© 2004-2006 AEP Networks
This document may be freely reproduced and distributed whole and intact including this Copyright Notice.
SmartGate®
(Software Version: 4.5)
FIPS 140-2 Non-Proprietary
Security Policy
Level 1 Validation
Version 0.91
May 2006
SmartGate® FIPS 140-2 Non-Proprietary Security Policy
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Table of Contents
1. INTRODUCTION......................................................................................................... 3
1.1 PURPOSE................................................................................................................. 3
1.2 REFERENCES ........................................................................................................... 3
1.3 DOCUMENT ORGANIZATION ....................................................................................... 3
2. SMARTGATE V4.5 ..................................................................................................... 5
2.1 OVERVIEW ............................................................................................................... 5
2.2 MODULE INTERFACES................................................................................................ 5
2.3 ROLES AND SERVICES............................................................................................... 7
2.3.1 Local Crypto Officer Role ................................................................................. 7
2.3.2 Remote Crypto Officer...................................................................................... 9
2.3.3 User Role ....................................................................................................... 11
2.3.4 Authentication Mechanisms............................................................................ 11
2.4 PHYSICAL SECURITY ............................................................................................... 12
2.5 OPERATIONAL ENVIRONMENT .................................................................................. 12
2.6 CRYPTOGRAPHIC KEY MANAGEMENT ....................................................................... 12
2.7 SELF-TESTS........................................................................................................... 16
2.8 DESIGN ASSURANCE............................................................................................... 17
2.9 MITIGATION OF OTHER ATTACKS.............................................................................. 17
3. SECURE OPERATION............................................................................................. 18
3.1 CRYPTO OFFICER GUIDANCE................................................................................... 18
3.1.1 Initial Setup..................................................................................................... 18
3.1.2 Management .................................................................................................. 20
3.1.3 Zeroization...................................................................................................... 21
3.2 REMOTE CRYPTO OFFICER GUIDANCE ..................................................................... 21
3.2.1 Management .................................................................................................. 21
3.3 USER GUIDANCE .................................................................................................... 22
4. ACRONYMS ............................................................................................................. 23
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1. Introduction
1.1 Purpose
This is a non-proprietary Cryptographic Module Security Policy for the
SmartGate v4.5 from AEP Networks. This Security Policy describes how
the SmartGate meets the security requirements of FIPS 140-2 and how to
run the module in a secure FIPS 140-2 mode. This policy was prepared
as part of the Level 1 FIPS 140-2 validation of the module.
FIPS 140-2 (Federal Information Processing Standards Publication 140-2
— Security Requirements for Cryptographic Modules) details the U.S.
Government requirements for cryptographic modules. More information
about the FIPS 140-2 standard and validation program is available on the
National Institute of Standards and Technology (NIST) Cryptographic
Module Validation Program (CMVP) website at
http://csrc.nist.gov/cryptval/.
The SmartGate is referred to in this document as the SmartGate, the
Module or the Server.
1.2 References
This document deals only with operations and capabilities of the module in
the technical terms of a FIPS 140-2 cryptographic module security policy.
More information is available on the module from the following sources:
• The AEP website (http://www.aepnetworks.com) contains information
on the full line of products from AEP. The SmartGate product details
can be found at:
http://www.aepnetworks.com/products/ssl_vpn/smartgate/overview.htm
.
• The CMVP website (http://csrc.nist.gov/cryptval/) contains contact
information for answers to technical or sales-related questions for the
module.
1.3 Document Organization
The Security Policy document is one document in a FIPS 140-2
Submission Package. In addition to this document, the Submission
Package contains:

 Vendor Evidence document

 Finite State Machine

 Other supporting documentation as additional references
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This Security Policy and the other validation submission documentation
were produced by Corsec Security, Inc. under contract to AEP Networks.
With the exception of this Non-Proprietary Security Policy, the FIPS 140-2
Validation Documentation is proprietary to AEP Networks and is
releasable only under appropriate non-disclosure agreements. For access
to these documents, please contact AEP Networks.
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2. SMARTGATE V4.5
2.1 Overview
SmartGate is one of the most comprehensive security products on the
market. It is a client/server virtual private network (VPN) software security
system that provides secure encrypted channels between users outside
your network and the applications and data contained within your network.
