 800-90B Physical Entropy Source Standard:NIST SP 800-90B KAS-SC KAS-Full Secure Channel, which provides data protection and integrity using NIST SP 800-135r1 ANSI X9.63 KDF Standard:NIST SP 800-56Ar3 IG:IG D.F Scenario 2 path (2), split Key confirmation:No Key Derivation:KDA (separately tested) Caveat:Key establishment methodology provides 128 bits of security strength KAS-ECC-SSC Sp800- 56Ar3: (A5891) Curve: P-256 KDF ANS 9.63: (A5891) KAS-KG KAS-KeyGen Key Generation Standard:NIST SP 800-56Ar3 KAS-ECC-SSC Sp800- 56Ar3: (A5891) Curve: P-224, P-256, P-384, P-521 KBKDF KBKDF Key-Based Key Derivation CMAC- AES128 (Secure Channel). Only used as part of session establishment. Standard:NIST SP 800-108 KDF SP800-108: (A5891) KTS-CBC-CMAC KTS-Unwrap KTS-Wrap Key Wrapping using Secure Channel Session Keys Standard:NIST SP 800-38F IG D.G:Approved method from IG D.G Caveat:Key establishment methodology 128 AES-CBC: (A5891) Key Size: 128 AES-CMAC: (A5891) Key Size: 128 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 16 of 54 Name Type Description Properties Algorithms bits of security strength KTS-CCM KTS-Unwrap KTS-Wrap Key Wrapping using AES-CCM Wrap Key Standards:NIST SP 800-38F, SP 800- 108, Global Platform GPC 2.3 Amendment D v1.2 SCP03 IG D.G:Approved method from IG D.G Caveat:Key establishment methodology provides between 128 and 256 bits of security strength AES-CCM: (A5891) Key Size: 128, 192, 256 KTS-IFC KTS-Unwrap KTS-Wrap Key Encapsulation Standard:NIST SP 800-56Br2 IG D.G:Approved method from IG D.G Key confirmation:no Caveat:Key establishment methodology provides between 112 and 150 bits of security strength KTS-IFC: (A5891) Modulo: 2048, 3072, 4096 KTS-KWP KTS-Unwrap KTS-Wrap Key Wrapping using AES-KWP Wrap Key Standard:NIST SP 800-38F IG D.G:Approved method from IG D.G Caveat:Key establishment methodology provides between 128 and 256 bits of security strength AES-KWP: (A5891) Key Size: 128, 192, 256 Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 17 of 54 Name Type Description Properties Algorithms MAC MAC Keyed MAC Standard:NIST FIPS 198-2 AES-CMAC: (A5891) Key Size: 128, 192, 256 HMAC-SHA-1: (A5891) HMAC-SHA2-256: (A5891) HMAC-SHA2-384: (A5891) HMAC-SHA2-512: (A5891) SHA-1: (A5891) SHA2-256: (A5891) SHA2-384: (A5891) SHA2-512: (A5891) RAND DRBG Random Number Generation Standard:NIST SP 800-90Ar1 Counter DRBG: (A5891) PKV AsymKeyPair- PubKeyVal Public key validation Standards:NIST SP 800-56Ar3, FIPS 186-5, SP 800-56Br2 ECDSA KeyGen (FIPS186-5): (A5891) Curve: P-224, P-256, P-384, P-521 KAS-ECC-SSC Sp800- 56Ar3: (A5891) Curve: P-224, P-256, P-384, P-521 KTS-IFC: (A5891) Modolo: 2048, 3078, 4096 RSADP UNK RSA Decryption Primitive Standard:NIST SP 800-56Br2 RSA Decryption Primitive Sp800- 56Br2: (A5891) Modulo: 2048, 3072, 4096 RSASP UNK RSA Signature Primitive Standard:NIST FIPS 186-5 RSA Signature Primitive: (A5891) Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 18 of 54 Name Type Description Properties Algorithms Modulo: 2048, 3072, 4096 SigGen DigSig-SigGen Signature Generation Standard:NIST FIPS 186-5 RSA SigGen (FIPS186-5): (A5891) Modulo: 2048, 3072, 4096 ECDSA SigGen (FIPS186-5): (A5891) Curve: P-224, P-256, P-384, P-521, brainpool256r1, brainpool384r1, brainpool512r1 EDDSA SigGen: (A5891) Curve: ed25519 SHA2-256: (A5891) SigVer DigSig-SigVer Signature Verification Standard:NIST FIPS 186-5 RSA SigVer (FIPS186-5): (A5891) Modulo: 2048 SHA2-256: (A5891) ECDSA SigVer (FIPS186-5): (A5891) EDDSA SigVer: (A5891) KAS-SSC KAS-SSC Shared Secret Computation Standard:NIST SP 800-56Ar3 IG :IG D.F Scenario 2, path (1) KAS-ECC-SSC Sp800- 56Ar3: (A5891) Type: Co-factor One-Pass Diffie Hellman Curve: P-224, P-256, P-384, P-521, brainpool256r1, Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 19 of 54 Name Type Description Properties Algorithms brainpool384r1, brainpool512r1 SymKG CKG Symmetric Key Generation Standard:NIST SP 800-133r2 Counter DRBG: (A5891) CKG - Sym: () Key Type: Symmetric Table 9: Security Function Implementations 2.7 ALGORITHM SPECIFIC INFORMATION Compliance to SP 800-56Ar3 assurances: For KAS-ECC, the module satisfies IG D.F Scenario 2 path (2). The key derivation functions comply with NIST SP 800- 56Cr2 (i.e., KDA HKDF SP 800-56Cr2 (Cert. #A5891)) and ANS 9.63 (i.e., KDF ANS 9.63 (Cert. #A5891). Furthermore, the module obtained the appropriate assurances, as required in Sections 5.6.2 of NIST SP 800-56Ar3. Full public key validation (NIST SP 800-56Ar3 Section 5.6.2.3.3) is implemented. No key confirmation is implemented. Compliance to NIST SP 800-56Br2 Assurances For KTS RSA, the module satisfies IG D.G. The RSA keys for KTS-IFC (Cert. #A5891) have lengths of at least 2048 bits, which are acceptable per NIST SP 800-131Ar2. The modulus sizes, the method for key generation, and the roles (initiator, i.e., the module performs encapsulation, or responder, i.e., the module performs unencapsulation) are specified in Table 9. The RSA key generation algorithm is CAVP validated (Cert. #A5891). No key confirmation is implemented. The module implements the KTS-OAEP key transport scheme and obtains the appropriate assurances as required in Sections 5 and 6 of NIST SP 800-56Br2. The module performs partial public-key validation. No key confirmation is implemented. ECDSA with Non NIST-Recommended Curves: brainpool256r1, brainpool384r1, and brainpool512r1. These curves are allowed per IG C.A for ECDSA. KAS with NIST Allowed Curves: brainpool256r1, brainpool384r1, brainpool512r1. These curves are allowed per IG C.A. DES for Integrity Checks: The module supports DES for internal integrity checks with no security claimed. 2.8 RBG AND ENTROPY The module incorporates a NIST SP 800-90A CTR-DRBG (Cert. #A5891) that is seeded from the module’s NIST SP 800-90B validated entropy source. The unmodified output of the DRBG is used for generating cryptographic key material. The DRBG is instantiated anew every power-on. The threshold for reseeding is monitored to not exceed 248 per SP800-90A. Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 20 of 54 Cert Number Vendor Name E196 Infineon Technologies AG Table 10: Entropy Certificates Name Type Operational Environment Sample Size Entropy per Sample Conditioning Component Infineon 16-bit Security Controller M7893B11 Entropy Source Physical M7893B11 8 bits 2.55928 bits Non-Vetted Conditioning Table 11: Entropy Sources 2.9 KEY GENERATION The module generates symmetric cryptographic keys in conformance with NIST SP 800-133r2 using a NIST SP 800- 90A conforming DRBG (Cert. #A5891 ) for the encryption and protection of data and cryptographic keys. The module generates asymmetric cryptographic key pairs in conformance with FIPS 186-4 and FIPS 186-5 for the generation or verification of digital signatures, or for the facilitation of key agreement in conformance with NIST SP 800-56Ar3. 2.10 KEY ESTABLISHMENT The module supports key establishment using KAS with a supported security strength of 128 bits, depending on the selection of key sizes utilized. The module supports AES-based key transport with a supported security strength between 128 and 256 bits, depending on the selection of key sizes utilized. The module supports RSA-based key transport with a supported security strength between 112 and 150 bits, depending on the selection of key sizes utilized. The module incorporates KTS-IFC in conformance with NIST SP 800-56Br2. 2.11 INDUSTRY PROTOCOLS No industry protocols are used in this module. 3 CRYPTOGRAPHIC MODULE INTERFACES 3.1 PORTS AND INTERFACES The module incorporates physical ports and logical interfaces. The physical ports are defined within the table below: Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 21 of 54 Physical Port Logical Interface(s) Data That Passes USB pins (D+/D-) Data Input Data Output Control Input Status Output SSPs, Operator data, Commands, Return Codes, and Error Status Touch Button Interface Control Input Physical presence indicator LED Interface Status Output Emits power to an LED, if attached Power Interface Power N/A I2C I/O Data Input Data Output Control Input Status Output SSPs, Operator data, Commands, Return Codes, and Error Status Interface Select Control Input Interface selection Table 12: Ports and Interfaces 4 ROLES, SERVICES, AND AUTHENTICATION 4.1 AUTHENTICATION METHODS The module supports authentication methods for the Cryptographic Officer (CO) role. This role has separate identity -based authentication methods as indicated in Table 12. The module supports two authentication methods: Knowledge of a shared secret and possession of a private key. For each authentication attempt, the operator must present their unique identifier. The methods are in conformance with NIST SP 800-140E and SP 800- 63B (refer to Section 5.1.6). Method Name Description Security Mechanism Strength Each Attempt Strength per Minute Knowledge of a shared secret Knowledge of a shared secret Cryptographic Software The shared secret is a 128- bit AES key. The probability that a random attempt will succeed or a false acceptance will occur is 1/2^128 which is less than 1/1,000,000. Each session takes approximately 40 ms. The module can only perform 1500 session establishment attempts per minute (one session takes approximately 40 ms to Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 22 of 54 Method Name Description Security Mechanism Strength Each Attempt Strength per Minute establish), which is less than 1/100,000. Possession of Private Key Knowledge of the static private key Cryptographic Software The KAS-ECC private key uses curve P-256, which has a security strength of 128 bits. The probability that a random attempt will succeed or a false acceptance will occur is 1/2^128 which is less than 1/1,000,000. Possession of a Static Private Key (i.e., KAS-ECC, P-256) to establish a session key during session establishment. The strength of the ECC key is 128 bits. Authentication attempts take at least 150ms, which results in less than 420 attempts per minute due to performance constraints. Table 13: Authentication Methods 4.2 ROLES The module supports a Cryptographic Officer (CO) role and an Unauthenticated role. The Unauthenticated role has access to non-security-relevant services only. Name Type Operator Type Authentication Methods Crypto Officer Identity CO Knowledge of a shared secret Possession of Private Key Unauthenticated Identity N/A None Table 14: Roles The module supports multiple concurrent operators (up to 16) separated by unique sessions. Operator authentication does not persist beyond power-cycling the module. The selection of roles is implicit. 4.3 APPROVED SERVICES Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 23 of 54 This module supports the following approved services listed in Table 14. Please note that all services are protected by Session Keys except for the following services: − Echo − Device Info − Get Device Public Key − Power-On − Reset Device (Manual Invocation) Name Description Indicato r Inputs Outputs Security Function s SSP Access Authenticate Session Complete the mutual authentication process started with Create Session Return code: 0x84 Challenge response Cryptogram Success/Erro r MAC Crypto Officer - Session Keys: E Blink Device Blink the LED of the device to identify it Return code: 0xEB None Success/Erro r ENC DEC MAC Crypto Officer - Session Keys: E Change Authenticatio n Key Change an Authentication Key Return code: 0xEC New Authenticatio n Key Success/Erro r ENC DEC KTS-CBC- CMAC MAC RAND PKV Crypto Officer - Authentication Keys: W - Session Keys: E - DRBG State: G,E - KAS Public Keys: W Close Session Close the current Session and release it for re- use return code 0xC0 None Success/Erro r ENC DEC MAC Crypto Officer - Session Keys: E,Z Create OTP AEAD Create a Yubico OTP AEAD return code 0xE1 OTP AEAD request OTP AEAD ENC DEC KTS-CBC- CMAC KTS-CCM MAC Crypto Officer - OTP AEAD Key: E - OTP ECB Key: R,W - Session Keys: E Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 24 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access Create Session Begin the mutual authentication process for establishing a