Cloud Software Group
NetScaler MPX
Hardware Models: 8900 FIPS, 9100 FIPS, 15000-50G FIPS series
Part numbers: 8905 FIPS, 8910 FIPS, 8920 FIPS, 9120 FIPS, 9130 FIPS, 9140 FIPS, 9160
FIPS, 9180 FIPS, 9195 FIPS, 15030-50G FIPS, 15040-50G FIPS, 15060-50G FIPS, 15080-
50G FIPS, 15100-50G FIPS, 15120-50G FIPS
Firmware Version: 13.1.FIPS
FIPS 140-3 Non-Proprietary Security Policy
FIPS Security Level: 2
Document Version: 0.4
Prepared for: Prepared by:
Cloud Software Group Corsec Security, Inc.
851 Cypress Creek Road 12600 Fair Lakes Circle, Suite 210
Fort Lauderdale, FL 33309 Fairfax, VA 22033
United States of America United States of America
Phone: +1 954 267 3000 Phone: +1 703 267 6050
www.cloud.com www.corsec.com
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
NetScaler MPX
©2024 Cloud Software Group
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Abstract
This is a non-proprietary Cryptographic Module Security Policy for the NetScaler MPX (version: 13.1.FIPS) from
Cloud Software Group (Cloud). This Security Policy describes how the NetScaler MPX meets the security
requirements of Federal Information Processing Standards (FIPS) Publication 140-3, which details the U.S. and
Canadian government requirements for cryptographic modules. More information about the FIPS 140-3 standard
and validation program is available on the National Institute of Standards and Technology (NIST) and the Canadian
Centre for Cyber Security (CCCS) Cryptographic Module Validation Program (CMVP) website at
http://csrc.nist.gov/groups/STM/cmvp.
This document also describes how to run the module in a secure Approved mode of operation. This policy was
prepared as part of the Level 2 FIPS 140-3 validation of the module. The NetScaler MPX is referred to in this
document as NetScaler MPX or the module.
References
This document deals only with operations and capabilities of the module in the technical terms of a FIPS 140-3
cryptographic module security policy. More information is available on the module from the following sources:
• The Cloud Software Group website (www.cloud.com) contains information on the full line of services and
solutions from Cloud.
• The search page on the CMVP website (https://csrc.nist.gov/Projects/cryptographic-module-validation-
program/Validated-Modules/Search) can be used to locate and obtain vendor contact information for
technical or sales-related questions about the module.
Document Organization
ISO/IEC 19790 Annex B uses the same section naming convention as ISO/IEC 19790 section 7 - Security
requirements. For example, Annex B section B.2.1 is named “General” and B.2.2 is named “Cryptographic module
specification,” which is the same as ISO/IEC 19790 section 7.1 and section 7.2, respectively. Therefore, the format
of this Security Policy is presented in the same order as indicated in Annex B, starting with “General” and ending
with “Mitigation of other attacks.” If sections are not applicable, they have been marked as such in this document.
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
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Table of Contents
1. General..................................................................................................................................................6
2. Cryptographic Module Specification .......................................................................................................9
2.1 Operational Environments......................................................................................................................9
2.2 Algorithm Implementations................................................................................................................. 10
2.2.1 Netscaler Control Plane Cryptographic Library ...................................................................... 10
2.2.2 Netscaler Data Plane Cryptographic Library........................................................................... 13
2.2.3 Intel Hardware Cryptographic Accelerator............................................................................. 15
2.2.4 NetScaler CPU Jitter Entropy Source ...................................................................................... 17
2.3 Cryptographic Boundary...................................................................................................................... 17
2.4 Excluded Components ......................................................................................................................... 19
2.5 Modes of Operation............................................................................................................................. 19
3. Cryptographic Module Interfaces .........................................................................................................20
4. Roles, Services, and Authentication......................................................................................................22
4.1 Authorized Roles.................................................................................................................................. 22
4.2 Authentication Methods...................................................................................................................... 23
4.3 Services ................................................................................................................................................ 25
5. Software/Firmware Security ................................................................................................................31
6. Operational Environment.....................................................................................................................32
7. Physical Security ..................................................................................................................................33
8. Non-Invasive Security ..........................................................................................................................34
9. Sensitive Security Parameter Management ..........................................................................................35
9.1 Keys and SSPs....................................................................................................................................... 35
9.2 RGB Entropy Sources ........................................................................................................................... 42
10. Self-Tests.............................................................................................................................................43
10.1 Pre-Operational Self-Tests................................................................................................................... 43
10.2 Conditional Self-Tests .......................................................................................................................... 43
10.3 Self-Test Failure Handling .................................................................................................................... 45
11. Life-Cycle Assurance.............................................................................................................................46
11.1 Secure Installation ............................................................................................................................... 46
11.1.1 Initial Tamper-Evident Seal Inspection ................................................................................... 46
11.1.2 Installation .............................................................................................................................. 49
11.2 Initialization ......................................................................................................................................... 50
11.2.1 Approved Mode Configuration and Status............................................................................. 50
11.2.2 Configure the Passphrase Requirements................................................................................ 50
11.2.3 Replace the Default TLS Certificate ........................................................................................ 50
11.2.4 Disable HTTP Access to the Web GUI ..................................................................................... 51
11.2.5 Disable Local Authentication .................................................................................................. 51
11.2.6 Enable External Authentication.............................................................................................. 51
11.3 Startup ................................................................................................................................................. 52
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11.4 Administrator Guidance....................................................................................................................... 52
11.4.1 On-Demand Self-Tests ............................................................................................................ 52
11.4.2 Zeroization .............................................................................................................................. 52
11.4.3 Status and Versioning Information......................................................................................... 53
11.4.4 Additional Administrator Policies and Guidance.................................................................... 53
11.5 Non-Administrator Guidance............................................................................................................... 54
12. Mitigation of Other Attacks..................................................................................................................55
Appendix A. Acronyms and Abbreviations..........................................................................................56
List of Tables
Table 1 – Security Level per FIPS 140-3 Section.........................................................................................................8
Table 2 – Cryptographic Module Tested Configurations............................................................................................9
Table 3 – Approved Algorithms (Netscaler Control Plane Cryptographic Library).................................................. 10
Table 4 – Non-Approved Algorithms Allowed in the Approved Mode of Operation with No Security Claimed .... 13
Table 5 – Approved Algorithms (Netscaler Data Plane Cryptographic Library) ...................................................... 14
Table 6 – Approved Algorithms (Intel Hardware Cryptographic Accelerator)........................................................ 16
Table 7 – Approved Algorithms (NetScaler CPU Jitter Entropy Source).................................................................. 17
Table 8 – Ports and Interfaces................................................................................................................................. 20
Table 9 – Roles, Service Commands, Input and Output.......................................................................................... 22
Table 10 – Authentication Mechanism Used by the Module.................................................................................. 24
Table 11 – Approved Services ................................................................................................................................. 25
Table 12 – Physical Security Inspection Guidelines................................................................................................. 33
Table 13 – SSPs........................................................................................................................................................ 35
Table 14 – Other SSPs.............................................................................................................................................. 39
Table 15 – Non-Deterministic Random Number Generation Specification ............................................................ 42
Table 16 – Acronyms and Abbreviations................................................................................................................. 56
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List of Figures
Figure 1 – Typical NetScaler MPX Deployment..........................................................................................................7
Figure 2 – NetScaler MPX 89xx FIPS Front Panel..................................................................................................... 17
Figure 3 – NetScaler MPX 89xx FIPS Rear Panel...................................................................................................... 18
Figure 4 – NetScaler MPX 91xx FIPS Front Panel..................................................................................................... 18
Figure 5 – NetScaler MPX 91xx FIPS Rear Panel...................................................................................................... 18
Figure 6 – NetScaler MPX 15xxx-50G FIPS Front Panel........................................................................................... 18
Figure 7 – NetScaler MPX 15xxx-50G FIPS Rear Panel ............................................................................................ 19
Figure 8 – Front Cover of the MPX 89xx FIPS.......................................................................................................... 46
Figure 9 – Back Panel of the MPX 89xx FIPS............................................................................................................ 47
Figure 10 – Left Side of the MPX 89xx FIPS ............................................................................................................. 47
Figure 11 – Right Side of the MPX 89xx FIPS........................................................................................................... 47
Figure 12 – Front Cover of the MPX 91xx FIPS........................................................................................................ 47
Figure 13 – Back Panel of the MPX 91xx FIPS.......................................................................................................... 48
Figure 14 – Left Side of the MPX 91xx FIPS ............................................................................................................. 48
Figure 15 – Right Side of the MPX 91xx FIPS........................................................................................................... 48
Figure 16 – Front Cover of the MPX 15xxx-50G FIPS............................................................................................... 48
Figure 17 – Back Panel of the MPX 15xxx-50G FIPS ................................................................................................ 49
Figure 18 – Left Side of the MPX 15xxx-50G FIPS.................................................................................................... 49
Figure 19 – Right Side of the MPX 15xxx-50G FIPS.................................................................................................. 49
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1. General
The Netscaler product line optimizes delivery of applications over the Internet and private networks. It is an
Application Delivery Controller (ADC) that performs application-specific traffic analysis to intelligently distribute,
optimize, and secure L4-L71
network traffic for web-applications. All these capabilities are combined into a single,
integrated appliance for increased productivity, with lower overall total cost of ownership.
These hardware-based appliances employ a multi-core processor design and are available in a wide range of
appliance configurations, from sub gigabit throughput to 50 Gbps2
. Each leverages a fully hardened and secure
operating system.
These appliances are installed in the data center between the clients and the internal customer network. All client
requests and server responses pass through it. The internal customer network hosts all load-balancing and
authentication services, such as LDAP3
, Kerberos, and SAML4
. The module’s features are enabled, and the
configured policies are then applied to incoming and outgoing traffic. Figure 1 is an illustration of a typical
deployment.
