FIPS 140-2 Security Policy – Guidance Software EnCase Enterprise Cryptographic Module Page 1 of 13
© Copyright 2008 Guidance Software
FIPS 140-2 Non-Proprietary Security Policy
for the
Guidance Software EnCase Enterprise Cryptographic Module
Version 1.0
Level 1 Validation
Document Version: Version 1.6
April 7, 2008
Prepared For: Prepared By:
Guidance Software, Inc.
215 North Marengo Avenue, Suite 250
Pasadena, CA 91101
www.guidancesoftware.com
Apex Assurance Group, LLC
5448 Apex Peakway Drive, Ste. 101
Apex, NC 27502
www.apexassurance.com
FIPS 140-2 Security Policy – Guidance Software EnCase Enterprise Cryptographic Module Page 2 of 13
© Copyright 2008 Guidance Software
REVISION HISTORY
The table below provides revision history of this document.
Version Date Author(s) Comments
1.0 July 18, 2007 Apex Assurance Group Initial draft for customer review
1.1 July 31, 2007 Apex Assurance Group Update with GSI comments, additional details
1.2 September 13, 2007 Apex Assurance Group Address initial comments from DOMUS
1.3 November 12, 2007 Apex Assurance Group Address additional comments from DOMUS
1.4 December 7, 2007 Apex Assurance Group Final comments from functional testing
1.5 February 13, 2008 Apex Assurance Group Update with NIST CMVP comments
1.6 April 7, 2008 Apex Assurance Group Update with additional NIST CMVP comment
Table 1 – Security Policy Revision History
FIPS 140-2 Security Policy – Guidance Software EnCase Enterprise Cryptographic Module Page 3 of 13
© Copyright 2008 Guidance Software
TABLE OF CONTENTS
REVISION HISTORY........................................................................................................................................................................2
TABLE OF CONTENTS...................................................................................................................................................................3
INTRODUCTION ..............................................................................................................................................................................4
BACKGROUND................................................................................................................................................................................4
EXTERNAL RESOURCES .................................................................................................................................................................4
NOTICES .......................................................................................................................................................................................4
RELATIONSHIP TO THE ENCASE ENTERPRISE PRODUCT...................................................................................................................4
GUIDANCE SOFTWARE ENCASE ENTERPRISE CRYPTOGRAPHIC MODULE........................................................................5
PRODUCT OVERVIEW .....................................................................................................................................................................5
CRYPTOGRAPHIC MODULE SPECIFICATION......................................................................................................................................5
Module Block Diagram ...........................................................................................................................................................5
Validation Level and Algorithm Implementation Certificates ..................................................................................................7
MODULE INTERFACES.....................................................................................................................................................................7
ROLES AND SERVICES....................................................................................................................................................................8
Crypto Officer Role.................................................................................................................................................................8
User Role ...............................................................................................................................................................................8
Available Services..................................................................................................................................................................8
PHYSICAL SECURITY ......................................................................................................................................................................9
OPERATING ENVIRONMENT.............................................................................................................................................................9
CRYPTOGRAPHIC KEY MANAGEMENT............................................................................................................................................10
SELF-TESTS ................................................................................................................................................................................10
Power-On Self-Tests............................................................................................................................................................10
Conditional Self-Tests ..........................................................................................................................................................11
MITIGATION OF OTHER ATTACKS...................................................................................................................................................11
SECURE OPERATION OF THE ENCASE ENTERPRISE CRYPTOGRAPHIC MODULE ...........................................................12
CRYPTO OFFICER GUIDANCE........................................................................................................................................................12
Module Initialization and Configuration ................................................................................................................................12
USER GUIDANCE..........................................................................................................................................................................12
APPROVED CRYPTOGRAPHIC ALGORITHMS....................................................................................................................................12
NON-FIPS APPROVED ALGORITHMS.............................................................................................................................................12
ACRONYM LIST.............................................................................................................................................................................13
FIPS 140-2 Security Policy – Guidance Software EnCase Enterprise Cryptographic Module Page 4 of 13
© Copyright 2008 Guidance Software
INTRODUCTION
Background
Federal Information Processing Standards Publication 140-2 — Security Requirements for Cryptographic
Modules specifies requirements for cryptographic products to be deployed in a Sensitive but Unclassified
environment. More information about the FIPS 140-2 standard and validation program is available on the
NIST website at http://csrc.nist.gov/groups/STM/cmvp/index.html.
This non-proprietary Cryptographic Module Security Policy for the EnCase Enterprise Cryptographic
Module from Guidance Software provides an overview of the product and a high-level description of how it
meets the security requirements of FIPS 140-2. This document contains details on the module’s
cryptographic keys and critical security parameters. This Security Policy concludes with instructions and
guidance on running the modules in a FIPS 140-2 mode of operation.