Fine-grain access control ensures that authorized users are allowed
access to specific applications only.
SmartGate enables organizations to provide secure access to
organizational networks for remote employees, customers, and business
partners. SmartGate is specifically designed to address the challenges of
deploying and managing large VPN user populations.
Section Section Title Level
1 Cryptographic Module Specification 1
2 Cryptographic Module Ports and Interfaces 1
3 Roles, Services, and Authentication 1
4 Finite State Model 1
5 Physical Security N/A
6 Operational Environment 1
7 Cryptographic Key Management 1
8 EMI/EMC 1
9 Self-tests 1
10 Design Assurance 1
11 Mitigation of Other Attacks N/A
Table 1 – Security Level per FIPS 140-2 Section
2.2 Module Interfaces
The SmartGate is classified as a multi-chip standalone module that meets
overall level 1 FIPS 140-2 requirements. The module is composed of a set
of software binaries and is evaluated for use on a standard PC running
RedHat Linux 7.2 or Sun Solaris 8. In addition to the binaries, the module
consists of the integrated circuits of the motherboard, the central
processing unit (CPU), random access memory (RAM), read only memory
(ROM), PC case, keyboard, mouse, video interfaces, expansion cards,
and other hardware components included in the PC such as hard disk,
floppy disk, CD-ROM drive, power supply, and fans.
Logically, the cryptographic boundary of the SmartGate is composed of
the SmartGate software running on the Sun Solaris or RedHat Linux.
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Figure 1 – Logical Block Diagram
Physically, the cryptographic boundary of the module is the PC case,
which physically encloses the complete set of hardware and software.
Figure 2 – Physical Block Diagram
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All of these physical interfaces are separated into logical interfaces
defined by FIPS 140-2, as described in the following table:
Module Physical Interface Logical Interface FIPS 140-2 Logical
Interface
Keyboard, mouse, CD-ROM, floppy
disk, and serial/USB/parallel/network
ports
Data received via the SmartGate
Single Port Proxy (sgproxy) and data
received as variables passed to the
module’s API
Data Input Interface
Floppy disk, monitor, and
serial/USB/parallel/network ports
Data output via the SmartGate
Single Port Proxy (sgproxy) and data
returned from the module’s API
Data Output Interface
Keyboard, CD-ROM, floppy disk,
mouse, power button, and
serial/USB/parallel/network port
Data read from configuration files,
data input via the SmartAdmin or
command line interface, and data
received as variables passed to the
module’s API
Control Input
Interface
Floppy disk, LEDs, monitor, and
serial/USB/parallel/network ports
Data output to log files, command
line interface, and the SmartAdmin
Web Adminstration tool
Status Output
Interface
Power Connector Power Interface Power Interface
Table 2 –Physical Ports and Logical Interfaces
2.3 Roles and Services
The module supports three roles: Local Crypto Officer, Remote Crypto
Officer, and Client User.
The local administrator of the module assumes the Crypto Officer role and
can configure the SmartGate via console administration (command line or
GUI API calls) and manually editing configuration files. An operator
assuming the role of Remote Crypto Officer has some administrative
privileges but is limited to accessing SmartGate remotely through the
SmartAdmin Web Tool (GUI API calls). Although not required by FIPS
140-2 at level 1, both roles require identity-based authentication; however,
these authentication mechanisms are not tested on a Level 1 FIPS 140-2
validation. The Client User accesses the module’s VPN services.
2.3.1 Local Crypto Officer Role
The Local Crypto Officer (CO) is expected to install and configure the
SmartGate. Once the SmartGate is running, the Local CO can perform all
management, configuration and administration of the SmartGate. The
Local CO can locally manage the SmartGate through console
administration (command line or GUI API calls) and manually editing
configuration files.
There is no factory default password that allows access to the Local
Crypto Officer role (“root” account for the Operating System). Instead,
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SmartGate allows a user with administrative privileges on the host
Operating System to completely manage the SmartGate and its users.
The following table lists the Local Crypto Officer services. For a complete
explanation of the Remote CO services see the SmartGate Administrator’s
Guide.