Session return code 0x83 Auth ID, Host- Challenge, Public Key Device Challenge, Cryptogram, KAS Public Key KAS-SC KAS-KG KBKDF MAC RAND PKV Crypto Officer - Authentication Keys: E - Session Keys: G - KAS Private Keys: E - KAS Public Keys: R,W,E - DRBG State: G,E Decrypt CBC Decrypt CBC with symmetric Key Return code 0xF1 Encrypted data Decrypted data ENC DEC MAC Crypto Officer - Encryption Keys: E - Session Keys: E Decrypt ECB Decrypt ECB with symmetric Key Return code 0xEF Encrypted data Decrypted data ENC DEC MAC Crypto Officer - Encryption Keys: E - Session Keys: E Decrypt OAEP Decrypt using RSA- OAEP Return code 0xD9 OAEP encrypted data OAEP decrypted data ENC DEC MAC RAND RSADP Crypto Officer - Asymmetric Private Keys: E - DRBG State: G,E - Session Keys: E Decrypt OTP Decrypt a Yubico OTP Return code 0xE0 OTP encrypted data, OTP AEAD, OTP ECB Key OTP decrypted data ENC DEC KTS-CBC- CMAC KTS-CCM MAC Crypto Officer - OTP AEAD Key: E - OTP ECB Key: W,E - Session Keys: E Delete Object Delete an Object Return code 0xD8 None Success/Erro r ENC DEC MAC Crypto Officer - Authentication Keys: Z - HMAC Key: Z Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 25 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access - AES-CCM Wrap Key: Z - KAS Private Keys: Z - KAS Public Keys: Z - Asymmetric Private Keys: Z - Asymmetric Public Keys: Z - KTS-IFC Private Key: Z - KTS-IFC Public Key: Z - OTP AEAD Key: Z - Session Keys: E Derive KAS- ECC-SSC Perform a KAS- ECC-SSC operation Return code 0xD7 KAS-ECC public key Shared Secret ENC DEC KTS-CBC- CMAC MAC RAND PKV KAS-SSC Crypto Officer - Asymmetric Private Keys: E - Asymmetric Public Keys: W,E - Shared Secret: G,R - DRBG State: G,E - Session Keys: E Device Info Gets device version, device serial, supported Algorithms and available log entries Return code 0x86 None Device Info response message ENC DEC MAC Crypto Officer - Session Keys: E Unauthenticate d - Session Keys: E Echo Echo data back from the device Return code 0x81 None Echo response ENC DEC MAC Crypto Officer - Session Keys: E Unauthenticate Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 26 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access d - Session Keys: E Encrypt CBC Encrypt CBC with symmetric Key Return code 0xF2 None Encrypted data ENC DEC MAC Crypto Officer - Encryption Keys: E - Session Keys: E Encrypt ECB Encrypt ECB with symmetric Key Return code 0xF0 None Encrypted data ENC DEC MAC Crypto Officer - Encryption Keys: E - Session Keys: E Export RSA Wrapped Export KTS-IFC Data in Yubico internal format. Return code 0xF6 None Exported object ENC DEC KTS-CBC- CMAC KTS-IFC KTS-KWP MAC RAND SymKG Crypto Officer - KTS-IFC Public Key: R,E - AES-KWP Wrap Key: G,R,E - Authentication Keys: R - HMAC Key: R - AES-CCM Wrap Key: R - KAS Private Keys: R - KAS Public Keys: R - Asymmetric Private Keys: R - Asymmetric Public Keys: R - KTS-IFC Private Key: R - OTP AEAD Key: R - DRBG State: G,E - Session Keys: E Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 27 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access Export Wrapped Retrieves an Object under wrap from the device. The Object is encrypted using a Wrap Key (AES- CCM) Return code 0xCA None Exported object ENC DEC KTS-CCM MAC Crypto Officer - Authentication Keys: R - HMAC Key: R - AES-CCM Wrap Key: R,E - KAS Private Keys: R - KAS Public Keys: R - Asymmetric Private Keys: R - Asymmetric Public Keys: R - KTS-IFC Private Key: R - KTS-IFC Public Key: R - OTP AEAD Key: R - Session Keys: E Generate Asymmetric Key Generate an Asymmetric Key Return code 0xC6 None Success/Erro r AKG AKV ENC DEC KAS-KG MAC RAND PKV Crypto Officer - Asymmetric Private Keys: G - Asymmetric Public Keys: G - DRBG State: G,E - Session Keys: E Generate Attestation Certificate Generate attestation of an Asymmetric Key, output is an X.509 certificate Return code 0xE4 None Attestation certificate ENC DEC KTS-CBC- CMAC MAC RAND SigGen Crypto Officer - Asymmetric Private Keys: E - Attestation Key: E - Asymmetric Public Keys: R - KAS Public Keys: R Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 28 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access - DRBG State: G,E - Session Keys: E Generate HMAC Key Generate an HMAC Key Return code 0xDA None Success/Erro r ENC DEC MAC SymKG Crypto Officer - HMAC Key: G - DRBG State: G,E - Session Keys: E Generate OTP AEAD Key Generate an OTP AEAD Key Return code 0xE6 None Success/Erro r ENC DEC MAC SymKG Crypto Officer - DRBG State: G,E - OTP AEAD Key: G - Session Keys: E Generate Symmetric Key Generate a symmetric Key Return code 0xEE None Success/Erro r SymKG Crypto Officer - Encryption Keys: G - DRBG State: G,E Generate Wrap Key Generate a Wrap Key (AES-CCM) that can be used for export, import, wrap data and unwrap data Return code 0xDB None Success/Erro r AKG ENC DEC MAC RAND SymKG Crypto Officer - DRBG State: G,E - AES-CCM Wrap Key: G - KTS-IFC Private Key: G - KTS-IFC Public Key: G - Session Keys: E Get Device Public Get Device Public Key for KAS Authentication Return code 0x8A None Device Public Key ENC DEC KTS-CBC- CMAC MAC Unauthenticate d - KAS Public Keys: R Crypto Officer - KAS Public Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 29 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access Keys: R - Session Keys: E Get Log Entries Fetch device audit log Return code 0xCD None Log entries response ENC DEC MAC Crypto Officer - Session Keys: E Get Object Info Get Object metadata Return code 0xCE None Object info response ENC DEC MAC Crypto Officer - Session Keys: E Get Opaque Retrieve an Opaque Object (user provided data) from the device Return code 0xC3 None Opaque data ENC DEC MAC Crypto Officer - Session Keys: E Get Option Fetch a device- global option Return code 0xD0 None Option data ENC DEC MAC Crypto Officer - Session Keys: E Get Pseudo Random Get pseudo- random data from device. Return code 0xD1 None Random data ENC DEC MAC RAND Crypto Officer - DRBG State: G,E - Session Keys: E Get Public Key Fetch a public key from device Return code 0xD4 None Public key ENC