1 L4-L7 – Layer 4 – Layer 7
2 Gbps – Gigabits per second
3
LDAP – Lightweight Directory Access Protocol
4 SAML – Security Assurance Markup Language
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Client
Internet
Netscaler
Server 1
Server 2
Server 3
Authentication Services
LDAP
SAML/DFA/
Oauth/OpenID
Kerberos
Internal
Customer
Network
Figure 1 – Typical NetScaler MPX Deployment
The feature set can be broadly categorized as consisting of switching features, security and protection features,
and server-farm optimization features:
• Switching features – When deployed in front of application servers, the NetScaler MPX ensures optimal
distribution of traffic by the way in which it directs client requests. Administrators can segment application
traffic according to information in the body of an HTTP5
or TCP6
request, and on the basis of L4–L7 header
information such as URL7
, application data type, or cookie. Numerous load balancing algorithms and
extensive server health checks improve application availability by ensuring that client requests are
directed to the appropriate servers.
• Security and protection features – NetScaler MPX security and protection features protect web
applications from Application Layer attacks. The MPX allows legitimate client requests and can block
5 HTTP – Hypertext Transfer Protocol
6
TCP – Transmission Control Protocol
7 URL – Uniform Resource Locator
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malicious requests. It provides built-in defenses against denial-of-service (DoS) attacks and supports
features that protect against legitimate surges in application traffic that would otherwise overwhelm the
servers. An available built-in firewall protects web applications from Application Layer attacks, including
buffer overflow exploits, SQL8
injection attempts, cross-site scripting attacks, and more. In addition, the
firewall provides identity theft protection by securing confidential corporate information and sensitive
customer data.
• Optimization features – Optimization features offload resource-intensive operations, such as SSL 9
processing, data compression, client keep-alive, TCP buffering, and the caching of static and dynamic
content from servers. This improves the performance of the servers in the server farm and therefore
speeds up applications. The MPX supports several transparent TCP optimizations, which mitigate
problems caused by high latency and congested network links, accelerating the delivery of applications
while requiring no configuration changes to clients or servers.
The NetScaler MPX hardware platform consists of a Control Plane processing function (providing all configuration
and management processing functions) and one to seven Data Plane(s), which provide data packet processing
functions. All configuration and management activities are performed at the workstation through the web-based
GUI10
, REST11
ful Nitro API12
, and CLI13
interfaces. The GUI includes a configuration utility for configuring the
appliance and a statistical utility called Dashboard.
NetScaler MPX is validated at the FIPS 140-3 section levels shown in Table 1.
Table 1 – Security Level per FIPS 140-3 Section
ISO/IEC 24759 Section 6.
[Number Below]
FIPS 140-3 Section Title Security Level
1 General 2
2 Cryptographic Module Specification 2
3 Cryptographic Module Interfaces 2
4 Roles, Services, and Authentication 3
5 Software/Firmware Security 2
6 Operational Environment N/A
7 Physical Security 2
8 Non-Invasive Security N/A14
9 Sensitive Security Parameter Management 2
10 Self-tests 2
11 Life-Cycle Assurance 2
12 Mitigation of Other Attacks N/A
8
SQL – Structured Query Language
9 SSL – Secure Sockets Layer
10 GUI – Graphical User Interface
11 REST – Representational State Transfer
12 API – Application Programming Interface
13
CLI – Command Line Interface
14 N/A – Not applicable
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2. Cryptographic Module Specification
NetScaler MPX is a hardware module with a multiple-chip standalone embodiment.
2.1 Operational Environments
The module was tested and found to be compliant with FIPS 140-3 requirements using the hardware models listed
in Table 2. Note that all models within a model family employ the same chassis, ports/interfaces, and
memory/storage devices. All models across all families run the same operating system and application firmware.
Table 2 – Cryptographic Module Tested Configurations
Model Hardware
(Part Number and
Version)
Firmware Version Distinguishing Features
8900 FIPS series 8905 FIPS 13.1.FIPS • Intel Xeon E5-2620 v4 (Broadwell)
• 5Gbps L4/L7 throughput for SME15
8910 FIPS 13.1.FIPS • Intel Xeon E5-2620 v4 (Broadwell)
• 10Gbps L4/L7 throughput for SME
8920 FIPS 13.1.FIPS • Intel Xeon E5-2620 v4 (Broadwell)
• 20Gbps L4/L7 throughput for SME
9100 FIPS series 9110 FIPS 13.1.FIPS • Intel Xeon Silver 4310T (Ice Lake)
• 20Gbps L4/L7 throughput for SME
9120 FIPS 13.1.FIPS • Intel Xeon Silver 4310T (Ice Lake)
• 20Gbps L4/L7 throughput for SME
9130 FIPS 13.1.FIPS • Intel Xeon Silver 4310T (Ice Lake)
• 30Gbps L4/L7 throughput for SME
9140 FIPS 13.1.FIPS • Intel Xeon Silver 4310T (Ice Lake)
• 40Gbps L4/L7 throughput for SME
9160 FIPS 13.1.FIPS • Intel Xeon Silver 4310T (Ice Lake)
• 60Gbps L4/L7 throughput for SME
9180 FIPS 13.1.FIPS • Intel Xeon Silver 4310T (Ice Lake)
• 80Gbps L4/L7 throughput for SME
9195 FIPS 13.1.FIPS • Intel Xeon Silver 4310T (Ice Lake)
• 95Gbps L4/L7 throughput for SME
15000-50G FIPS
series
15020-50G FIPS 13.1.FIPS • Intel Xeon E5-2620 v4 (Broadwell)
• 30Gbps L4/L7 throughput for MLE16
15030-50G FIPS 13.1.FIPS • Intel Xeon E5-2620 v4 (Broadwell)
• 30Gbps L4/L7 throughput for MLE
15040-50G FIPS 13.1.FIPS • Intel Xeon E5-2620 v4 (Broadwell)
• 40Gbps L4/L7 throughput for MLE
15
SME – Small and Medium Enterprise
16 MLE – Medium and Large Enterprise
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Model Hardware
(Part Number and
Version)
Firmware Version Distinguishing Features
15060-50G FIPS 13.1.FIPS • Intel Xeon E5-2620 v4 (Broadwell)
• 60Gbps L4/L7 throughput for MLE
15080-50G FIPS 13.1.FIPS • Intel Xeon E5-2620 v4 (Broadwell)
• 80Gbps L4/L7 throughput for MLE
15100-50G FIPS 13.1.FIPS • Intel Xeon E5-2620 v4 (Broadwell)
• 100Gbps L4/L7 throughput for MLE
15120-50G FIPS 13.1.FIPS • Intel Xeon E5-2620 v4 (Broadwell)
• 120Gbps L4/L7 throughput for MLE
2.2 Algorithm Implementations
The module includes the following cryptographic libraries that provide basic cryptographic functionalities and
support secure networking protocols:
• Netscaler Control Plane Cryptographic Library v1.0 (Cert. A3942)
• Netscaler Data Plane Cryptographic Library v1.0 (Cert. A3943)
• Intel hardware cryptographic accelerator v1.0 (Cert. A3944)
• NetScaler CPU Jitter Entropy Source v.3.4.0 (Cert. A3513)
2.2.1 Netscaler Control Plane Cryptographic Library
Table 3 lists the Approved algorithms implemented in the Netscaler Control Plane Cryptographic Library.
Table 3 – Approved Algorithms (Netscaler Control Plane Cryptographic Library)
CAVP
Certificate17
Algorithm and
Standard
Mode / Method Description / Key Size(s) /
Key Strengths
Use / Function
A3942 AES
FIPS PUB18 197
CBC19, CTR20 128, 192, 256 Encryption/decryption
CFB12821 128 Encryption/decryption
A3942 AES
NIST SP 800-38D
GCM22 128, 256 Encryption/decryption
Vendor
Affirmed
CKG23
NIST SP 800-133rev2
Compliant to SP 800-
133rev2 Section 4.
- - Cryptographic key generation
17
This table includes vendor-affirmed algorithms that are approved but CAVP testing is not yet available.
18 PUB – Publication
19 CBC – Cipher Block Chaining
20 CTR – Counter
21 CFB – Cipher FeedBack
22
GCM – Galois Counter Mode
23 CKG – Cryptographic Key Generation.
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CAVP
Certificate17
Algorithm and
Standard
Mode / Method Description / Key Size(s) /
Key Strengths
Use / Function
A3942 CVL24
NIST SP 800-135rev1
KDF (IKE25 v1/v2, SSH26,
SNMP27, TLS28 v1.0/v1.1)
- Key derivation
No parts of the IKE, SSH, SNMP and
TLS protocols, other than the KDFs,
have been tested by the CAVP and
CMVP.
A3942 CVL
RFC29 5246
RFC 7627
KDF (TLS v1.2) - Key derivation
No part of the TLS protocol, other than
the KDF, has been tested by the CAVP
and CMVP.
A3942 DRBG30
NIST SP 800-90Arev1
Counter-based w/
derivation function
AES-256 Deterministic random bit
generation
A3942 ECDSA31
FIPS PUB 186-4
Secret generation modes:
Testing candidates, extra
bits
P-224, P-256, P-384, P-521 Key pair generation
- P-224, P-256, P-384, P-521 Public key validation
- P-224, P-256, P-384, P-521
(SHA2-224, SHA2-256, SHA2-
384, SHA2-512)
Digital signature generation
- P-224, P-256, P-384, P-521
(SHA-1, SHA2-224, SHA2-256,
SHA2-384, SHA2-512)
Digital signature verification
A3942 HMAC32
FIPS PUB 198-1
SHA-1, SHA2-256, SHA2-
384, SHA2-512
112 (minimum) Message authentication
The module supports the truncation of
HMAC SHA-1 to 96 bits according to
NIST SP 800-107rev1.
A3942 KAS33
NIST SP 800-56Arev3
NIST SP 800-135rev1
Compliant to IG D.F.
Scenario 2, Path 2.