Service Description Input Output CSP CSP
Access
Installation Installing the
SmartGate
Commands Result of
installation
RSA
public/private
key pair
Write
Login Authenticate the
Crypto Officer
Login
information
Result of
login
attempt
Administrative
Crypto Officer
password
Read
Public/Private key
configuration
To generate, change
the size and test the
RSA public/private
key pair
Command
options
Status of
command,
response
and results
RSA
public/private
key pair
ANSI X9.31
RNG Seed-
Key
ANSI X9.31
Seed
Read/Write
Read
Write
License View license
information and
features
Command
option
License
information
OLR setup
configuration
Server On-Line
Registration Setup
Command
options
Command
response
Access
Permissions
Remote
administrator and
user permissions
Command
options
Command
response
View proxy
configuration
View Server single
port proxy
configuration
Command
option
View port
proxy status
Extensible
components
Start, stop or
configure any third-
party authentication
methods
Command
options
Command
response
Client
configuration
Client software
packages
customization
Command
options
Command
response
Back up
configuration
Back up current
configuration or
restore files
Command
options
Command
response
Uninstall Uninstall the server
software
Command
options
Command
response
Start/Restart/Stop Effects all the Server
services except the
disabled third party
authentication
methods. The self
tests are performed
Command
options
Status of
command
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Service Description Input Output CSP CSP
Access
during the module
start/restart.
Show status Status messages for
the module written
to log file.
Commands Status info
in log file
Zeroization Reformatting the
hard-drive to zeroize
keys
Command
options
All Write
Table 3 – Local Crypto Officer Services, Descriptions, CSPs
2.3.2 Remote Crypto Officer
The Remote Crypto Officer (CO) can perform most of the SmartGate’s
management, configuration and administration operations. The User does
not have local access to SmartGate and therefore can perform only the
functions allowed through the SmartAdmin web tool.
Any registered user can be setup as Remote CO. The authentication used
for the user is used to authenticate the Remote CO also.
It should be noted that Remote Crypto Officer can be assigned varying
levels (or degrees) of administrative control. There are five levels of
administrative privileges for the Remote Crypto Officer.
1. None: Administrators at this level have the ability to view
user information only. Access at this level may be limited to
certain groups.
2. Minimal: Administrators at this level can only enable or
disable users and edit a user’s name in the event of a name
change or a typographical error. Access at this level may be
limited to administration of certain groups.
3. Restricted: In addition to those rights provided at the minimal
level, administrators can view OLR info, and edit and delete
end users. Access at this level may be limited to
administration of certain groups.
4. Standard: In addition to those rights provided at the
restricted level, administrators can add, edit, or delete all
access permissions and groups. Access at this level may be
limited to administration of certain groups.
5. Superuser: Administrators at this level have access to all
settings and all groups.
For the services available to the Remote CO, setup as Superuser, has a
privilege as the Local CO. The following table lists the Remote Crypto
Officer services. For a complete explanation of the Remote CO services
see the SmartGate Administrator’s Guide.
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Service Description Privilege
Level
Input Output CSP CSP
Access
Managing
users
View user
information and
access
permissions
Enable, disable
users, edit user's
name
Add and delete
users, edit all user
information, view
user's OLR data
All
Minimal,
Restricted,
Standard,
Superuser
Restricted,
Standard,
Superuser
Commands
and
configuration
data
Configuration
information
Shared
Secret
Key
Read/
Write
Managing
groups
Add, edit, rename,
merge, delete
groups and
authentication
timeout values
Standard,
Superuser
Commands
and
configuration
data
Configuration
information
Web access
control
Access and deny
rules for web
Standard,
Superuser
Commands
and
configuration
data
Configuration
information
TCP access
control
TCP access and
deny rules
Standard,
Superuser
Commands
and
configuration
data
Configuration
information
OLR setup OLR webpage
options
Superuser Configuration
data
Administrator
rights
Manipulating
administrative user
and privileges
Superuser Commands
and
configuration
data
Configuration
information
Port map
data
Port Map table
displays the port
map rules file for
the specified
server
Superuser Configuration
data
Configuration
information
Configuration Authentication
methods, Proxy
encryption
methods,
configuring server
and host port,
Logging and
backup settings
Superuser Commands
and
configuration
data
Configuration
information
License
information
License Key
information
All Command License
information
Table 4 – Remote Crypto Officer Services, Descriptions, CSP's
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2.3.3 User Role
The User roles access the modules VPN services and authenticates to the
module using shared secret key. The User has access to the module’s
VPN and proxy services, authenticating during the establishment of a VPN
session using a shared secret key.