DEC KTS-CBC- CMAC MAC Crypto Officer - Asymmetric Public Keys: R - KTS-IFC Public Key: R - Session Keys: E Get RSA Wrapped Get KTS-IFC Data Return code 0xF4 None Exported object ENC DEC KTS-CBC- CMAC KTS-IFC KTS-KWP MAC Crypto Officer - KTS-IFC Public Key: R,E - AES-KWP Wrap Key: G,R,E - Authentication Keys: R Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 30 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access RAND SymKG - HMAC Key: R - AES-CCM Wrap Key: R - KAS Private Keys: R - KAS Public Keys: R - Asymmetric Private Keys: R - Asymmetric Public Keys: R - KTS-IFC Private Key: R - OTP AEAD Key: R - DRBG State: G,E - Session Keys: E Get Storage Info Fetch storage information. Return code 0xC1 None Storage information ENC DEC MAC Crypto Officer - Session Keys: E Get Template Fetch a Template Object from the device Return code 0xDF None Template data ENC DEC MAC Crypto Officer - Session Keys: E Import RSA Wrapped Import KTS-IFC Data Return code 0xF7 None Success/Erro r ENC DEC KTS-CBC- CMAC KTS-IFC KTS-KWP MAC RAND Crypto Officer - KTS-IFC Private Key: W,E - AES-KWP Wrap Key: W,E - Authentication Keys: W - HMAC Key: W - AES-CCM Wrap Key: W - KAS Private Keys: W - KAS Public Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 31 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access Keys: W - Asymmetric Private Keys: W - Asymmetric Public Keys: W - KTS-IFC Public Key: W - OTP AEAD Key: W - Session Keys: E - DRBG State: G,E Import Wrapped Import a wrapped/encrypte d object into the device Return code 0xCB Import data Success/Erro r ENC DEC KTS-CBC- CMAC KTS-CCM MAC Crypto Officer - AES-CCM Wrap Key: W,E - Authentication Keys: W - HMAC Key: W - KAS Private Keys: W - KAS Public Keys: W - Asymmetric Private Keys: W - Asymmetric Public Keys: W - KTS-IFC Private Key: W - KTS-IFC Public Key: W - OTP AEAD Key: W - Session Keys: E List Objects List Objects in device Return code 0xC8 None List of objects ENC DEC MAC Crypto Officer - Session Keys: E Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 32 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access Power On Power on the module Services available None None AKV ESV KAS-KG RAND PKV Unauthenticate d - Entropy Input : G,E - DRBG Seed : G,E - DRBG State: G,E - KAS Private Keys: G Put Asymmetric Key Import an Asymmetric Key Return code 0xC5 Asymmetric key Success/Erro r AKV ENC DEC KTS-CBC- CMAC MAC RAND Crypto Officer - Asymmetric Private Keys: W - Asymmetric Public Keys: G - DRBG State: G,E - Session Keys: E Put Authenticatio n Key Store a new Authentication Key Return code 0xC4 Authenticatio n key Success/Erro r ENC DEC KTS-CBC- CMAC MAC RAND PKV Crypto Officer - Authentication Keys: W - DRBG State: W,E - Session Keys: E - KAS Public Keys: W Put HMAC Key Import an HMAC Key Return code 0xD2 HMAC key Success/Erro r ENC DEC KTS-CBC- CMAC MAC Crypto Officer - HMAC Key: W - Session Keys: E Put Opaque Stores Opaque data (user provided data) in the device Return code 0xC2 Opaque data Success/Erro r ENC DEC MAC Crypto Officer - Session Keys: E Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 33 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access Put OTP AEAD Key Import an OTP AEAD Key Return code 0xE5 OTP AEAD key Success/Erro r ENC DEC KTS-CBC- CMAC MAC Crypto Officer - OTP AEAD Key: W - Session Keys: E Put Public Wrap Key Import a public KTS-IFC Key Return code 0xF3 Public Wrap key Success/Erro r ENC DEC KTS-CBC- CMAC MAC RAND PKV Crypto Officer - KTS-IFC Public Key: W - DRBG State: W,E - Session Keys: E Put RSA Wrapped Put KTS-IFC Data Return code 0xF5 Wrapped data Success/Erro r ENC DEC KTS-CBC- CMAC KTS-IFC KTS-KWP MAC RAND Crypto Officer - KTS-IFC Private Key: W,E - AES-KWP Wrap Key: W,E - Authentication Keys: W - HMAC Key: W - AES-CCM Wrap Key: W - KAS Private Keys: W - KAS Public Keys: W - Asymmetric Private Keys: W - Asymmetric Public Keys: W - KTS-IFC Public Key: W - OTP AEAD Key: W - DRBG State: G,E - Session Keys: E Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 34 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access Put Symmetric Key Import a symmetric Key Return code 0xED Symmetric key Success/Erro r ENC DEC MAC Crypto Officer - Encryption Keys: W - Session Keys: E Put Template Store a Template Return code 0xDE Template data Success/Erro r ENC DEC MAC Crypto Officer - Session Keys: E Put Wrap Key Import a Wrap Key Return code 0xCC Wrap key Success/Erro r AKV ENC DEC KTS-CBC- CMAC MAC RAND Crypto Officer - AES-CCM Wrap Key: W - KTS-IFC Private Key: W - DRBG State: G,E - Session Keys: E Randomize OTP AEAD Create an OTP AEAD from random data Return code 0xE2 None OTP AEAD ENC DEC KTS-CBC- CMAC KTS-CCM MAC RAND SymKG Crypto Officer - OTP AEAD Key: E - DRBG State: G,E - OTP ECB Key: G,R - Session Keys: E Reset Device Factory reset a device (Zeroization) Return code 0x88 None Success/Erro r ENC DEC MAC Crypto Officer - DRBG State: Z - Authentication Keys: Z - Session Keys: E,Z - Encryption Keys: Z - Asymmetric Private Keys: Z - KAS Private Keys: Z - KTS-IFC Private Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 35 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access Key: Z - Asymmetric Public Keys: Z - KAS Public Keys: Z - KTS-IFC Public Key: Z - Attestation Key: Z - AES-KWP Wrap Key: Z - AES-CCM Wrap Key: Z - OTP AEAD Key: Z - HMAC Key: Z Unauthenticate d - DRBG State: Z - Authentication Keys: Z - Session Keys: E,Z - Encryption Keys: Z - Asymmetric Private Keys: Z - KAS Private Keys: Z - KTS-IFC Private Key: Z - Asymmetric Public Keys: Z - KAS Public Keys: Z - KTS-IFC Public Key: Z - Attestation Key: Z - AES-KWP Wrap Key: Z Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 36 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access - AES-CCM Wrap Key: Z - OTP AEAD Key: Z - HMAC Key: Z Rewrap OTP AEAD Rewrap an OTP AEAD Return code 0xE3 OTP AEAD OTP AEAD ENC DEC KTS-CBC- CMAC KTS-CCM MAC Crypto Officer - OTP AEAD Key: E - OTP ECB Key: R,W - Session Keys: E Session Message Send a command over an established session Return code 0x85 Encrypted message Encrypted