KAS-ECC-SSC with SSH KDF P-224, P-256, P-384, P-521 Key agreement
Key establishment methodology
provides between 112 and 256 bits of
encryption strength
KAS-ECC-SSC with TLS
v1.0/v1.1 KDF
P-224, P-256, P-384, P-521 Key agreement
Key establishment methodology
provides between 112 and 256 bits of
encryption strength
KAS-FFC-SSC with IKE
v1/v2 KDF
MODP-2048, MODP-3072,
MODP-4096, MODP-6144
Key agreement
Key establishment methodology
provides between 112 and 176 bits of
encryption strength
24 CVL – Component Validation List
25 IKE – Internet Key Exchange
26 SSH – Secure Shell
27
SNMP – Simple Network Management Protocol
28 TLS – Transport Layer Security
29 RFC – Request for Comments
30 DRBG – Deterministic Random Bit Generator
31 ECDSA – Elliptic Curve Digital Signature Algorithm
32
HMAC – (keyed-) Hashed Message Authentication Code
33 KAS – Key Agreement Scheme
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CAVP
Certificate17
Algorithm and
Standard
Mode / Method Description / Key Size(s) /
Key Strengths
Use / Function
KAS-FFC-SSC with SSH KDF MODP-2048, MODP-4096 Key agreement
Key establishment methodology
provides between 112 and 176 bits of
encryption strength
KAS-FFC-SSC with TLS
v1.0/v1.1 KDF
ffdhe2048, ffdhe3072,
ffdhe4096, ffdhe6144
Key agreement
Key establishment methodology
provides between 112 and 176 bits of
encryption strength
A3942 KAS
NIST SP 800-56Arev3
RFC34
7627
Compliant to IG D.F.
Scenario 2, Path 2.
KAS-ECC-SSC with TLS v1.2
KDF
P-224, P-256, P-384, P-521 Key agreement
Key establishment methodology
provides between 112 and 256 bits of
encryption strength
KAS-FFC-SSC with TLS v1.2
KDF
ffdhe2048, ffdhe3072,
ffdhe4096, ffdhe6144
Key agreement
Key establishment methodology
provides between 112 and 176 bits of
encryption strength
A3942 KAS-ECC-SSC35
NIST SP 800-56Arev3
EphemeralUnified P-224, P-256, P-384, P-521 Shared secret computation
A3942 KAS-FFC-SSC36
NIST SP 800-56Arev3
dhEphem MODP-2048, MODP-3072,
MODP-4096, MODP-6144,
ffdhe2048, ffdhe3072,
ffdhe4096, ffdhe6144
Shared secret computation
A3942 KTS-IFC37
NIST SP 800-56Brev2
Compliant to IG D.G.
rsakpg1-basic KTS-OAEP-basic Key transport
Key establishment methodology
provides 112 bits of encryption
strength
A3942 PBKDF238
NIST SP 800-132
Section 5.4, option 1a HMAC SHA-1 Password-based key derivation
A3942 RSA39
FIPS PUB 186-4
Key generation mode:
B.3.3
2048, 3072 Key pair generation
PKCS#1 v1.5
2048, 3072 (SHA2-256, SHA2-
384, SHA2-512)
Digital signature generation
2048, 3072 (SHA-1, SHA2-256,
SHA2-384, SHA2-512)
Digital signature verification
A3942 Safe Primes
NIST SP 800-56Arev3,
Appendix D
- MODP-2048, MODP-3072,
MODP-4096, MODP-6144,
ffdhe2048, ffdhe3072,
ffdhe4096, ffdhe6144
Key generation
34 RFC – Request for Comments
35 KAS-ECC-SSC – Key Agreement Scheme - Elliptic Curve Cryptography - Shared Secret Computation
36 KAS-FFC-SSC – Key Agreement Scheme - Finite Field Cryptography - Shared Secret Computation
37 KTS-IFC – Key Transport Scheme - Integer Factorization Cryptography
38
PBKDF2 – Password-Based Key Derivation Function 2
39 RSA – Rivest Shamir Adleman
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CAVP
Certificate17
Algorithm and
Standard
Mode / Method Description / Key Size(s) /
Key Strengths
Use / Function
- MODP-2048, MODP-3072,
MODP-4096, MODP-6144,
ffdhe2048, ffdhe3072,
ffdhe4096, ffdhe6144
Key verification
A3942 SHS40
FIPS PUB 180-4
SHA-1, SHA2-256, SHA2-
384, SHA2-512
- Message digest
The Netscaler Control Plane Cryptographic Library uses PBKDF option 1a for PEM41
key establishment. The PBKDF
takes an input salt that is 128 bits in length with a password/passphrase containing at least 8 characters and
produces a random value of 256 bits for AES keys. A password length of 8 characters is enforced by the module
(see section 11.2.2 Configure the Passphrase Requirements). In addition, the function has an iteration count of
2,048. The underlying pseudorandom function used in this derivation is HMAC SHA-1. The keys derived from these
PBKDF functions are only used for storage applications.
The vendor affirms the following cryptographic security methods implemented by the Netscaler Control Plane
Cryptographic Library:
• Cryptographic key generation – As per NIST SP 800-133, the module uses its Approved DRBG to generate
cryptographic keys and seeds used for the generation of cryptographic keys. The resulting symmetric key
or generated seed is an unmodified output from the DRBG. The module’s DRBG is seeded via entropy
generated from CPU Jitter. The module requests a minimum number of 256 bits of entropy per call, and
generates symmetric SSPs with up to 256 bits of size and security strength and asymmetric SSPs with up
to 6144 bits of size and 178 bits of security strength.
The module does not implement any non-approved algorithms allowed in the Approved mode of operation.
The Netscaler Control Plane Cryptographic Library, Netscaler Data Plane Cryptographic Library, and Intel Hardware
Cryptographic Accelerator implement the non-Approved algorithms shown in Table 4. These algorithms are
allowed for use in the Approved mode of operation, as there is no security claimed on their use.
Table 4 – Non-Approved Algorithms Allowed in the Approved Mode of Operation with No Security Claimed
Algorithm Caveat Use / Function
MD5 - Message digest in TLS 1.0/1.142
The Netscaler Control Plane Cryptographic Library does not include any non-Approved algorithms not allowed in
the Approved mode of operation.
2.2.2 Netscaler Data Plane Cryptographic Library
Table 5 lists the Approved algorithms implemented in the Netscaler Data Plane Cryptographic Library.
40 SHS – Secure Hash Standard
41
PEM – Privacy-Enhanced Mail
42 Per FIPS 140-3 Implementation Guidance 2.4.A, this hashing technique with TLS 1.0/1.1 is allowed in the Approved mode with no security claimed.
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Table 5 – Approved Algorithms (Netscaler Data Plane Cryptographic Library)
CAVP
Certificate43
Algorithm and
Standard
Mode / Method Description / Key Size(s) /
Key Strengths
Use / Function
A3943 AES
FIPS PUB 197
CBC 128, 192, 256 Encryption/decryption
A3943 AES
NIST SP 800-38D
GCM 128, 256 Encryption/decryption
Vendor
Affirmed
CKG
NIST SP 800-133rev2
Compliant to SP 800-
133rev2 Section 4 and
6.3 method 3.
- - Cryptographic key generation
A3943 CVL
NIST SP 800-56Arev3
KDF (TLS v1.0/1.1) - Key derivation
No part of TLS protocol, other than
the KDF, has been tested by the CAVP
and CMVP.
A3943 CVL
RFC 5246
RFC 7627
KDF (TLS v1.2) - Key derivation
No part of the TLS protocol, other than
the KDF, has been tested by the CAVP
and CMVP.
A3943 CVL
RFC 8446
KDF (TLS v1.3) - Key derivation
No part of TLS protocol, other than
the KDF, has been tested by the CAVP
and CMVP.
A3943 DRBG
NIST SP 800-90Arev1
Hash-based - Deterministic random bit
generation
A3943 ECDSA
FIPS PUB 186-4
Secret generation mode:
Testing candidates
P-224, P-256, P-384, P-521 Key pair generation
- P-224, P-256, P-384, P-521 Public key validation
- P-224, P-256, P-384, P-521
(SHA2-224, SHA2-256, SHA2-
384, SHA2-512)
Digital signature generation
- P-224, P-256, P-384, P-521
(SHA-1, SHA2-224, SHA2-256,
SHA2-384, SHA2-512)
Digital signature verification
A3943 HMAC
FIPS PUB 198-1
SHA-1, SHA2-224, SHA2-
256, SHA2-384, SHA2-512
112 (minimum) Message authentication
The cryptographic library supports the
truncation of HMAC SHA-1 to 96 bits
according to NIST SP 800-107rev1.
A3943 KAS-ECC-SSC
NIST SP 800-56Arev3
EphemeralUnified P-224, P-256, P-384, P-521 Shared secret computation
A3943 KBKDF
NIST SP 800-108
Counter HMAC-SHA2-256 Key derivation
43 This table includes vendor-affirmed algorithms that are approved but CAVP testing is not yet available.
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CAVP
Certificate43
Algorithm and
Standard
Mode / Method Description / Key Size(s) /
Key Strengths
Use / Function
A3943 KTS-IFC
NIST SP 800-56Brev2
Compliant to IG D.G.
rsakpg1-basic KTS-OAEP-basic Key transport
Key establishment methodology
provides 112 bits of encryption
strength
A3943 RSA
FIPS PUB 186-2
PKCS#1 v1.5 4096 (SHA-1, SHA2-224, SHA2-
256, SHA2-384, SHA2-512)
Digital signature verification
A3943 RSA
FIPS PUB 186-4
PKCS#1 v1.5 2048, 3072, 4096 (SHA2-224,
SHA2-256, SHA2-384, SHA2-
512)
Digital signature generation
1024, 2048, 3072, 4096 (SHA-1,
SHA2-224, SHA2-256, SHA2-
384, SHA2-512)
Digital signature verification
A3943 SHS
FIPS PUB 180-4
SHA-1, SHA2-224, SHA2-
256, SHA2-384, SHA2-512
- Message digest
*Not all tested algorithms/modes are used by the module.
The vendor affirms the following cryptographic security methods implemented by the Netscaler Data Plane
Cryptographic Library:
• Cryptographic key generation – As per NIST SP 800-133, the module uses its Approved DRBG to generate
cryptographic keys and seeds used for the generation of cryptographic keys. The resulting symmetric key
or generated seed is an unmodified output from the DRBG. The module’s DRBG is seeded via entropy
generated from CPU Jitter. The module requests a minimum number of 256 bits of entropy per call, and
generates symmetric SSPs with up to 256 bits of size and security strength, and asymmetric SSPs with a
maximum size of 2048 bits (RSA), and 256 bits of security strength (ECDSA).