Service Role
Description
Input Output CSP CSP Access
VPN session Use the VPN
services
Encrypted/decrypted
data
Encrypt/decry
pted data
Session
keys
Read/Write
OLR Establish an
account with
shared secret
key
API calls with
account information
and shared secret
key components
(transported via RSA)
Result of
OLR
negotiation
Shared
secret
Session
key
Read/Write
Read/Write
VPN session
establishment
Establish VPN
session and
authenticate
using shared
secret key
API calls, including
proper messages to
authenticate with
shared secret key
Result of
negotiation
and session
key
Shared
secret
RDV
RDV
encryption
key
FIPS 186-
2 Seed-
Key
FIPS 186-
2 Seed
Ticket
encrypting
key
Session
key
Read
Write
Read
Write
Write
Write
Write
Proxy services Use proxy
services for use
with VPN
session
Data for proxies
(wrapped in VPN
session)
Data for
proxies
(wrapped in
VPN session)
Table 5 – User Services, Descriptions, Inputs and Outputs
2.3.4 Authentication Mechanisms
Passwords (Local Crypto Officer) and Shared secret key (Remote Crypto
Officer, Client User) are used to authenticate and authorize users for
access to various services based on user permissions and policies.
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Role Authentication
Type
Strength
Local Crypto Officer Passwords Passwords are required to be at least 6 characters in
length. Considering only the case sensitive English
alphabet and the numerals 0-9 using a 6 digit password
with repetition, the number of potential passwords is 62^6,
which equates to a 1 in 62^6 chance of false positive.
User,
Remote Crypto Officer
Shared secrets A shared secret DES/3DES key is used to authenticate the
User or Remote Crypto Officer to the module during the
VPN handshake. This mechanism is as strong as the
DES/3DES using a 56 (DES) or 112 (3DES) bit key, which
equates to a 1 in 2^56 (DES) and 2^112 (3DES) chance of
false positive.
Table 6 – Roles supported, Authentication type and Strength of Authentication
2.4 Physical Security
The physical security requirements do not apply to this module.
SmartGate v4.5 is a software module and does not implement any
physical security mechanisms.
Although SmartGate consists entirely of software, the FIPS 140-2
evaluated platform is a standard PC which has been tested for and meets
applicable Federal Communication Commission (FCC) Electromagnetic
Interference (EMI) and Electromagnetic Compatibility (EMC) requirements
for business use as defined in Subpart B of FCC Part 15.
2.5 Operational Environment
The SmartGate runs on the general purpose Operating Systems, RedHat
Linux or Sun Solaris, which must be configured for single user mode per
NIST CMVP guidance for FIPS 140-2 compliance. The module was tested
on Red Hat Linux 7.2 and Sun Solaris 8. Configuration of these Operating
Systems for single user mode can be found in section 3. Secure
Operation.
2.6 Cryptographic Key Management
The module utilizes the following FIPS Approved software algorithm
implementations:
• AES (ECB, CBC, CFB, OFB) – FIPS 197 (certificate 35)
Key Sizes: 128, 192, 256 bits
• DES (ECB, CBC, CFB) – FIPS 46-3 (certificate 159)
Key Sizes: 56 bits
Note: DES can only be used for legacy systems.
• Triple DES (ECB, CBC, CFB, OFB) – FIPS 46-3 (certificate 263)
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Key Sizes: 112, 168 bits
• SHA-1 – FIPS 180-2 (certificate 87)
• DES-MAC – FIPS 113 (vendor affirmed; DES certificate 159)
• RSA encryption/decryption (key transport) – PKCS#1 (certificate 11
for digital signature generation/verification)
• ANSI X9.31 RNG – Appendix A.2.4 of ANSI X9.31 (certificate 9)
• FIPS 186-2 RNG – General purpose implementation of FIPS 186-2
[(x-Change Notice); (SHA-1)] (certificate 9)
The module implements the following non-FIPS Approved algorithm:

 RC4

 MD5
Only FIPS Approved algorithms may be used when operating the Server
in a FIPS 140-2 compliant manner.