External Resources
The Guidance Software website (http://www.guidancesoftware.com) contains information on the full line of
products from Guidance Software, including a detailed overview of the EnCase Enterprise Cryptographic
Module solution. The NIST Cryptographic Module Validation Program website
(http://csrc.nist.gov/groups/STM/cmvp/index.html) contains Guidance Software contact information for
answers to technical or sales-related questions.
Notices
This document may be freely reproduced and distributed in its entirety without modification.
Relationship to the EnCase Enterprise Product
The module is designed for use within the full range of Guidnace Software’s products, including the
EnCase Enterprise suite. As such the module implements the security relevant functions of Guidance
Software’s products. The typical “users” of the module are therefore EnCase Enterprise software processes
referred to as “calling daemons” in the following text.
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© Copyright 2008 Guidance Software
GUIDANCE SOFTWARE ENCASE ENTERPRISE CRYPTOGRAPHIC MODULE
Product Overview
EnCase® Enterprise has changed the landscape of enterprise and computer investigations by providing
complete network visibility, immediate response and comprehensive, forensic-level analysis of servers and
workstations anywhere on a network. EnCase® Enterprise is a scalable platform that integrates seamlessly
with your existing systems to create an enterprise investigative infrastructure. This cutting-edge solution
can be tailored to meet your unique needs, including the automation of time-consuming investigative
processes, incident response and eDiscovery.
• Securely investigate/analyze many machines simultaneously over the LAN/WAN at the disk and
memory level.
• Acquire data in a forensically sound manner, using software that has an unparalleled record in
courts worldwide.
• Limit incident impact and eliminate system downtime with immediate response capabilities.
• Investigate and analyze multiple platforms — Windows, Linux, AIX, OS X, Solaris and more —
using a single tool.
• Efficiently collect only potentially relevant data upon eDiscovery requests.
• Proactively audit large groups of machines for sensitive or classified information, as well as
unauthorized processes and network connections.
• Identify fraud, security events and employee integrity issues wherever they are taking place — then
investigate/remediate with immediacy and without alerting targets.
• Identify and remediate zero-day events, injected dlls, rootkits and hidden/rogue processes..
Cryptographic Module Specification
The module is the Guidance Software EnCase Enterprise Cryptographic Module version 1.0. The module is
an object module that is distributed as part of the Encase Enterprise application and is therefore classified
as a multi-chip standalone cryptographic module.
Module Block Diagram
The figure below shows the module’s physical and logical block diagram:
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© Copyright 2008 Guidance Software
Figure 1 – Physical/Logical Boundary Diagram
Figure 2 – Module Block Diagram
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© Copyright 2008 Guidance Software
Validation Level and Algorithm Implementation Certificates
The following table lists the level of validation for each area in FIPS 140-2.
FIPS 140-2 Section Title
Module
Validation
Level
Cryptographic Module Specification 1
Cryptographic Module Ports and Interfaces 1
Roles, Services, and Authentication 1
Finite State Model 1
Physical Security N/A
Operational Environment 1
Cryptographic Key Management 1
Electromagnetic Interference / Electromagnetic Compatibility 1
Self-Tests 1
Design Assurance 1
Mitigation of Other Attacks N/A
Cryptographic Module Security Policy 1
Table 2 – Validation Level by DTR Section
The “Mitigation of Other Attacks” section is also not relevant as the module does not implement any
countermeasures towards special attacks.
The module’s cryptographic algorithm implementations have received the following certificate numbers
from the Cryptographic Algorithm Validation Program:
Algorithm
Type
Algorithm Standard
FIPS Validation
Certificate
Use
Asymmetric
Key
DSA FIPS 186-2 248 Sign / verify operations
Key generation
Hashing SHA-1 FIPS 180-2 698 Message digest
Keyed Hash HMAC-SHA1 FIPS 198 350 Module integrity
Symmetric
Key
AES CBC mode with
128-bit keys
FIPS 197 666 Data encryption
Table 3 – Algorithm Certificates
Please note that for RNG functionality, the module relies on the FIPS 186-2 based Microsoft Enhanced
Cryptographic Provider (Cryptographic Application Programming Interface CAPI), which earned certificate
number 238.
Module Interfaces
The interfaces (ports) for the physical boundary include the computer keyboard port, CDROM drive, floppy
disk, mouse, network port, parallel port, USB ports, monitor port and power plug. When operational, the
module does not transmit any information across these physical ports because it is a software
cryptographic library. Therefore, the module’s interfaces are purely logical and are provided through the
Application Programming Interface (API) that a calling daemon can operate. The logical interfaces expose
FIPS 140-2 Security Policy – Guidance Software EnCase Enterprise Cryptographic Module Page 8 of 13
© Copyright 2008 Guidance Software
services that applications directly call, and the API provides functions that may be called by a referencing
application (see Roles and Services for the list of available functions).