The Netscaler Data Plane Cryptographic Library does not include any non-Approved algorithms allowed in the
Approved mode of operations.
Please see Table 4 above and the preceding paragraph that specifies the non-Approved algorithms allowed in the
Approved mode of operation with no security claimed for the Netscaler Data Plane Cryptographic Library.
The Netscaler Data Plane Cryptographic Library does not include any non-Approved algorithms not allowed in the
Approved mode of operations.
2.2.3 Intel Hardware Cryptographic Accelerator
Table 6 lists the Approved algorithms implemented in the module’s Intel Communication Chipset 8955 hardware
cryptographic accelerator. Random values are provided by the NetScaler Data Plane Cryptographic Library to
cryptographic functions requiring it.
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Table 6 – Approved Algorithms (Intel Hardware Cryptographic Accelerator)
CAVP
Certificate
Algorithm and
Standard
Mode / Method Description / Key Size(s) /
Key Strengths
Use / Function
A3944 AES
FIPS PUB 197
CBC 128, 192, 256 Encryption/decryption
A3944 AES
NIST SP 800-38D
GCM 128, 256 Encryption/decryption
A3944 CVL
NIST SP 800-56Arev3
KDF (TLS v1.0/1.1) - Key derivation
No part of TLS protocol, other than
the KDF, has been tested by the
CAVP and CMVP.
A3944 CVL
RFC 5246
RFC 7627
KDF (TLS v1.2) - Key derivation
No part of the TLS protocol, other
than the KDF, has been tested by the
CAVP and CMVP.
A3944 ECDSA
FIPS PUB 186-4
Secret generation mode:
Testing candidates
P-224, P-256, P-384, P-521 Key pair generation
- P-224, P-256, P-384, P-521 Public key validation
- P-224, P-256, P-384, P-521
(SHA2-224, SHA2-256, SHA2-
384, SHA2-512)
Digital signature generation
- P-224, P-256, P-384, P-521
(SHA1, SHA2-224, SHA2-256,
SHA2-384, SHA2-512)
Digital signature verification
A3944 HMAC
FIPS PUB 198-1
SHA-1, SHA2-224, SHA2-
256, SHA2-384, SHA2-512
160, 256, 384, 512 Message authentication
The cryptographic library supports
the truncation of HMAC SHA-1 to 96
bits according to NIST SP 800-
107rev1.
A3944 KAS-ECC-SSC
NIST SP 800-56Arev3
EphemeralUnified P-224, P-256, P-384, P-521 Shared secret computation
A3944 RSA
FIPS PUB 186-4 PKCS#1 v1.5
2048, 3072, 4096 Digital signature generation
1024, 2048, 3072, 4096 Digital signature verification
A3944 SHS
FIPS PUB 180-4
SHA-1, SHA2-224, SHA2-
256, SHA2-384, SHA2-512
- Message digest
*Not all tested algorithms/modes are used by the module.
The Intel Hardware Cryptographic Accelerator does not include any non-Approved algorithms allowed in the
Approved mode of operations.
Please see Table 4 above and the preceding paragraph that specifies the non-Approved algorithms allowed in the
Approved mode of operation with no security claimed non-Approved algorithms allowed in the Approved mode
of operation with no security claimed for the Intel Hardware Cryptographic Accelerator.
The Intel Hardware Cryptographic Accelerator does not include any non-Approved algorithms not allowed in the
Approved mode of operations.
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Page 17 of 59
2.2.4 NetScaler CPU Jitter Entropy Source
Table 6 lists the Approved algorithms implemented in the module’s CPU Jitter Entropy Source.
Table 7 – Approved Algorithms (NetScaler CPU Jitter Entropy Source)
CAVP
Certificate
Algorithm and
Standard
Mode / Method Description / Key Size(s) /
Key Strengths
Use / Function
A3513 SHA
FIPS PUB 202
SHA3-256 - Message digest
The NetScaler CPU Jitter Entropy Source does not include any non-Approved algorithms allowed in the Approved
mode of operations.
The NetScaler CPU Jitter Entropy Source does not include any non-Approved algorithms allowed in the Approved
mode of operation with no security claimed.
The NetScaler CPU Jitter Entropy Source does not include any non-Approved algorithms not allowed in the
Approved mode of operations.
2.3 Cryptographic Boundary
The cryptographic boundary of the module is defined by the enclosure of each NetScaler MPX appliance chassis.
This includes all ports, physical interfaces, and removable covers.
The NetScaler MPX 89xx FIPS appliance is illustrated in Figure 2 and Figure 3.
Figure 2 – NetScaler MPX 89xx FIPS Front Panel
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Figure 3 – NetScaler MPX 89xx FIPS Rear Panel
The NetScaler MPX 91xx FIPS appliance is illustrated in Figure 4 and Figure 5.
Figure 4 – NetScaler MPX 91xx FIPS Front Panel
Figure 5 – NetScaler MPX 91xx FIPS Rear Panel
The NetScaler MPX 15xxx-50G FIPS appliance is illustrated in Figure 6 and Figure 7.
Figure 6 – NetScaler MPX 15xxx-50G FIPS Front Panel
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Figure 7 – NetScaler MPX 15xxx-50G FIPS Rear Panel
2.4 Excluded Components
There are no excluded components.
2.5 Modes of Operation
When installed, configured, and operated according to this Security Policy, the module supports the Approved
mode of operation only; non-Approved operations are not supported.
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Page 20 of 59
3. Cryptographic Module Interfaces
FIPS 140-3 defines the following logical interfaces for cryptographic modules:
• Data Input
• Data Output
• Control Input
• Control Output
• Status Output
As a hardware appliance, the module’s physical perimeter includes the physical ports, manual controls, physical
indicators, and physical, logical, and electrical characteristics of the device. Each of the module’s physical ports
and manual controls maps to one of the defined FIPS 140-3 logical interfaces. A mapping of the interfaces, the
host device’s physical interfaces, and the module’s logical interfaces can be found in Table 8.
Table 8 – Ports and Interfaces
Physical Port Logical Interface Data That Passes Over Port/Interface
10/100/1000Base-T copper RJ45 Ethernet port Data Input Network traffic (ingress)
Data Output Network traffic (egress)
Control Input Administrative data; Management data used to
remotely manage the appliance independently of the
firmware via the Lights-Out Management (LOM) feature
Control Output Control information is sent to remote machines
supporting LDAP and RADIUS in order for the module to
communicate with these machines.
Status Output Status information used to remotely monitor the
appliance independently of the firmware via the Lights-
Out Management (LOM) feature
LOM Port44 N/A N/A
Management Port Control Input Ethernet Management ports used to connect directly to
the appliance for CSG ADC administration functions
Status Output Ethernet Management ports used to connect directly to
the appliance for CSG ADC administration functions
10G SFP+ Ethernet port* Data Input Network traffic (ingress)
Data Output Network traffic (egress
Control Input Administrative data; Management data used to
remotely manage the appliance independently of the
firmware via the Lights-Out Management (LOM) feature
44
The LOM Port is disabled by default, the operator shall not enable this port. For more information see section 11.4.4 Additional Administrator Policies
and Guidance.
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Physical Port Logical Interface Data That Passes Over Port/Interface
Control Output Control information is sent to remote machines
supporting LDAP and RADIUS in order for the module to
communicate with these machines.
Status Output Status information used to remotely monitor the
appliance independently of the firmware via the Lights-
Out Management (LOM) feature
50G Ethernet port Data Input Network traffic (ingress)
Data Output Network traffic (egress)
Control Input Administrative data; Management data used to
remotely manage the appliance independently of the
firmware via the Lights-Out Management (LOM) feature
Control Output Control information is sent to remote machines
supporting LDAP and RADIUS in order for the module to
communicate with these machines.
Status Output Status information used to remotely monitor the
appliance independently of the firmware via the Lights-
Out Management (LOM) feature
RS-232 serial port Control Input Initial configuration data from a connected computer
Status Output Status information sent to a connected computer
regarding initial configuration activities
LCD Keypad Control Input Initial configuration information from a connected
computer; status information (available only on the
89xx FIPS & 15xxx-50G FIPS models)
Status Output IP information, system status updates, system
information, current selection, or input information
Disable Alarm button** Control Input Button used to stop the power alarm from sounding.
NMI45 button Control Input Button used (at the request of Technical Support) to
initiate a core dump.
Power interface Power N/A
*1G copper transceivers are supported in 10G slots; 1G fiber transceivers are not supported.
**The Disable Alarm button is functional only if a second power supply is installed.
45 NMI – Non-Maskable Interrupt
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4. Roles, Services, and Authentication
The sections below describe the module’s authorized roles, services, and operator authentication methods.
4.1 Authorized Roles
The module supports a Crypto Officer (CO) that authorized operators can assume. The CO role performs
administrative services on the module, such as initialization, configuration, and monitoring of the module. The CO
role includes the privileges listed under the read-only, operator, network, and sysadmin command policies.
The module also supports the following role(s):
• User – The User role can view the current status of the module and employ the services of the module
(including IPsec46
, TLS, SSH, and SNMPv3 services). The User role includes the privileges listed under the
read-only command policy.
Table 9 below lists the supported roles, along with the services (including input and output) available to each role.