The module supports the following critical security parameters:
Key Key type Generation Storage Zeroization Use
Shared secret
key
DES (56 bits),
Triple-DES
(112 bits)
Agreed upon during
OLR - ½ of the key is
generated by the client,
the other ½ is
generated by
SmartGate using the
FIPS Approved ANSI
X9.31 PRNG. Both the
client and the
SmartGate exchange
their halves of the
shared secret key
encrypted by the OLR
session key.
Note: For non-FIPS
authentication, the key
is generated by client
and sent to the
SmartGate for the
duration of session.
Non-volatile
memory
(hard drive -
plaintext)
Zeroized when the
user is deleted
Used for
authenticating
the user (non-
OLR sessions)
for client /
SmartGate
transactions
OLR session
key
DES (56 bits),
Triple-DES
(168 bits),
AES (128,
192, 256 bits)
Externally generated by
the client and sent to
the SmartGate
encrypted by the RSA
public key.
Volatile
memory only
(plaintext)
Zeroized when not
needed or the
module reboots
Used for client /
SmartGate
communication
during the later
half of OLR
Session key DES (56 bits),
Triple-DES
(168 bits),
AES (128,
192, 256 bits)
Externally generated by
the client and sent to
the SmartGate
encrypted by the Ticket
Encrypting Key.
Volatile
memory only
(plaintext)
Zeroized when not
needed or the
module reboots
Used for client /
SmartGate
after OLR is
successfully
completed
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Crypto-Officer
password (local
access)
N/A Externally generated by
the Crypto-Officer and
entered over a local
port.
Non-volatile
memory
(hard drive -
plaintext)
Zeroized when the
password is updated
with a new one
Authenticate
the Crypto-
Officer role
when logging
into the console
ANSI X9.31
PRNG seed
keys
Triple-DES
(112 bits)
Externally generated
predetermined value.
Non-volatile
memory
(hard drive –
plaintext)
Zeroized by
uninstalling the
module and then
overwriting all
addressable
locations with a
single character and
reformatting the
module’s hard drive
Used by ANSI
X9.31 PRNG
ANSI X9.31
PRNG seed
Seed (64 bits) Internally generated by
gathering entropy.
Volatile
memory only
(plaintext)
Zeroized when the
module reboots
Used by ANSI
X9.31 PRNG
RSA private
key
RSA (1024
bits)
Internally generated
using RSA key
generation seeded with
the ANSI X9.31 PRNG.
Non-volatile
memory
(hard drive –
plaintext)
Zeroized by
uninstalling the
module and then
overwriting all
addressable
locations with a
single character and
reformatting the
module’s hard drive
Key transport
from client to
SmartGate
during OLR
RSA public key RSA (1024
bits)
Internally generated
using RSA key
generation seeded with
the ANSI X9.31 PRNG.
Non-volatile
memory
(hard drive -
plaintext)
Zeroized by
uninstalling the
module and then
overwriting all
addressable
locations with a
single character and
reformatting the
module’s hard drive
Key transport
from client to
SmartGate
during OLR
DES-MAC key DES (56 bits) Externally generated
predetermined value.
Non-volatile
memory
(hard drive –
plaintext) in
module
binaries
Zeroized by
uninstalling the
module and then
overwriting all
addressable
locations with a
single character and
reformatting the
module’s hard drive
Software
integrity check
Authentication
& Proxy
communication
Key
Triple-DES
(112 bits)
Internally generated
during OLR by ANSI
X9.31 PRNG
Non-volatile
memory
(hard drive –
plaintext)
Zeroized by
uninstalling the
module and then
overwriting all
addressable
locations with a
single character and
Authentication
server and
Proxy server
use shared
secret keys to
exchange user
data.
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reformatting the
module’s hard drive
Random data
value (RDV)
256 bits
random data
Externally generated by
the client and sent to
the SmartGate
encrypted with the
Shared Secret Key
when the client initiates
a session.
Volatile
memory only
(plaintext)
Zeroized when not
needed or the
module reboots
For seeding the
FIPS 186-2
PRNG
RDV encryption
key
AES (256 bits) Externally generated
predetermined value.