The API provided by the module is mapped onto the FIPS 140- 2 logical interfaces: data input, data output,
control input, and status output. Each of the FIPS 140- 2 logical interfaces relates to the Module's callable
interface, as follows:
FIPS 140-2 Interface Logical Interface Module Physical Interface
Data Input Input parameters of API function calls Ethernet/Network port
Data Output Output parameters of API function calls Ethernet/Network port
Control Input API function calls Keyboard and mouse
Status Output Function calls returning status information
and return codes provided by API function
calls
Monitor
Power None Power supply/connector
Table 4 – Logical Interface / Physical Interface Mapping
Roles and Services
The module supports a Crypto Officer and a User role. The Crypto Officer can access all services in the
module and perform initialization while the User role can only access the services of the module. The
module supports no Maintenance role.
The Module does not implement authentication of the two roles. Roles are implicitly selected via the
services being called and the situation in which they are called as described below. There are also no
internal audit trails tracking any of the events or data generated or used by the module during FIPS
approved mode of operation.
Crypto Officer Role
The Crypto Officer role is responsible only for the initialization of the module. The Crypto Officer role has no
special access to keys or data inside the module except for generating the shared secret at initialization
time. The Crypto Officer role is implicitly selected or assumed when initializing module.
User Role
The User role includes all the calling daemons (other software modules outside the EnCase Enterprise
Cryptographic Module) using the module as part of their normal operation.
The User role is implicitly selected or assumed when calling any services on the module API when using
the module during normal operations.
Available Services
The services available to the User and Crypto Officer roles in the Module consist of the following:
FIPS 140-2 Security Policy – Guidance Software EnCase Enterprise Cryptographic Module Page 9 of 13
© Copyright 2008 Guidance Software
SERVICE DESCRIPTION ROLES CLASS NAME
Encrypt Block Symmetric Encrypts a block of data Using AES Both SymCryptClass
Decrypt Block Symmetric Decrypts a block of data Using AES Both SymCryptClass
Key Generation Generates DSA keys using the Microsoft
CAPI PRNG
Crypto Officer AsymGenKeyClass
Hash Block Hashes a block using SHA-1 and the
standard IV
Both ShaComputeClass
Sign Block Signs a block with DSS Both AsymCryptClass
Verify Block Verifies the Signature of a DSS-signed
block
Both AsymCryptClass
Encrypt Block Asymmetric Encrypts a block of data using DH Both AsymCryptClass
Decrypt Block Asymmetric Decrypts a block of data using DH Both AsymCryptClass
Load Asymmetric key Loads an asymmetric key into the module Both AsymCryptClass
Show Status Shows status of the module Both StartupInfoClass
Zeroize CSPs Clears CSPs from memory Both BufferClass
Run Self-Tests Performs power-on self-tests Crypto Officer Subsystem
Installation and Initialization Installs the module and initializes the
module for FIPS mode of operation
Crypto Officer Compiled in; no load
needed
Table 5 – Operator Services and Descriptions
Physical Security
No physical security is claimed as the Cryptographic Module is software-only.
Operating Environment
The module operates on a general purpose computer running on a modern version of the Microsoft
Windows general purpose operating system (GPOS), including Microsoft Windows Vista, Windows XP and
Windows 2003 Server. For FIPS purposes, the module is running on Microsoft Windows in single user
mode and does not require any additional configuration to meet the FIPS requirements.
The module was tested on a GPOS with the following specifications:
• Operating System: Microsoft Windows XP Professional SP2
• Processor: Intel Pentium 4 at 3.2 Ghz
• RAM: 2GB
• Hard Drive: 30GB
• Network Controller: Intel Pro/1000 Dual Port Server
• Video Controller: Nvidia GeForce 6200
The GPC(s) used during testing met Federal Communications Commission (FCC) FCC Electromagnetic
Interference (EMI) and Electromagnetic Compatibility (EMC) requirements for business use as defined by
47 Code of Federal Regulations, Part15, Subpart B. FIPS 140-2 validation compliance is maintained when
FIPS 140-2 Security Policy – Guidance Software EnCase Enterprise Cryptographic Module Page 10 of 13
© Copyright 2008 Guidance Software
the module is operated on other versions of the Microsoft Windows GPOS running in single user mode,
assuming that the requirements outlined in NIST IG G.5 are met.