Table 9 – Roles, Service Commands, Input and Output
Role Service Input Output
CO, User Show Status Show Status Command Module Status
CO Perform self-tests on-demand Reboot Command Status output
CO Perform initial network configuration Command and parameters Command response / status output
CO, User Show versioning information Show Hardware and Show
Versions Command
Module name, version
CO View system information Show Info Command Status output
CO Configure system settings Command and parameters Command response / status output
CO Configure HA47 Command and parameters Status output / parameters accepted
CO Manage NTP48 servers Command Status output
CO Zeroize Reboot Command Status output / system power on & off
messages
CO Configure system profiles Command and parameters Command response / status output
CO Manage users Command and user info Status output
CO Configure system auditing Command and parameters Command response / status output
CO View audit logs Command Status output / system events
CO Configure network settings Command and parameters Command response / status output
CO Exchange routing information Command Status output / network ingo
CO Configure SSH Command and parameters Command response / status output
CO, User Establish SSH sessions Command (CLI or Rest API) Status output / connection success
CO Configure CloudBridge Command and parameters Command response / status output
CO Configure clustering Command and parameters Command response / status output
46 IPsec – Internet Protocol Security
47
HA – High Availability
48 NTP – Network Time Protocol
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Role Service Input Output
CO, User Establish IPsec session Command Status output / connection success
CO Backup and restore Command / backup files Status output / backup files
CO Manage encryption keys Command Status output
CO Manage HMAC keys Command Status output
CO Configure traffic management Command and parameters Command response / status output
CO, User Establish TLS session Command Status output / connection success
CO, User Resume TLS session Command Status output / connection success
CO Apply data policies Command Status output
CO Configure security Command and parameters Command response / status output
CO Configure Gateway Command and parameters Command response / status output
CO Establish Gateway connection Command and parameters Command response / status output /
connection success
CO Configure external servers for system, AAA,
and Gateway authentication
Command and parameters Command response / status output
CO Configure SNMPv3 Command and parameters Command response / status output
CO SNMPv3 traps None Status output
CO Zeroize KEK Command Status output (non-error message on
success)
CO Zeroize SSH private keys Command Status output (non-error message on
success)
CO, User Authenticate operators Password or certificate Status output / login success
CO Firmware load Command and firmware image Status output / new firmware loaded
and version
The module supports up to 10 concurrent connections. Operators connect to the module via an SSH connection
(using the CLI or REST API) of via a TLS connection (using the Web GUI). Each operator authenticates using a
username/password or a certificate associated with the correct protocol in order to set up secure communication
channels. Each secure session for simultaneous operators is distinguished and kept separate by unique session
information, which is provided by the session protocol and protected by the OS.
Each session remains active (logged in) and secured until the operator logs out or is automatically logged out from
inactivity (inactivity default is 900 seconds).
4.2 Authentication Methods
The module supports identity-based authentication; operators explicitly assume their role based on the
authentication credentials used. Each role determines the functionality available to the operator within the
module.
Operators authenticate to the module using either:
• a username and password. Password complexity policies can be configured by an operator with the Crypto
Officer role and are enforced by the module. All operators are required to follow the password policies.
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Page 24 of 59
• certificates associated with the selected protocol. The module supports RSA digital certificate
authentication of users during Web GUI/HTTPS (TLS) access.
The strength objectives of the authentication mechanisms are as follows:
• For each attempt to use an authentication mechanism, the probability shall be less than one in 1,000,000
that a random attempt will succeed or a false acceptance will occur.
• For multiple attempts to use an authentication mechanism during a one-minute period, the probability
shall be less than one in 100,000 that a random attempt will succeed or a false acceptance will occur.
To meet these objectives, the password policies shall be configured by the Crypto Officer such that all passwords
shall require:
• A minimum of 8 total characters
• At least one lowercase letter
• At least one uppercase letter
• At least one digit
• At least one special character (~, `, !, @, #, $, %, ^, &, *, -, _, =, +, {, }, [, ], |, \, :, <, >, /, ., ,, " ")
The strength calculations for each of the authentication mechanisms are provided in Table 10 below.
Table 10 – Authentication Mechanism Used by the Module
Authentication Mechanism Strength
Password The minimum length of the password is eight characters, with 89 different case-sensitive alphanumeric
characters and symbols possible for usage. Adhering to the module password policies described in section
11.2.2, there are (26^1) * (26^1) * (10^1) * (27^1) * (89^4) = 11,451,713,827,320 possible passwords.
Therefore, the chance of a random attempt falsely succeeding is 1:11,451,713,827,320, which meets the
1:1,000,000 authentication strength objective.
The fastest network connection supported by the module is 1000 Mbps. At most (1x109 bits/second ×
60 seconds) = 6x1010 = 60,000,000,000 bits of data can be transmitted in one minute. The minimum
password is 64 bits (8 bits per character x 8 characters), meaning 9.375x108 passwords can be passed to
the module (assuming there is no overhead). This equates to a 1:4,591,650 chance of a random attempt
will succeed, or a false acceptance will occur in a one-minute period, which is less than the required
probability.
Certificate Using conservative estimates and equating a 2048-bit RSA key to a 112-bit symmetric key, the probability
for a random attempt to succeed is:
• =1 per 2112
• =1 per 5.19 x 1033
which is a lesser probability than 1 per 1,000,000.
Given that there can be 60,000,000,000 bits of data transmitted to the module in one minute and that a
certificate contains a 2048-bit RSA key, then at most 60,000,000,000 / 2048 or 2.93x107 certificates can
be passed to the module in a one-minute period (assuming there is no overhead), meaning if one key
has a 1:5.19x1033 chance of succeeding then in a one minute period there is a 2.93x107:5.19x1033, or
1:1.77x1026 chance of a random attempt succeeding, which is less than the required probability.
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4.3 Services
Descriptions of the services available are provided in Table 11 below.
As allowed per section 2.4.C of FIPS 140-3 Implementation Guidance, the module provides indicators for the use
of Approved services through a combination of an explicit indication (via a global Approved mode indicator) and
an implicit indication (via the successful completion of the service).
Please note that the keys and Sensitive Security Parameters (SSPs) listed in the table indicate the access rights
required using the following notation:
• G = Generate: The module generates or derives the SSP.
• R = Read: The SSP is read from the module (e.g., the SSP is output).
• W = Write: The SSP is updated, imported, or written to the module.
• E = Execute: The module uses the SSP in performing a cryptographic operation.
• Z = Zeroize: The module zeroizes the SSP.
Table 11 – Approved Services
Service Description Approved Security
Function(s)
Keys and/or SSPs Roles Access Rights to Keys and/or SSPs Indicator
Perform self-
tests on-
demand
Perform pre-
operational self-
tests
None
None
CO None Log File
Perform initial
network
configuration
Set up initial
network
configuration
and licenses
None None CO N/A Success from CLI
View system
information
View system
info and
statistics;
view/end
system sessions
None None CO N/A Console Output
Configure
system
settings
Configure
modes and
features, system
settings, and
cloud
parameters
AES (Cert. A3942)
HMAC (Cert. A3943)
SHS (Cert. A3943)
AES Key
KEK
Hash DRBG Entropy
Hash DRBG Seed
Hash DRBG 'V' Value
Hash DRBG 'C' Value
CO AES Key – W