Non-volatile
memory
(hard drive –
plaintext)
Zeroized by
uninstalling the
module and then
overwriting all
addressable
locations with a
single character and
reformatting the
module’s hard drive
For encrypting
the RDV
UID encryption
key
AES (128 bits) Externally generated
predetermined value.
Non-volatile
memory
(hard drive –
plaintext)
Zeroized by
uninstalling the
module and then
overwriting all
addressable
locations with a
single character and
reformatting the
module’s hard drive
For encrypting
the user ID
FIPS 186-2
PRNG Seed
Key
Seed-Key
(160 bits)
Internally generated by
whitening RDV using
DES with the shared
secret key
Volatile
memory only
(plaintext)
Zeroized when not
needed or the
module reboots
Used by FIPS
186-2 PRNG
FIPS 186-2
PRNG Seed
Seed (96 bits) Internally generated by
whitening RDV using
DES with the shared
secret key
Volatile
memory only
(plaintext)
Zeroized when not
needed or the
module reboots
Used by FIPS
186-2 PRNG
Ticket
Encrypting Key
DES (56 bits),
Triple-DES
(168 bits),
AES (128,
192, 256 bits)
Internally generated by
the FIPS 186-2 PRNG
Volatile
memory only
(plaintext)
Zeroized when not
needed or the
module reboots
For encrypting
the handshake
session
messages
Table 7 – Listing of Key and Critical Security Parameters
SmartGate securely administers all of its cryptographic keys, which
include the server’s public/private key pair; user shared secret keys, and
ephemeral session keys. SmartGate stores and transmits all sensitive
data in encrypted form. All session keys are ephemeral and are discarded
immediately after use. Shared secret keys that are electronically
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distributed during the optional database backup process are done so in
encrypted form.
2.7 Self-Tests
In order to prevent any secure data from being released, it is important to
test the cryptographic components of a security module to insure all
components are functioning correctly. The SmartGate includes an array of
self-tests.
Power-up self-tests:
• Software integrity check: Verifying the integrity of the software
binaries of the module using a DES-MAC.
• AES Known Answer Test (KAT): Verifying the correct operation of
the AES algorithm implementation
• DES KAT: Verifying the correct operation of the DES algorithm
implementation
• Triple-DES KAT: Verifying the correct operation of the Triple-DES
algorithm implementation
• RSA encrypt/decrypt pair-wise consistency check: Verifying the
correct operation of the RSA implementation
• RSA sign/verify pair-wise consistency check: Verifying the correct
operation of the RSA implementation
• SHA-1 KAT: Verifying the correct operation of the SHA-1 algorithm
implementation
• ANSI X9.31 RNG KAT: Verifying the correct operation of the ANSI
X9.31 RNG implementation
• FIPS 186-2 RNG KAT: Verifying the correct operation of the FIPS
186-2 RNG implementation.
Conditional self-tests:
• RSA encrypt/decrypt pair-wise consistency check: Verifying that a
newly generated or stored RSA key pair works properly
• RSA sign/verify pair-wise consistency check: Verifying that a newly
generated or stored RSA key pair works properly
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• ANSI X9.31 Continuous RNG: Verifying the RNG has not failed to a
constant value
• FIPS 186-2 Continuous RNG: Verifying the RNG has not failed to a
constant value
The SmartGate will start its services only after all the self tests are
passed. If the self tests are not passed, it enters an error state and logs
the failure. All error conditions can be cleared by cycling the module’s
power.
2.8 Design Assurance
AEP utilizes Microsoft Visual Source Safe (VSS) version 6.0 for its version
control system. This software provides access control, versioning, and
logging.
2.9 Mitigation of Other Attacks
This section is not applicable. The SmartGate v4.5 does not claim to
mitigate any attacks beyond the FIPS 140-2 level 1 requirements for this
validation.
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3. SECURE OPERATION
The SmartGate meets Level 1 requirements for FIPS 140-2. The sections
below describe how to place and keep the module in FIPS Approved
mode of operation. Operating the SmartGate without maintaining the
following settings will remove the module from the FIPS Approved mode
of operation.
3.1 Crypto Officer Guidance
The Local Crypto Officer is responsible for installation and initialization of
the module, configuration and management of the module, and removal of
the module. More details on how to use the module can be found in the
SmartGate Administrator’s Guide.