Cryptographic Key Management
Table 6 provides a complete list of critical security parameters used within the module:
KEY /
CSP NAME
DESCRIPTION
Crypto Officer
Privileges1
User
Privileges
GSI Key
Vendor Key pair
(DH/DSS), Root of
trust
R W D None
Keymaster
Client crypto officer
Key pair (DH/DSS);
used for
authentication to the
SAFE and key
distribution
R W D None
SAFE
Server Key pair
(DH/DSS)
R W D R W D
Session key
128-bit AES session
key
R W D R W D
Table 6 – Critical Security Parameters
Please note that the module does not support key storage.
Zeroization has been implemented to ensure no traces are left in memory of any CSPs upon termination of
the service using the CSP. Zeroization has been implemented by overwriting the allocated memory buffer
with zeros before freeing the memory to other uses. Any service using a CSP will zeroize the CSP upon
normal termination and when transitioning into error states. Zeroization is initiated by terminating the
process and powering off the module.
Self-Tests
The module includes an array of self-tests that are run during startup and periodically during operations to
prevent any secure data from being released and to ensure all components are functioning correctly. The
following sections discuss the module’s self-tests in more detail.
In the event of any self-test failure, the module will output an error dialog and will shutdown. No keys or
CSPs will be output when the module is in an error state.
Power-On Self-Tests
Power-on self-tests are run upon every initialization of the module and if any of the tests fail, the module will
not initialize. The module will enter an error state and no services can be accessed by the users. The
module implements the following power-on self-tests:
1 R = Read | W = Write | D = Delete
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© Copyright 2008 Guidance Software
• Module integrity check via HMAC-SHA1
• DSA pairwise consistency key (signing and signature verification)
• AES KAT (encryption and decryption)
• SHA-1 KAT
The module performs all power-on self-tests automatically when the module is initialized. All power-on self-
tests must be passed before a User/Crypto Officer can perform services. The Power-on self-tests can be
run on demand by reinitializing the module in FIPS approved Mode of Operation or by calling the
corresponding service on the API.
Conditional Self-Tests
Conditional self-tests are on-demand tests and tests run continuously during operation of the module. If any
of these tests fail, the module will enter and error state. The module can be re-initialized to clear the error
and resume FIPS mode of operation. No services can be accessed by the operators. The module performs
the following conditional self-tests:
• Pairwise consistency test for DSA
• Continuous RNG test run on output of CAPI RNG
The module does not support a bypass function.
Mitigation of Other Attacks
The module does not mitigate other attacks.
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© Copyright 2008 Guidance Software
SECURE OPERATION OF THE ENCASE ENTERPRISE CRYPTOGRAPHIC MODULE
This section describes how to configure the module for FIPS-approved mode of operation. Operating the
module without maintaining the following settings will remove the module from the FIPS-approved mode of
operation.
Crypto Officer Guidance
Module Initialization and Configuration
Crypto Officer must configure and enforce the following initialization procedures:
1. Install module using setup program.
2. Verify that the software version is 1.0 and that FIPS mode is enabled. No other version is
allowed to be used in FIPS mode of operation.
3. Verify that the GPOS is configured to a single-user mode of operation.
User Guidance
The module is not distributed as a standalone library and is only used in conjunction with the EnCase
Enterprise solution. As such, there is no direct User Guidance.
Approved Cryptographic Algorithms
In FIPS mode of operation, only the following FIPS approved algorithms are used:
• AES for encryption/decryption
• DSA for signing and verifying
• SHA-1 for hashing
• HMAC-SHA1 for module integrity
• CAPI for random number generation2
Non-FIPS Approved Algorithms
The module implements the following non-FIPS-approved cryptographic algorithms:
• Diffie-Hellman
ƒ DH key sizes of 1024-bits and 2048-bits
ƒ Key agreement; key establishment methodology provides 80 or 112 bits of encryption
strength
2 As implemented in Microsoft Enhanced Cryptographic Provider (Cryptographic Application Programming Interface CAPI), which
earned certificate number 238.
FIPS 140-2 Security Policy – Guidance Software EnCase Enterprise Cryptographic Module Page 13 of 13
© Copyright 2008 Guidance Software
ACRONYM LIST
AES ............................................Advanced Encryption Standard
API..............................................Application Programming Interface
CAPI...........................................Cryptographic Application Programming Interface (CAPI)
CBC............................................Cipher Block Chaining
CSP............................................Critical Security Parameter
DSA............................................Digital Signature Algorithm
DSS............................................Digital Signature Standard
DTR............................................Derived Test Requirements
FIPS ...........................................Federal Information Processing Standard
GPC............................................General Purpose Computer
GPOS.........................................General Purpose Operating System
GSI .............................................Guidance Software, Inc.
GUI.............................................Graphical User Interface
HMAC.........................................Hashed Message Authentication Code
KAT ............................................Known Answer Test
NIST ...........................................National Institute of Standards and Technology
NVRAM.......................................Non-Volatile Random Access Memory
SHA............................................Secure Hash Algorithm