response ENC DEC MAC Crypto Officer - Session Keys: E Set Log Index Set the last extracted log entry Return code 0xE7 None Success/Erro r ENC DEC MAC Crypto Officer - Session Keys: E Set Option Set a device-global option Return code 0xCF None Success/Erro r ENC DEC MAC Crypto Officer - Session Keys: E Signature Primitive ECDSA Signature primitive with ECDSA Return code 0xD6 None ECDSA signature ECSP ENC DEC MAC RAND Crypto Officer - Asymmetric Private Keys: E - DRBG State: G,E - Session Keys: E Sign EdDSA Sign with EdDSA Return code 0xEA Message EdDSA digital signature ENC DEC MAC RAND SigGen Crypto Officer - Asymmetric Private Keys: E - DRBG State: G,E - Session Keys: E Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 37 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access Sign HMAC Perform an HMAC operation in device and return the result Return code 0xD3 Message HMAC signature ENC DEC MAC RAND Crypto Officer - HMAC Key: E - DRBG State: G,E - Session Keys: E Signature Primitive PKCS1 Signature primitive with RSA- PKCS#1v1.5 Return code 0xC7 Message PKCS1 signature ENC DEC MAC RSASP Crypto Officer - Asymmetric Private Keys: E - Asymmetric Public Keys: E - Session Keys: E Signature Primitive PSS Signature primitive using RSA-PSS Return code 0xD5 Message PSS signature ENC DEC MAC RAND RSASP Crypto Officer - Asymmetric Private Keys: E - DRBG State: G,E - Session Keys: E SSH Certify Generate an SSH Certificate Return code 0xDD None SSH cert ENC DEC MAC RAND SigGen SigVer Crypto Officer - Asymmetric Private Keys: E - Asymmetric Public Keys: E - DRBG State: G,E - Session Keys: E Unwrap Data Decrypt (unwrap) data using a Wrap Key Return code 0xE9 None None ENC DEC DEC-A MAC Crypto Officer - AES-CCM Wrap Key: E - Session Keys: E Verify HMAC Verify an HMAC Return code 0xDC None Success/Erro r ENC DEC MAC RAND Crypto Officer - HMAC Key: E - DRBG State: G,E - Session Keys: E Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 38 of 54 Name Description Indicato r Inputs Outputs Security Function s SSP Access Wrap Data Encrypt (wrap) data using a Wrap Key Return code 0xE8 None Wrapped data ENC ENC-A DEC MAC RAND Crypto Officer - AES-CCM Wrap Key: E - DRBG State: G,E - Session Keys: E Table 15: Approved Services 4.4 NON-APPROVED SERVICES In the non-Approved mode, the module supports all services from the Approved mode with the following additional services and modifications: - Decrypt PKCS#1 - ECDSA service with SHA-1 - RSA PKCS#1 Signature Generation with SHA-1 - RSA PSS Signature Generation with SHA-1 - ECDSA service with secp256k1 - Decrypt ECDH service with secp256k1The module only supports non-Approved services within the OTP functional unit, which must be explicitly selected. Name Description Algorithms Role Decrypt PKCS1 RSA Decryption primitive with PKCS#1 v1.5 Decrypt PKCS#1 CO Derive ECDH with secp256k1 Derive ECDH with secp256k1 secp256k1 (ECDSA and KAS) - Currently not included as part of IG C.A for key agreement CO Signature Primitive ECDSA with secp256k1 or SHA1 Signature Primitive ECDSA with secp256k1 or SHA1 ECDSA Signature Primitive with SHA-1 CO Signature Primitive PKCS1 with SHA1 Signature Primitive PKCS1 with SHA1 RSA PKCS#1 v1.5 Signature Primitive with SHA-1 CO Signature Primitive PSS with SHA1 Signature Primitive PSS with SHA1 RSA PSS Signature Primitive with SHA-1 CO Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 39 of 54 Table 16: Non-Approved Services 4.5 EXTERNAL SOFTWARE/FIRMWARE LOADED The module does not support external firmware loads. 5 SOFTWARE/FIRMWARE SECURITY 5.1 INTEGRITY TECHNIQUES The module performs a 16-bit Error Detection Code (EDC) for the Firmware Integrity Test, covering all executable code. 5.2 INITIATE ON DEMAND All self-tests may be invoked on demand by power cycling the module. 6 OPERATIONAL ENVIRONMENT 6.1 OPERATIONAL ENVIRONMENT TYPE AND REQUIREMENTS Type of Operational Environment: Non-Modifiable How Requirements are Satisfied: The module is defined as a single-chip embodiment whose operational environment is classified as non-modifiable. The firmware is loaded within manufacturing and then locked from being modified. 7 PHYSICAL SECURITY 7.1 MECHANISMS AND ACTIONS REQUIRED The module is a single-chip embodiment with a hard, opaque enclosure. The IC packaging is tamper-evident and removal-resistant. Mechanism Inspection Frequency Inspection Guidance IC packaging Monthly Inspect for physical evidence of tamper Table 17: Mechanisms and Actions Required 7.2 EFP/EFT INFORMATION The module does not support Environmental Failure Protection (EFP) mechanisms for high/low voltage and temperature extremes. The module underwent Environmental Failure Testing (EFT) instead (refer to Table 17). Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 40 of 54 Temp/Voltage Type Temperature or Voltage EFP or EFT Result LowTemperature -42C EFT Undefined Failure. HighTemperature 128C EFT Undefined Failure. LowVoltage 1.85v EFT The module shuts down. HighVoltage 10.6v EFT Undefined Failure. Table 18: EFP/EFT Information N.B. There are two sets of possibilities for the last column. For EFP, states can be Shutdown or Zeroise. For EFT, states can be Shutdown, Zeroization, Undefined Failure, Known Error State, or Continues to Operate Normally. 7.3 HARDNESS TESTING TEMPERATURE RANGES The module has been tested at the operational, storage and distribution temperatures listed in Table 18. The module’s hardness is assured within these ranges. Temperature Type Temperature LowTemperature -25C HighTemperature 85C Table 19: Hardness Testing Temperatures 8 NON-INVASIVE SECURITY 8.1 MITIGATION TECHNIQUES The module does not provide protections against non-invasive security methods. 9 SENSITIVE SECURITY PARAMETERS MANAGEMENT 9.1 STORAGE AREAS All SSPs are stored in plaintext form within the volatile RAM or non-volatile flash memory. Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 41 of 54 Storage Area Name Description Persistence Type RAM Plaintext in volatile RAM Dynamic NVM Plaintext in persistent NVM Static Table 20: Storage Areas 9.2 SSP INPUT-OUTPUT METHODS Specific SSPs may be entered and output from the module via various methods, which include plaintext (direct entry) or protected by either a secure channel or an Approved KTS. Name From To Format Type Distribution Type Entry Type SFI or Algorithm PubKey-Entry USB Host NVM or RAM Plaintext Automated Electronic PubKey-Output NVM or RAM USB Host Plaintext Automated Electronic Secure-Channel-Entry USB Host NVM Encrypted Automated Electronic KTS-CBC- CMAC Secure-Channel- Output RAM USB Host Encrypted Automated Electronic KTS-CBC- CMAC Table 21: SSP Input-Output Methods 9.3 SSP ZEROIZATION METHODS Each of the six functional units includes separate instructions for zeroization. In all cases, zeroization is the active overwriting of SSP values with 0s (zeros). Zeroization Method Description Rationale Operator Initiation Zeroisation All CSPs zeroized SSPs are immediately overwritten with 0s Reset Device service Delete Object Specified object is zeroized Specified CSP is immediately overwritten with 0s Delete Object service Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 42 of 54 Zeroization Method Description Rationale Operator Initiation Close Session Secure Channel CSPs are zeroized CSPs are immediately overwritten with 0s Close Session service Zeroisation- PowerCycle Ephemeral CSPs zeroised upon power cycle Ephemeral SSPs are overwritten with 0s Power Cycle Zeroisation- AfterUse Ephemeral CSPs zeroised after use SSPs are immediately overwritten with 0s after use Automatic Table 22: SSP Zeroization Methods 9.4 SSPS Name Description Size - Strength Type - Category Generated By Established By Used By AES-CCM Wrap Key Secures other CSPs ("objects"). 128, 192, 256 - 128 - 256 Symmetric - CSP SymKG KTS-CCM AES-KWP Wrap Key Secures other CSPs ("objects"). 128, 192, 256 - 128 - 256 Symmetric - CSP SymKG KTS-KWP Asymmetric Private Keys Signature generation, ECC CDH Component Primitive, or modular exponentiation RSA 2048 - 4096; ed25519; EC P- 224, P-256, P- 384, P-521, or Non-NIST Curve - 112 - 256 Private - CSP AKG ECSP RSADP RSASP SigGen KAS-SSC Asymmetric Public Keys Signature verification (by external entities), ECC CDH Component Primitive RSA 2048 - 4096 bits or EC P-224, P-256, P-384, P-521 or Non-NIST curves - 112 - 256 Public - PSP AKG SigVer KAS-SSC Attestation Key Attests authenticity of other keys, RSA 2048 - 4096 bits or EC Private - Neither SigGen Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 43 of 54 Name Description Size - Strength Type - Category Generated By Established By Used By producing a new X.509 certificate for the attested key P-224, P-256, P-384, P-521 or Non-NIST curves - 112 - 256 Authentication Keys Used to derive session keys for Secure Channel and authenticates the operator 128 - 128 Symmetric - CSP KBKDF DRBG Seed Seeds the DRBG. Personalization string is 384 bits. 1600 bits - 384 ENT - CSP ESV Counter DRBG (A5891) DRBG State Random number generation. V and Key V = 128, Key = 256 - 256 bit DRBG - CSP Counter DRBG (A5891) Counter DRBG (A5891) Encryption Keys Used for data encryption 128 - 256 - 128 - 256 Symmetric - CSP SymKG ENC DEC Entropy Input Entropy for the DRBG 1216 bits - 384 (3/2 security strength) ENT - CSP ESV ESV HMAC Key Data integrity key >= 128 bits - >= 128 bits Symmetric - CSP SymKG MAC KAS Private Keys Key establishment private keys for secure channel EC P-256 - 128 bits Private - CSP KAS-KG KAS-SC KAS Public Keys Key establishment public keys. EC P-256 - 128 bits Public - PSP KAS-KG KAS-SC KTS-IFC Private Key KTS-IFC Unwrap RSA 2048, 3072, 4096 - 112 - 150 bits Private - CSP AKG KTS-IFC Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 44 of 54 Name Description Size - Strength Type - Category Generated By Established By Used By KTS-IFC Public Key KTS-IFC Wrap RSA 2048, 3072, 4096 - 112 - 150 bits Public - PSP AKG KTS-IFC OTP AEAD Key Secure Yubico OTP values for further verification by a validation process 128, 192, 256 - 128 - 256 Symmetric - CSP SymKG KTS-CCM OTP ECB Key Decrypts OTPs generated by a YubiKey 128 - 128 Symmetric - CSP SymKG DEC Session Keys Session keys for Secure Channel 128 - 128 Symmetric - CSP KAS-SC KBKDF ENC DEC MAC Shared Secret Shared secret calculated from a key agreement handshake 256 - 521 - 128 Shared Secret - CSP KAS-SSC KAS-SSC Table 23: SSP Table 1 Name Input - Output Storage Storage Duration Zeroization Related SSPs AES-CCM Wrap Key Secure- Channel- Entry Secure- Channel- Output NVM:Plaintext RAM:Plaintext Until Use Zeroisation Delete Object DRBG State:Generates Authentication Keys:Protected By HMAC Key:Protected By Asymmetric Private Keys:Protected By OTP AEAD Key:Protected By Session Keys:Encrypts AES-KWP Wrap Key:Encrypts Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 45 of 54 Name Input - Output Storage Storage Duration Zeroization Related SSPs AES-KWP Wrap Key Secure- Channel- Entry Secure- Channel- Output RAM:Plaintext Until Use Zeroisation- AfterUse DRBG State:Generates KTS-IFC Public Key:Encrypts KTS-IFC Private Key:Encrypts Session Keys:Encrypts Asymmetric Private Keys Secure- Channel- Entry Secure- Channel- Output RAM:Plaintext NVM:Plaintext Until Use Zeroisation Delete Object DRBG State:Generates Asymmetric Public Keys:Paired With Shared Secret:Derives Session Keys:Encrypts AES-CCM Wrap Key:Encrypts AES-KWP Wrap Key:Protected by Asymmetric Public Keys Secure- Channel- Entry Secure- Channel- Output NVM:Plaintext RAM:Plaintext Until Use Zeroisation Delete Object DRBG State:Generates Asymmetric Private Keys:Paired With Session Keys:Encrypts AES-CCM Wrap Key:Encrypts AES-KWP Wrap Key:Encrypts Shared Secret:Derived From Attestation Key NVM:Plaintext RAM:Plaintext Until Use N/A Asymmetric Public Keys:Paired With Asymmetric Public Keys:Signs Authentication Keys Secure- Channel- Entry Secure- Channel- Output NVM:Plaintext RAM:Plaintext Until use Zeroisation Delete Object Session Keys:Encrypts AES-KWP Wrap Key:Encrypts AES-CCM Wrap Key:Encrypts Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 46 of 54 Name Input - Output Storage Storage Duration