3.1.1 Initial Setup
There is no access control provided by the module until it has been
installed and initialized. Therefore, the Crypto Officer must maintain
control of the installation media.
FIPS 140-2 mandates that a cryptographic module be limited to a single
user at a time. Before the module can be installed, the Local Crypto
Officer must have a standard PC running RedHat Linux or Sun Solaris,
and these Operating Systems must be configured for single user mode.
To ensure that RedHat Linux or Sun Solaris is running in single user
mode, the Local Crypto Officer must delete or disable all accounts except
for the root account. Additionally, to ensure only one user can be logged
in at a time, the root account must be configured to only allow console
access logins and all remote server services must be disabled (e.g., telnet
or rlogin server daemon).
The specific procedure to configure RedHat Linux System for single user
is described below.
a) Log in as the "root" user.
b) Edit the system files /etc/passwd and /etc/shadow and remove all the
users except "root" and the pseudo-users. Make sure the password
fields in /etc/shadow for the pseudo-users are either a star (*) or
double exclamation mark (!!). This prevents login as the pseudo-users.
c) Edit the system file /etc/nsswitch.conf and make "files" the only option
for "passwd", "group", and "shadow". This disables NIS and other
name services for users and groups.
d) In the /etc/xinetd.d directory, edit the files "rexec", "rlogin", "rsh",
"rsync", "telnet", and "wu-ftpd", and set the value of "disable" to "yes".
e) Reboot the system for the changes to take effect.
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o More information can be found at:
http://csrc.nist.gov/cryptval/140-1/CMVPFAQ.pdf
The specific procedure to configure Solaris System for single user is
described below.
a) Login as the "root" user.
b) Edit the system files /etc/passwd and /etc/shadow and remove all the
users except "root" and the pseudo-users (daemon users). Make sure
the password fields in /etc/shadow for the pseudo-users are either a
star (*) or double exclamation mark (!!). This prevents login as the
pseudo-users.
Also make sure the shell for daemon users is /dev/null, or something
else unexploitable.
c) Edit the system file /etc/nsswitch.conf and make "files" the only option
for "passwd", "group", and "shadow". This disables NIS and other
name services for users and groups.
d) Edit the system file /etc/inet/inetd.conf, and comment out all
unnecessary services (by prepending a hash '#' to the beginning of
each unnecessary service line).
(generally) Unnecessary services:
sadmind - Solstice network administration agent server
rpc.ttdbserverd - Sun tool-talk server
kcms_server - Kodak Color Management System server
fs.auto - Sun font server
cachefsd - NFS cache service
rquotad - remote disk quota server
rpc.metad - Disksuite remote metaset service
rpc.metamhd - Disksuite remote multihost service
rpc.metamedd - Disksuite component service
ocfserv - Smartcard service
dtspcd - Part of the CDE package
rpc.cmsd - remote calendar server
in.comsat - biff, mail notification server
in.talkd - talk server
gssd - RPC application authentication
in.tnamed - deprecated name server
rpc.smserverd - removable media device sensor service (disabling
requires manual CD mounting)
dcs - remote dynamic configuration server
ftpd - ye olde FTP server
ktkt_warnd - Kerberos warning server
chargen - deprecated network service
daytime - deprecated network time
time - legacy time service
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discard - deprecated network service
echo - network 'echo' service
ufsd - part of RPC
in.uucpd - unix-to-unix copy server
In short, you should be able to disable all services, so long as the
Solaris machine is not part of any cluster environment.
e) Disable service startup scripts within /etc/rc2.d. Many additional
services (not bound to inetd) are started by default. To disable startup
scripts, you may rename the files, just to be sure they don't begin with
a cap-S (which denotes Startup). Disable startup scripts that are not
pertinent to your setup. Suggestions:
nscd - NIS-related
snmpdx - SNMP services
cachefs.daemon - NFS-caching
rpc - Remote Procedure Call services
sendmail - Sendmail
lp - line printer daemon
pppd - Point-to-point Protocol services
uucp - Unix-to-Unix copy daemon
ldap - LDAP services
f) Reboot the system for the changes to take effect.
The Local Crypto Officer password for the module is the default of the host
Operating System after installation. It is recommended that this is changed
immediately upon logging into the module after installation.