KEK – E
Hash DRBG Entropy – E
Hash DRBG Seed –W/E
Hash DRBG 'V' Value –W/E
Hash DRBG 'C' Value –W/E
Command Line
Interface
Configure HA49 Configure HA
nodes, route
monitors,
failover
interface set
None None CO N/A Command Line
Interface and Traffic
Manage NTP50
servers
Add, edit, delete
NTP servers;
configure NTP
parameters and
synchronization
state
None None CO N/A Command Line
Interface
49
HA – High Availability
50 NTP – Network Time Protocol
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Service Description Approved Security
Function(s)
Keys and/or SSPs Roles Access Rights to Keys and/or SSPs Indicator
Configure
system profiles
Add, edit, delete
system profiles
KDF TLS (Cert. A3942)
AES (Cert. A3942)
HMAC (Cert. A3942)
DRBG (Cert. A3942)
SHS (Cert. A3942)
MD5 (Allowed for TLS 1.0/1.1)
TLS Extended Master Secret
TLS Ticket Encryption Key
TLS Ticket Authentication Key
CTR DRBG Entropy
CTR DRBG Seed
CTR DRBG 'V' Value
CTR DRBG 'Key' Value
KEK
CO TLS Extended Master Secret –W/E
TLS Ticket Encryption Key – R/W
TLS Ticket Authentication Key – R/W
CTR DRBG Entropy – E
CTR DRBG Seed –W/E
CTR DRBG 'V' Value –W/E
CTR DRBG 'Key' Value –W/E
KEK – E
Command Line
Interface
Manage users Add, edit delete
users, groups,
and command
policies; view
user/group
partition
bindings
None None CO N/A Command Line
Interface
Zeroize Reboot the
module (same
as power cycle)
None PEM Passphrase
PEM Key
AES GCM Key
AES GCM IV
DH Public Key
DH Private Key
ECDH Public Key
ECDH Private Key
RSA Public Key
RSA Private Key
SSH Shared Secret
SSH Session Key
SSH Authentication Key
IKE/IPsec Shared Secret
IKE/IPsec Session Key
IKE/IPsec Authentication Key
TLS Pre-Master Secret
TLS Extended Master Secret
TLS Session Key
TLS Authentication Key
TLS Ticket Encryption Key
TLS Ticket Authentication Key
Hash DRBG Entropy
Hash DRBG Seed
Hash DRBG “V” Value”
Hash DRBG “C” Value
CTR DRBG Entropy
CTR DRBG Seed
CTR DRBG “V” Value
CTR DRBG “Key” Value
SNMPv3 Private Key
SNMPv3 Authentication Key
CO PEM Passphrase – Z
PEM Key – Z
AES GCM Key – Z
AES GCM IV – Z
DH Public Key – Z
DH Private Key – Z
ECDH Public Key – Z
ECDH Private Key – Z
RSA Public Key – Z
RSA Private Key – Z
SSH Shared Secret – Z
SSH Session Key – Z
SSH Authentication Key – Z
IKE/IPsec Shared Secret – Z
IKE/IPsec Session Key – Z
IKE/IPsec Authentication Key – Z
TLS Pre-Master Secret – Z
TLS Extended Master Secret – Z
TLS Session Key – Z
TLS Authentication Key – Z
TLS Ticket Encryption Key – Z
TLS Ticket Authentication Key – Z
Hash DRBG Entropy – Z
Hash DRBG Seed – Z
Hash DRBG “V” Value – Z
Hash DRBG “C” Value – Z
CTR DRBG Entropy – Z
CTR DRBG Seed – Z
CTR DRBG “V” Value – Z
CTR DRBG “Key” Value – Z
SNMPv3 Private Key – Z
SNMPv3 Authentication Key – Z
N/A
Configure
system
auditing
Add, edit, delete
syslog/nslog
auditing policies
and servers;
bind
classic/advanced
global policies
None None CO N/A Command Line
Interface
View audit logs View
authentication,
system, and
event logs
None None CO N/A N/A (Audit Logs)
Configure
network
settings
Configure
network routing
protocols
AES (Cert. A3942) ZebOS Router Password
KEK
CO ZebOS Router Password – W
KEK – E
Command Line
Interface
Exchange
routing
information
Exchange
routing update
information
using ZebOS,
authenticate
source of
packets
AES (Cert. A3942) ZebOS Router Password
KEK
CO ZebOS Router Password – E
KEK – E
Show Command O/P
and Traffic
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Service Description Approved Security
Function(s)
Keys and/or SSPs Roles Access Rights to Keys and/or SSPs Indicator
Configure SSH Configure SSH
authentication
settings;
generate SSH
keys
CKG (Vendor Affirmed)
DRBG (Cert. A3942)
ECDSA (Cert. A3942)
RSA (Cert. A3942)
SSH Private Key
SSH Public Key
CTR DRBG Entropy
CTR DRBG Seed
CTR DRBG 'V' Value
CTR DRBG 'Key' Value
CO SSH Private Key – W/E
SSH Public Key – W
CTR DRBG Entropy –E
CTR DRBG Seed –W/E
CTR DRBG 'V' Value –W/E
CTR DRBG 'Key' Value –W/E
Command Line
Interface
Establish SSH
sessions
Establish an SSH
session
AES (Cert. A3942)
CKG (Vendor Affirmed)
DRBG (Cert. A3942)
ECDSA (Cert. A3942)
HMAC (Cert. A3942)
KAS-ECC-SSC (Cert. A3942)
KAS-FFC-SSC (Cert. A3942)
KTS-IFC (Cert. A3942)
RSA (Cert. A3942)
Safe Primes Key Generation
(Cert. A3942)
SHS (Cert. A3942)
SSH KDF (Cert. A3942)
SSH Public Key
DH Private Key Component
DH Public Key Component
ECDH Private Key Component
ECDH Public Key Component
SSH Shared Secret
SSH Session Key
SSH Authentication Key
CTR DRBG Entropy
CTR DRBG Seed
CTR DRBG 'V' Value
CTR DRBG 'Key' Value
CO
User
SSH Public Key – R/E
DH Private Key Component – W/E
DH Public Key Component – R/E
ECDH Private Key Component – W/E
ECDH Public Key Component – R/E
SSH Shared Secret – W/E
SSH Session Key – W/E
SSH Authentication Key – W/E
CTR DRBG Entropy – E
CTR DRBG Seed –W/E
CTR DRBG 'V' Value –W/E
CTR DRBG 'Key' Value –W/E
Traffic
Configure
CloudBridge
Configure IPsec
profile;
configure
CloudBridge
Connector
settings,
network
bridges, and IP
tunnels; view IP
tunnel details
AES (Cert. A3942)
KAS-FFC-SSC (Cert. A3942)
Safe Primes Key Generation
(Cert. A3942)
IKE/IPsec PSK51
KEK
CO IKE/IPsec PSK – W
KEK – E
Command Line
Interface
Configure
clustering
Configure an
appliance to
either be the
cluster
coordinator or a
node in the
cluster
None Cluster Password CO Cluster Password – W Command Line
Interface
Establish IPsec
session
Establish an
IPsec Session
KAS-FFC-SSC (Cert. A3942)
AES (Cert. A3942)
CKG (Vendor Affirmed)
DRBG (Cert. A3942)
HMAC (Cert. A3942)
KDE IKEv1 (Cert. A3942)
KDE IKEv2 (Cert. A3942)
Safe Primes Key Generation
(Cert. A3942)
SHS (Cert. A3942)
DH Private Key Component
DH Public Key Component
IKE/IPsec Shared Secret
IKE/IPsec PSK
KEK
IKE/IPsec Session Key
IKE/IPsec Authentication Key
CTR DRBG Entropy
CTR DRBG Seed
CTR DRBG 'V' Value
CTR DRBG 'Key' Value
CO
User
DH Private Key Component – W/E
DH Public Key Component – R/E
IKE/IPsec Shared Secret – W/XE
IKE/IPsec PSK – E
KEK – E
IKE/IPsec Session Key – W/E
IKE/IPsec Authentication Key – W/E
CTR DRBG Entropy – E
CTR DRBG Seed –W/E
CTR DRBG 'V' Value –W/E
CTR DRBG 'Key' Value –W/E
Traffic
Backup and
restore
Backup/import
system
configuration
files; download
and delete
backup files;
restore
None None CO N/A N/A
Manage
encryption
keys
Add, edit, delete
encryption keys
AES (Cert. A3943)
DRBG (Cert. A3943)
AES Key
KEK
Hash DRBG Entropy
Hash DRBG Seed
Hash DRBG 'V' Value
Hash DRBG 'C' Value
CO AES Key – R/W
KEK – E
Hash DRBG Entropy – E
Hash DRBG Seed –W/E
Hash DRBG 'V' Value –W/E
Hash DRBG 'C' Value –W/E
Command Line
Interface
Manage HMAC
keys
Add, edit, delete
HMAC keys
AES (Cert. A3943)
DRBG (Cert. A3943)
HMAC (Cert. A3943)
SHS (Cert. A3943)
HMAC Key
KEK
Hash DRBG Entropy
Hash DRBG Seed
Hash DRBG 'V' Value
Hash DRBG 'C' Value
CO HMAC Key – R/W
KEK – E
Hash DRBG Entropy – E
Hash DRBG Seed –W/E
Hash DRBG 'V' Value –W/E
Hash DRBG 'C' Value –W/E
Command Line
Interface
51 PSK – Pre-shared Key
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
NetScaler MPX
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Page 28 of 59
Service Description Approved Security
Function(s)
Keys and/or SSPs Roles Access Rights to Keys and/or SSPs Indicator
Configure
traffic
management
Configure TLS;
Configure load
balancing,
priority load
balancing,
content
switching, and
cache
redirection
settings, DNS52,
GSLB53,
Subscriber,
service chaining,
and user
protocol settings
AES (Certs. A3942, A3943)
DRBG (Certs. A3942, A3943)
ECDSA (Certs. A3942, A3943)
PBKDF2 (Cert. A3942)
RSA (Certs. A3942, A3943)
CA54 Public Key
TLS Private Key
TLS Public Key
Private DNS KSK55
Public DNS KSK
Private DNS ZSK56
Public DNS ZSK
SSH Private Key
SSH Public Key
PEM Passphrase
PEM Key
KEK
CTR DRBG Entropy
CTR DRBG Seed
CTR DRBG 'V' Value
CTR DRBG 'Key' Value
Hash DRBG Entropy
Hash DRBG Seed
Hash DRBG 'V' Value
Hash DRBG 'C' Value
CO CA Public Key – R/W/E
TLS Private Key – R/W/E
TLS Public Key – R/W
Private DNS KSK – R/W/E
Public DNS KSK – R/W
Private DNS ZSK – R/W/E
Public DNS ZSK – R/W
SSH Private Key – R/W/E
SSH Public Key – R/W/E
PEM Passphrase – R/W/E
PEM Key – W/E
KEK – E
CTR DRBG Entropy – E
CTR DRBG Seed – W/E
CTR DRBG 'V' Value –W/E
CTR DRBG 'Key' Value –W/E
Hash DRBG Entropy – E
Hash DRBG Seed –W/E
Hash DRBG 'V' Value –W/E
Hash DRBG 'C' Value –W/E
Command Line
Interface
Establish TLS
session
Establish a web
session using
TLS protocol
AES (Certs. A3942, A3943,
A3944)
CKG (Vendor Affirmed)
DRBG (Certs. A3942, A3943,
and A3944)
ECDSA (Certs. A3942, A3943,
and A3944)
HMAC (Certs. A3942, A3943,
and A3944)
KAS-ECC-SSC (Certs. A3942,
A3943, A3944)
KAS-FFC-SSC (Cert. A3942)
KDF TLS (Certs. A3942, A3943,
A3944)
KTS-IFC (Certs. A3942 and
A3943)
PBKDF2 (Cert. A3942)
RSA (Certs. A3942, A3943,
A3944)
Safe Primes Key Generation
(Cert. A3942)
SHS (Certs. A3942, A3943, and
A3944)
TLS v1.2 KDF RFC7267 (Certs.