Zeroization Related SSPs DRBG Seed RAM:Plaintext Until use Zeroisation- AfterUse DRBG State:Derived From DRBG State RAM:Plaintext Until reboot Zeroisation- PowerCycle DRBG Seed :Derives Asymmetric Private Keys:Generated From Asymmetric Public Keys:Generated From HMAC Key:Generated From AES-KWP Wrap Key:Generated From KAS Private Keys:Generated From KAS Public Keys:Generated From KTS-IFC Private Key:Generated From KTS-IFC Public Key:Generated From Encryption Keys:Generated From OTP AEAD Key:Generated From OTP ECB Key:Generated From Encryption Keys Secure- Channel- Entry Secure- Channel- Output NVM:Plaintext Until Use Zeroisation Delete Object DRBG State:Generates Session Keys:Encrypts Entropy Input RAM:Plaintext Until use Zeroisation- AfterUse DRBG Seed :Derived From HMAC Key Secure- Channel- Entry Secure- NVM:Plaintext RAM:Plaintext Until Use Zeroisation Delete Object DRBG State:Generates Session Keys:Encrypts AES-CCM Wrap Key:Encrypts Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 47 of 54 Name Input - Output Storage Storage Duration Zeroization Related SSPs Channel- Output AES-KWP Wrap Key:Encrypts KAS Private Keys Secure- Channel- Entry NVM:Plaintext RAM:Plaintext Until Use Zeroisation Delete Object Zeroisation- AfterUse DRBG State:Generated KAS Public Keys:Paired With Session Keys:Derived From KAS Public Keys Secure- Channel- Entry Secure- Channel- Output PubKey-Entry PubKey- Output RAM:Plaintext NVM:Plaintext Until Use Zeroisation Delete Object Zeroisation- AfterUse DRBG State:Generates KAS Private Keys:Paired With Session Keys:Derived From KTS-IFC Private Key Secure- Channel- Output NVM:Plaintext RAM:Plaintext Until Use Zeroisation Delete Object DRBG State:Generated KTS-IFC Public Key:Paired With KTS-IFC Public Key Secure- Channel- Entry Secure- Channel- Output NVM:Plaintext RAM:Plaintext Until Use Zeroisation Delete Object KTS-IFC Private Key:Paired With Session Keys:Encrypts DRBG State:Generates AES-CCM Wrap Key:Encrypts AES-KWP Wrap Key:Protected by OTP AEAD Key Secure- Channel- Entry Secure- Channel- Output NVM:Plaintext RAM:Plaintext Until Use Zeroisation Delete Object DRBG State:Generates Session Keys:Encrypts OTP ECB Key:Protected By AES-CCM Wrap Key:Encrypts AES-KWP Wrap Key:Encrypts Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 48 of 54 Name Input - Output Storage Storage Duration Zeroization Related SSPs OTP ECB Key Secure- Channel- Entry Secure- Channel- Output RAM:Plaintext Until Use Zeroisation- AfterUse DRBG State:Generates OTP AEAD Key:Encrypts Session Keys:Encrypts Session Keys RAM:Plaintext Until Use Zeroisation Close Session Authentication Keys:Protected By or Derives KAS Private Keys:Derives KAS Public Keys:Protected By or Derives Encryption Keys:Protected By Asymmetric Private Keys:Protected By Asymmetric Public Keys:Protected By KTS-IFC Private Key:Protected By KTS-IFC Public Key:Protected By Shared Secret:Protected By HMAC Key:Protected By OTP AEAD Key:Protected By OTP ECB Key:Protected By AES-CCM Wrap Key:Protected By AES-KWP Wrap Key:Protected By Shared Secret RAM:Plaintext Until Use Zeroisation- AfterUse Asymmetric Private Keys:Derives Asymmetric Public Keys:Derives Session Keys:Encrypts Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 49 of 54 Table 24: SSP Table 2 9.5 TRANSITIONS SHA-1: The module uses SHA-1 for HMAC. Per CMVP Programmatic Transitions and NIST SP 800-131Ar2, usage of SHA-1 for non-digital-signature applications is deprecated through Dec 31, 2030. Minimum key size transition: In accordance with NIST SP 800-131Ar2, the module meets the minimum key size requirement of 112. NIST SP 800-57, Part 1 includes a transition to a security strength of 128 bits from 2031 and beyond. 10 SELF-TESTS The following pre-operational and conditional self-tests are performed by the module. All self-tests are performed regardless of whether the module is in the approved or non-approved mode. The data output interface is inhibited whenever the cryptographic module is in a self-test condition. 10.1 PRE-OPERATIONAL SELF-TESTS The following pre-operational test is performed upon power-up and on-demand, the latter by power-cycling the module. The module transitions to its error state if the test fails. Algorithm or Test Test Properties Test Method Test Type Indicator Details LRC 16-bit Error Detection Code KAT SW/FW Integrity Implicit N/A Table 25: Pre-Operational Self-Tests 10.2 CONDITIONAL SELF-TESTS The following conditional tests are performed upon power-up, on-demand and periodically. Algorithm or Test Test Properties Test Method Test Type Indicator Details Conditions AES-CCM (A5891) 128-bit KAT CAST Implicit Encrypt KAT Power-On AES-ECB (A5891) 128-bit KAT CAST Implicit Decrypt KAT Power-On Counter DRBG (A5891) CTR_DRBG KAT CAST Implicit SP800-90A Health Tests for Instantiate, Reseed, and Generate Power-On Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 50 of 54 Algorithm or Test Test Properties Test Method Test Type Indicator Details Conditions ECDSA SigGen (FIPS186-5) (A5891) P-256, SHA2- 256 KAT CAST Implicit Digital Signature Generation KAT Power-On ECDSA SigVer (FIPS186-5) (A5891) P-256, SHA2- 256 KAT CAST Implicit Digital Signature Verification KAT Power-On EDDSA SigGen (A5891) Ed25519, SHA2-512 KAT CAST Implicit Digital Signature Generation KAT Power-On EDDSA SigVer (A5891) Ed25519, SHA2-512 KAT CAST Implicit Digital Signature Verification KAT Power-On HMAC-SHA2- 256 (A5891) SHA2-256 KAT CAST Implicit MAC Power-On KAS-ECC-SSC Sp800-56Ar3 (A5891) P-256 KAT CAST Implicit Shared Secret Computation KAT Power-On KDF ANS 9.63 (A5891) X9.63 KAT CAST Implicit Key Derivation Power-On KDF SP800- 108 (A5891) AES CMAC KAT CAST Implicit Key Derivation Power-On RSA SigGen (FIPS186-5) (A5891) 2048-bit PKCS#1 with SHA2-256 KAT CAST Implicit Digital signature generation KAT. Satisfies KTS-IFC un- encapsulation self-test requirements per IG D.G Power-On RSA SigVer (FIPS186-5) (A5891) 2048-bit PKCS#1 with SHA2-256 KAT CAST Implicit Digital signature verification KAT. Satisfies KTS-IFC encapsulation self- test requirements per IG D.G