Once the Operating System has been properly configured, the Local
Crypto Officer (“root” account) can be used for installing/uninstalling
software and creating/administrating SmartGate. For Server installing
instructions refer to the SmartGate Administrator’s Guide – Server
Installation on UNIX Operating Systems.
3.1.2 Management
The SmartGate provides numerous configuration options to ensure its
versatility. FIPS 140-2 compliance demands the following options be
configured as specified in the following:
1. The Authentication Encryption Method (AuthEncryptMethod)
must be set to AES, 3DES or DES (SmartGate default is 3DES).
2. The SmartGate Encryption Methods (SGEncryptMethod) must
be set to AES, 3DES or DES (SmartGate default is 3DES).
3. The Proxy Encryption Methods (ProxyEncryptMethod) must be
set to AES, 3DES or DES (SmartGate default is 3DES).
4. RSA key pair for OLR must be set to use 1024 bytes or greater
(SmartGate default is 1024).
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5. The Hash Method (HashMethod) must be set to SHA-1
(SmartGate default is SHA-1 and MD5).
6. The SmartGate Java Client must not be installed or must be
disabled.
Note: DES can only be used for legacy systems.
For guidance on configuring these options, see the Console
Administration sections of the SmartGate Administrator’s Guide.
The Local Crypto Officer should monitor the module’s status by regularly
checking the log information. If strange activity is indicated or the module
is consistently having errors, then AEP customer support should be
contacted.
3.1.3 Zeroization
At the end of the life cycle of the module, the Local Crypto Officer must
uninstall the module’s software and then overwrite all addressable
locations with a single character and reformat the hard drive which
contained the software. This will zeroize all keys and other CSP's.
3.2 Remote Crypto Officer Guidance
The Remote Crypto Officer can perform most of the SmartGate’s
management, configuration and administration operations. More details
on how to use the module can be found in the SmartGate Administrator’s
Guide.
3.2.1 Management
The SmartGate provides numerous configuration options to ensure its
versatility. FIPS 140-2 compliance demands the following options be
configured as specified in the following:
1. The Authentication Encryption Method (AuthEncryptMethod)
must be set to AES, 3DES or DES (SmartGate default is 3DES).
2. The SmartGate Encryption Methods (SGEncryptMethod) must
be set to AES, 3DES or DES (SmartGate default is 3DES).
3. The Proxy Encryption Methods (ProxyEncryptMethod) must be
set to AES, 3DES or DES (SmartGate default is 3DES).
4. RSA key pair for OLR must be set to use 1024 bytes or greater
(SmartGate default is 1024).
5. The Hash Method (HashMethod) must be set to SHA-1
(SmartGate default is SHA-1 and MD5).
Note: DES can only be used for legacy systems.
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For guidance on configuring these options, see the Using SmartAdmin
Web Administration of the SmartGate Administrator’s Guide.
3.3 User Guidance
The User access the module’s VPN functionality as a client. Although the
User does not have any ability to modify the configuration of the module
care should be taken not to provide authentication information and access
codes to other parties.
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4. ACRONYMS
3DES Triple DES
AES Advanced Encryption Standard
ANSI American National Standards Institute
API Application Programming Interface
CBC Cipher Block Chaining mode of operation
CFB Cipher FeedBack mode of operation
CLI Command Line Interface
CMVP Cryptographic Module Validation Program
CO Crypto Officer
CPU Central Processing Unit
CSP Critical Security Parameter
DES Digital Encryption Standard
ECB Electronic CodeBook mode of operation
EMC Electromagnetic Compatibility
EMI Electromagnetic Interference
FCC Federal Communication Commission
FIPS Federal Information Processing Standard
KAT Known Answer Test
LED Light Emitting Diode
MAC Message Authentication Code
NIST National Institute of Standards and Technology
OFB Output FeedBack mode of operation
OLR On-Line Registration
OS Operating System
PC Personal Computer
RNG Random Number Generator
RAM Random Access Memory
RNG Random Number Generator
RSA Rivest Shamir and Adleman
SHA Secure Hash Algorithm
SP Secure Platform
TCP Transmission Control Protocol
VSS Visual Source Safe
VPN Virtual Private Network