A3942, A3943, A3944)
TLS v1.3 KDF (Cert. A3943)
MD5 (Allowed for TLS 1.0/1.1)
TLS Private Key
TLS Public Key
DH Private Key Component
DH Public Key Component
ECDH Private Key Component
ECDH Public Key Component
RSA Private Key Component
RSA Public Key Component
TLS Premaster Secret
TLS Extended Master Secret
TLS Session Key
TLS Authentication Key
AES GCM IV57
AES GCM Key
PEM Passphrase
PEM Key
KEK
CTR DRBG Entropy
CTR DRBG Seed
CTR DRBG 'V' Value
CTR DRBG 'Key' Value
Hash DRBG Entropy
Hash DRBG Seed
Hash DRBG 'V' Value
Hash DRBG 'C' Value
CO
User
TLS Private Key –E
TLS Public Key – R/EDH Private Key
Component – W/E
DH Public Key Component – R/E
ECDH Private Key Component – W/E
ECDH Public Key Component – R/E
RSA Private Key Component – W/E
RSA Public Key Component – R/E
TLS Premaster Secret – R/W/E
TLS Extended Master Secret – W/E
TLS Session Key – W/E
TLS Authentication Key – W/E
AES GCM IV – W/E
AES GCM Key – W/E
PEM Passphrase –E
PEM Key – W/E
KEK – E
CTR DRBG Entropy – E
CTR DRBG Seed –W/E
CTR DRBG 'V' Value –W/E
CTR DRBG 'Key' Value –W/E
Hash DRBG Entropy – E
Hash DRBG Seed – W/E
Hash DRBG 'V' Value – W/E
Hash DRBG 'C' Value – W/E
Traffic
Resume TLS
session
Resume a web
session using
TLS protocol
AES (Cert. A3943, A3944)
DRBG (Cert. A3943, A3944)
ECDSA (Cert. A3943, A3944)
HMAC (Cert. A3943, A3944)
KTS-IFC (Cert. A3943)
RSA (Cert. A3943, A3944)
SHS (Cert. A3943, A3944)
MD5 (Allowed for TLS 1.0/1.1)
TLS Ticket Encryption Key
TLS Ticket Authentication Key
TLS Session Key
TLS Authentication Key
AES GCM IV
AES GCM Key
KEK
Hash DRBG Entropy
Hash DRBG Seed
Hash DRBG 'V' Value
Hash DRBG 'C' Value
CO
User
TLS Ticket Encryption Key –W/E
TLS Ticket Authentication Key –W/E
TLS Session Key –E
TLS Authentication Key –E
AES GCM IV – W/E
AES GCM Key – W/E
KEK – E
Hash DRBG Entropy –E
Hash DRBG Seed –W/E
Hash DRBG 'V' Value –W/E
Hash DRBG 'C' Value –W/E
Traffic
Apply data
policies
Apply data
policies to user
data in transit
(according to
configuration)
AES (Certs. A3942, A3943)
HMAC (Certs. A3942, A3943)
SHS (Certs. A3942, A3943)
AES Key
HMAC Key
KEK
CO AES Key – E
HMAC Key – E
KEK – E
Traffic
52 DNS – Domain Name System
53 GSLB – Global Server Load Balancing
54 CA – Certificate Authority
55 KSK – Key Signing Key
56
ZSK – Zone Signing Key
57 IV – Initialization Vector
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
NetScaler MPX
©2024 Cloud Software Group
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Page 29 of 59
Service Description Approved Security
Function(s)
Keys and/or SSPs Roles Access Rights to Keys and/or SSPs Indicator
Configure
security
Configure DNS
security profiles,
application
firewall profiles
and policies,
reputation
settings,
protection
features, and
content
inspection
policies
None None CO N/A Command Line
Interface
Configure
Gateway
Configure
Gateway global
settings, virtual
servers, portal
themes, AAA58
groups and
users, policies,
and resources
AES (Cert. A3942
KBKDF (Cert. A3943)
RDP59 PSK
KEK
CO RDP PSK – W
KEK – E
Command Line
Interface
Establish
Gateway
connection
Establish
Gateway
connection
based on global
settings
AES (Cert. A3943)
RDP PSK
RDP Session Key
KEK
CO
RDP PSK – E
RDP Session Key – E
KEK – E
Traffic
Configure
external
servers for
system, AAA,
and Gateway
authentication
Configure
LDAP60, Oauth,
OpenID, DFA61,
and SAML62
servers to be
used in system,
AAA, or
Gateway
authentication
AES (Cert. A3942)
RSA (Cert. A3942)
LDAP Admin Password
Oauth Client Secret
DFA Shared Secret
KEK
CO LDAP Admin Password – W
Oauth Client Secret – R/W
DFA Shared Secret – R/W
KEK – E
Command Line
Interface
Radius Over
TLS
Establish a TLS
session with
radius server
AES (Certs. A3942, A3943)
CKG (Vendor Affirmed)
DRBG (Certs. A3942, A3943)
ECDSA (Certs. A3942, A3943)
HMAC (Certs. A3942, A3943)
KAS-ECC-SSC (Certs. A3942,
A3943)
KDF TLS (Certs. A3942, A3943,
A3944)
KAS-FFC-SSC (Cert. A3942)
KTS-IFC (Certs. A3942, A3943)
PBKDF2 (Cert. A3942)
RSA (Certs. A3942, A3943)
Safe Primes Key Generation
(Cert. A3942)
SHS (Certs. A3942, A3943)
TLS v1.2 KDF RFC7267 (Certs.
A3942, A3943, A3944)
TLS v1.3 KDF (Cert. A3943)
MD5 (Allowed for TLS 1.0/1.1)
TLS Private Key
TLS Public Key
DH Private Key Component
DH Public Key Component
ECDH Private Key Component
ECDH Public Key Component
RSA Private Key Component
RSA Public Key Component
TLS Premaster Secret
TLS Extended Master Secret
TLS Session Key
TLS Authentication Key
AES GCM IV63
AES GCM Key
PEM Passphrase
PEM Key
KEK
CTR DRBG Entropy
CTR DRBG Seed
CTR DRBG 'V' Value
CTR DRBG 'Key' Value
Hash DRBG Entropy
Hash DRBG Seed
Hash DRBG 'V' Value
Hash DRBG 'C' Value
CO
User
TLS Private Key – E
TLS Public Key – R/E
DH Private Key Component – W/E
DH Public Key Component – R/E
ECDH Private Key Component – W/E
ECDH Public Key Component – R/E
RSA Private Key Component – W/E
RSA Public Key Component – R/E
TLS Premaster Secret –W/E
TLS Extended Master Secret – W/E
TLS Session Key – W/E
TLS Authentication Key – W/E
AES GCM IV – W/E
AES GCM Key – W/E
PEM Passphrase – R/E
PEM Key – W/E
KEK – E
CTR DRBG Entropy – E
CTR DRBG Seed – W/E
CTR DRBG 'V' Value – W/E
CTR DRBG 'Key' Value – W/E
Hash DRBG Entropy – E
Hash DRBG Seed – W/E
Hash DRBG 'V' Value – W/E
Hash DRBG 'C' Value – W/E
Traffic
58 AAA – Authentication, Authorization, Accounting
59 RDP – Remote Desktop Protocol
60 LDAP – Lightweight Directory Access Protocol
61 DFA – Delegated Form Authentication
62
SAML – Security Assertion Markup Language
63 IV – Initialization Vector
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
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Page 30 of 59
Service Description Approved Security
Function(s)
Keys and/or SSPs Roles Access Rights to Keys and/or SSPs Indicator
Configure
SNMPv3
Configure SNMP
communities,
traps, managers,
views, groups,
users, alarms,
and engine ID64;
view SNMP
OIDs65
AES (Cert. A3942)
HMAC (Cert. A3942)
SHS (Cert. A3942)
SNMPv3 Authentication
Passphrase
SNMPv3 Privacy Passphrase
KEK
CO SNMPv3 Authentication Passphrase –
W
SNMPv3 Privacy Passphrase – W
KEK – E
Command Line
Interface
SNMPv3 traps Provides system
condition
information
AES (Cert. A3942)
HMAC (Cert. A3942)
SHS (Cert. A3942)
SNMPv3 Authentication
Passphrase
SNMPv3 Privacy Passphrase
SNMPv3 Privacy Key
SNMPv3 Authentication Key
CO SNMPv3 Authentication Passphrase –
E
SNMPv3 Privacy Passphrase – E
SNMPv3 Privacy Key – W/E
SNMPv3 Authentication Key – W/E
Log files
Show status Show the
system status
None None CO N/A N/A
Zeroize KEK Zeroize KEK None KEK
KEK Fragment 1
KEK Fragment 2
CO KEK – Z
KEK Fragment 1 – Z
KEK Fragment 2 – Z
API return value
Zeroize SSH
private keys
Zeroize SSH
private keys
None SSH Private Key CO SSH Private Key – Z API return value
Authenticate
operators
Used for
operator logins
to the module
AES (Cert. A3942)
ECDSA (Cert. A3942)
RSA (Cert. A3942)
Operator Password
LDAP Admin Password
SSH Public Key
Oauth Client Secret
DFA Shared Secret
DFA Session Key
TLS Public Key
AES Key
AES GCM Key
AES GCM IV
KEK
None Operator Password - W
LDAP Admin Password – W/E
SSH Public Key – E
Oauth Client Secret – E
DFA Shared Secret – E
DFA Session Key – E
TLS Public Key – E
AES Key – E
AES GCM Key – E
AES GCM IV – E
KEK – E
Traffic
Firmware Load Update the
module’s
firmware to a
new version66
RSA (Cert. A3942) Firmware Load Integrity Key CO Firmware Load Integrity Key - R Log files
The module does not provide any non-Approved services.
64 ID – Identifier
65
OID – Object Identifier
66 The operator shall be aware the new firmware version may not be a FIPS validated version.
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
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Page 31 of 59
5. Software/Firmware Security
All firmware within the cryptographic boundary is verified using an approved integrity technique implemented
within the cryptographic module itself. The module implements a 2048-bit RSA digital signature verification with
a SHA-512 hash to ensure the integrity of its firmware components.
The module’s pre-operational integrity check is performed automatically at module power-up. This integrity check
can also be performed on demand by the module operator by performing a reboot.
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
NetScaler MPX
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Page 32 of 59
6. Operational Environment
The module employs a limited operational environment. The module does not provide access to a general-purpose
operating system (OS). All services provided by the module are provided by the module’s firmware and external
interfaces. All firmware upgrades are digitally signed, and a conditional self-test (RSA signature verification) is
performed with each upgrade. Therefore, per ISO/IEC 19790:2021 section 7.6.1, requirements for this section are
not applicable.
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
NetScaler MPX
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Page 33 of 59
7. Physical Security
As a multi-chip standalone hardware module, the module includes an enclosure composed of hard, production-
grade, metal components necessary to meet FIPS 140-3 level 2 physical security requirements. The module
enclosure completely encloses all of its internal components, and all integrated circuits are coated with
commercial standard passivation.
The MPX enclosure has removable front and back covers. Each cover is secured with screws and serialized tamper-
evident seals. Tamper-evident seals are applied at the factory to the modules to protect against unauthorized
access to the module. When the module is received, the operator must confirm placement of all tamper-evident
seals.
Table 12 – Physical Security Inspection Guidelines
Physical Security
Mechanism
Recommended Frequency of
Inspection/Test
Inspection/Test Details
Tamper-evident seal Every 3 months Verify that each seal is in place and
untampered
If there is an attempt to remove a cover, evidence of the attempt will be observable via the residue remaining
from the torn label.
For additional guidance regarding the inspection of the seals upon receipt, please refer to section 11.1.1 of this
document.
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
NetScaler MPX
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Page 34 of 59
8. Non-Invasive Security
This section is not applicable. There are currently no approved non-invasive mitigation techniques references in
ISO/IEC 19790:2021 Annex F.
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
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Page 35 of 59
9. Sensitive Security Parameter
Management
9.1 Keys and SSPs
The module supports the keys and other SSPs listed in Table 13 and Table 14 below.