Power-On Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 51 of 54 Algorithm or Test Test Properties Test Method Test Type Indicator Details Conditions SHS (A5891) SHA-1, SHA2- 512 KAT CAST Implicit Hash KAT Power-On NIST SP 800- 90B Entropy APT, RCT SP800-90B Health Tests CAST Implicit APT, RCT Upon use PWCT Sign/Verify Sign/Verify PCT Implicit EC, ED, RSA Upon Key Generation Table 26: Conditional Self-Tests 10.3 PERIODIC SELF-TEST INFORMATION The module regularly performs its periodic self-tests at an interval of 29 hours. Algorithm or Test Test Method Test Type Period Periodic Method LRC KAT SW/FW Integrity 29 hours Automatic Table 27: Pre-Operational Periodic Information Algorithm or Test Test Method Test Type Period Periodic Method AES-CCM (A5891) KAT CAST Power-On Manual AES-ECB (A5891) KAT CAST Power-On Manual Counter DRBG (A5891) KAT CAST Power-On Manual ECDSA SigGen (FIPS186-5) (A5891) KAT CAST Power-On Manual ECDSA SigVer (FIPS186-5) (A5891) KAT CAST Power-On Manual EDDSA SigGen (A5891) KAT CAST Power-On Manual Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 52 of 54 Algorithm or Test Test Method Test Type Period Periodic Method EDDSA SigVer (A5891) KAT CAST Power-On Manual HMAC-SHA2-256 (A5891) KAT CAST Power-On Manual KAS-ECC-SSC Sp800- 56Ar3 (A5891) KAT CAST Power-On Manual KDF ANS 9.63 (A5891) KAT CAST Power-On Manual KDF SP800-108 (A5891) KAT CAST Power-On Manual RSA SigGen (FIPS186-5) (A5891) KAT CAST Power-On Manual RSA SigVer (FIPS186-5) (A5891) KAT CAST Power-On Manual SHS (A5891) KAT CAST Power-On Manual NIST SP 800-90B Entropy SP800-90B Health Tests CAST 29 hours Automatic PWCT Sign/Verify PCT Power-On Manual Table 28: Conditional Periodic Information 10.4 ERROR STATES The module transitions into the error state when an error condition is encountered and provides an error status indicator (i.e., blinking an attached LED before rebooting). All data output and cryptographic functions are inhibited while the module is in the error state (refer to Table 28). Name Description Conditions Recovery Method Indicator Error State Upon detection of any failures in a pre- operational or conditional self-test Self-test failure Power Cycle Attached LED blinks special sequence, then reboots. Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 53 of 54 Table 29: Error States 10.5 OPERATOR INITIATION OF SELF-TESTS Self-tests may be invoked on demand by power cycling the module. 11 LIFE-CYCLE ASSURANCE There are no specific maintenance requirements. 11.1 INSTALLATION, INITIALIZATION, AND STARTUP PROCEDURES The following initialization procedures must be adhered to prior to first use. Only when this procedure is completed will the module operate in the approved mode. The module operates in the non-Approved mode by default. To configure the module into the Approved mode of operation, the operator shall perform the following: 1. Use the “Reset Device” service as follows: “reset 0”. This step may be omitted if the module has never been used 2. Use the “Set Option” service as follows: “put option 0 fips-mode 01” 3. Import new Authentication Keys to replace the default values. (Enforced in Approved mode) To configure the module into the non-Approved mode of operation from the Approved mode, the operator need only invoke the “Reset Device” service. After a “Reset Device” service, the module will verify that all CSPs have been zeroized and then assume the non-Approved mode. To check the mode of operation, the operator may perform the following: • Use the “Get Option” service as follows: “get option 0 fips-mode” o “01” return code indicates the Approved mode o “00” return code indicates the non-Approved mode 11.2 ADMINISTRATOR GUIDANCE There are no further instructions for administrators beyond those outlined in the Installation, Initialization, and Startup Procedures. 11.3 NON-ADMINISTRATOR GUIDANCE There are no further instructions for non-administrators beyond those outlined in the Installation, Initialization, and Startup Procedures. 11.4 DESIGN AND RULES The following security rules are enforced by the cryptographic module to ensure the FIPS 140-3 security requirements are met. Non-Proprietary Security Policy for Yubico, Inc., YubiHSM 2 Cryptographic Module This document may be freely reproduced and distributed, but only in its entirety and without modification Page 54 of 54 1. The module supports an Approved and non-Approved mode of operation. The Approved mode indicator must be returned to the end user. 2. The module does not allow unauthenticated operators to have any access to the module’s cryptographic services. 3. Concurrent operators are separated by unique sessions. No services from a given session can modify the services/data of another separate session. 4. The module inhibits data output during self-tests, firmware load, zeroization and error states. 5. The module logically disconnects data output from the processes performing zeroization and key generation. 6. The module enforces identity-based authentication. 7. The module does not retain the authentication of an operator following power-off or reboot. 8. The module supports the following role: Cryptographic Officer (CO). 9. The module does not support a bypass mode or maintenance mode. 10. The module does not support the following logically distinct interfaces: • Data input interface • Data output interface • Control input interface • Status output interface • Power interface 11. The module protects critical security parameters from unauthorized disclosure, modification and substitution. 12. The module performs power-on, on-demand and periodic self-testing. 13. The module logs errors whenever an error state is entered. 14. The module does not perform any cryptographic functions while in an error state. 11.5 END OF LIFE To prepare the module for disposal, zeroize the module using the "Reset Device" service and dispose of it at an electronic recycling facility. 12 MITIGATION OF OTHER ATTACKS The module is not purposefully designed to mitigate any attacks beyond the scope of FIPS 140-3 requirements.