Table 13 – SSPs
Key/SSP
Name/Type
Strength Security Function and
Cert #
Generation Import / Export Establishment Storage Zeroization Use & Related
Keys
KEK Fragment 1
(CSP)
2048 bits HMAC
(Cert. A3942)
Generated
internally via
Approved DRBG
Never imported;
never exported
- Plaintext in non-
volatile memory
CLI command Hashed in
combination with
KEK Fragment 2
to derive KEK
KEK Fragment 2
(CSP)
2048 bits HMAC
(Cert. A3942)
Generated
internally via
Approved DRBG
Never imported;
never exported
- Plaintext in non-
volatile memory
CLI command Hashed in
combination with
KEK Fragment 1
to derive KEK
KEK (AES key)
(CSP)
256 bits AES
(Cert. A3942)
- Never imported;
never exported
Derived internally
using combined
hashes of KEK
Fragment 1 and
KEK Fragment 2
Plaintext in
volatile memory
Reboot;
remove power
Encryption and
decryption of
passwords and
passphrases
PEM Key (AES
key)
(CSP)
256 bits PBKDF2
(Cert. A3942)
Generated
internally via
PBKDF
Never imported;
never exported
Derived internally
via PBKDF
Encrypted on disk
(via KEK)
CLI command Encryption and
decryption of
asymmetric
private keys
AES key
(CSP)
Between 128
and 256 bits
AES(Cert. A3943) Generated
internally via
Approved DRBG
Imported in
plaintext form via
local console or in
encrypted form via
TLS or SSH session /
exits the module in
encrypted form as
part of config
backup file
- Encrypted on disk
(via KEK)
N/A67 Encryption and
decryption
AES GCM key
(CSP)
256 bits AES (GCM mode)
(Cert. A3943)
Generated
internally via
Approved DRBG
Never exits the
module
- Plaintext in
volatile memory
Reboot;
remove power
Encryption and
decryption
HMAC Key
(CSP)
Between 160
and 512 bits
HMAC
(Cert. A3943)
Generated
internally via
Approved DRBG
Imported in
plaintext form via
local console or in
encrypted form via
TLS or SSH session /
exits the module in
encrypted form as
part of config
backup file
- Encrypted on disk
(via KEK)
N/A67 Message
authentication
with SHS
67 Zeroization of KEK renders SSP permanently unrecoverable
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
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Page 36 of 59
Key/SSP
Name/Type
Strength Security Function and
Cert #
Generation Import / Export Establishment Storage Zeroization Use & Related
Keys
CA Public Key
(PSP)
[RSA public
key]
Between 80
and 150 bits
[ECDSA public
key]
Between 112
and 256 bits
RSA
(Cert. A3942)
KTS-IFC
(Cert. A3942)
- Imported in
plaintext form via
local console or in
encrypted form via
TLS or SSH session /
exits the module in
plaintext form
- Plaintext on disk No68 TLS certificate
authentication
1024-bit RSA
public keys are
used for
signature
verification only
DH Private Key
(CSP)
[for SSH
sessions]
Between 112
and 201 bits
[for TLS
sessions]
Between 112
and 150 bits
[for IKE
sessions]
112 bits
KAS-FFC-SSC
(Cert. A3943)
Generated
internally via
Approved DRBG
Never imported;
never exported
- Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Generation of
SSH, TLS, and IKE
shared secrets
DH Public Key
(PSP)
[for SSH
sessions]
Between 112
and 201 bits
[for TLS
sessions]
Between 112
and 150 bits
[for IKE
sessions]
112 bits
KAS-FFC-SSC
(Cert. A3943)
[for the module]
Generated
internally via
Approved DRBG
[for the module]
Exits the module in
plaintext form
[for a peer]
Input in plaintext
form /
Never exits the
module
- Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Generation of
SSH, TLS, and IKE
shared secrets
ECDH Private Key
(CSP)
Between 112
and 256 bits
KAS-ECC-SSC
(Certs. A3942, A3943)
Generated
internally via
Approved DRBG
Never imported;
never exported
- Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Generation of
SSH and TLS
shared secrets
ECDH Public Key
(PSP)
Between 112
and 256 bits
KAS-ECC-SSC
(Certs. A3942, A3943,
A3944)
[for the module]
Generated
internally via
Approved DRBG
[for the module]
Exits the module in
plaintext form
[for a peer]
Input in plaintext
form /
Never exits the
module
- Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Generation of
SSH and TLS
shared secrets
RSA Private Key
(CSP)
112 or 128
bits
RSA
(Cert. A3942)
Generated
internally via
Approved DRBG
Never imported;
never exported
- Encrypted on disk
(via KEK)
N/A67 Generation of TLS
shared secrets
RSA Public Key
(PSP)
112 or 128
bits
RSA
(Cert. A3942)
KTS-IFC
(Cert. A3942)
[for the module]
Generated
internally via
Approved DRBG
[for the module]
Exits the module in
plaintext form
[for a peer]
Input in plaintext
form /
Never exits the
module
- Plaintext in
volatile memory
No68 Generation of TLS
shared secrets
68 NetScaler MPX detects modification of Public Security Parameters listed in this table.
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Page 37 of 59
Key/SSP
Name/Type
Strength Security Function and
Cert #
Generation Import / Export Establishment Storage Zeroization Use & Related
Keys
SSH Private Key
(CSP)
[RSA private
key]
112 or 128
bits
[ECDSA
private key]
Between 112
and 256 bits
RSA
(Cert. A3942)
ECDSA
(Cert. A3942)
Generated
internally via
Approved DRBG
Exits the module in
encrypted form as
part of config
backup file
- Plaintext on disk CLI command Authentication
during SSH
session
negotiation;
RBA69
Authentication
for LDAP; GSLB
configuration
sync
SSH Public Key
(PSP)
[RSA public
key]
112 or 128
bits
[ECDSA public
key]
Between 112
and 256 bits
RSA
(Cert. A3942)
ECDSA
(Cert. A3942)
Generated
internally via
Approved DRBG
Exits the module in
encrypted form as
part of config
backup file
- Plaintext in
volatile memory
No68 Authentication
during SSH
session
negotiation; RBA
Authentication
for LDAP; GSLB
configuration
sync
SSH Session Key
AES key (CBC and
CTR mode)
(CSP)
Between 128
and 256 bits
AES (CBC, CTR modes)
(Cert. A3942)
- Never imported;
never exported
Derived internally
via SSH KDF
Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Encryption and
decryption of SSH
session packets
SSH
Authentication
Key
HMAC key
(CSP)
Between 160
and 512 bits
HMAC
(Cert. A3942)
- Never imported;
never exported
Derived internally
via SSH KDF
Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Authentication of
SSH session
packets
IKE/IPsec Pre-
shared key (PSK)
(CSP)
- - - input in plaintext
form via local
console /
Exits the module in
encrypted form as
part of config
backup file
Derived
internally via
shared secret
computation
Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Authentication
during IKE/IPsec
session
negotiation
[IKEv1 Only]
Derivation of the
IKE/IPsec Session
Keys and
IKE/IPsec
Authentication
Keys
IKE/IPsec Session
Key
(AES key)
(CSP)
Between 128
and 256 bits
AES
(Cert. A3942)
Generated
internally via IKE
KDF
Never imported;
never exported
- Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Encryption and
decryption of
IKE/IPsec session
packets
IKE/IPsec
Authentication
Key
(HMAC key)
(CSP)
Between 160
and 512 bits
HMAC
(Cert. A3943)
Derived internally
via IKE KDF
Never imported;
never exported
Derived internally
via IKE KDF
Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Authentication of
IKE/IPsec session
packets
RDP Session Key
(CSP)
256 bits AES
(Cert. A3942)
- Never exits the
module
Key Derivation Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Encryption and
decryption of
RDP user and
target
information
DFA Session Key
(CSP)
256 bits AES
(Cert. A3943)
- Never exits the
module
Key Derivation Plaintext in
volatile memory
Reboot;
remove power;
session
termination
DFA
authentication to
the module
69 RBA – Role-based Authentication
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
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Page 38 of 59
Key/SSP
Name/Type
Strength Security Function and
Cert #
Generation Import / Export Establishment Storage Zeroization Use & Related
Keys
TLS Private Key
(CSP)
[RSA private
key]
Between 112
and 150 bits
[ECDSA
private key]
Between 112
and 256 bits
RSA
(Cert. A3942)
ECDSA
(Cert. A3942)
Generated
internally via
Approved DRBG
Imported in
plaintext form via
local console or in
encrypted form via
TLS or SSH session /
Exits the module in
encrypted form as
part of config
backup file
Encrypted on disk
(via PEM key)
N/A67 TLS
authentication;
SAML
authentication
(RSA only);
OpenID
authentication
(RSA only)
TLS Session Key
(CSP)
[AES key]
128 or 256
bits
[AES GCM
key]
128 or 256
bits
AES
(Certs. A3942, A3943)
AES (GCM mode)
(Certs. A3942, A3943)
- Never imported;
never exported
Derived internally
using the TLS Pre-
Master Secret via
TLS KDF
Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Encryption and
decryption of TLS
session packets
TLS
Authentication
Key
(HMAC key)
(CSP)
Between 160
and 384 bits
HMAC
(Certs. A3942, A3943)
- Never imported;
never exported
Derived internally
using the TLS Pre-
Master Secret via
TLS KDF
Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Authentication of
TLS session
packets
TLS Ticket
Encryption Key
(AES key)
(CSP)
128 bits AES
(Cert. A3943)
Generated
internally via
Approved DRBG
Imported in
encrypted form via
TLS session / Never
exits the module
-
Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Encryption and
decryption of TLS
session tickets
TLS Ticket
Authentication
Key
(HMAC key)
(CSP)
256 bits HMAC
(Certs. A3942, A3943)
Generated
internally via
Approved DRBG
Imported in
encrypted form via
TLS session / Never
exits the module
-
Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Computes the
digest of TLS
session tickets
SNMPv3 Privacy
Key
(AES key)
(CSP)
128 bits AES
(Cert. A3942)
- Never imported;
never exported
Derived internally
via SNMP KDF
Plaintext in
volatile memory
Reboot;
remove power;
session
termination
Encryption and
decryption of
SNMPv3 packets
SNMPv3
Authentication
Key
(HMAC key)
(CSP)
160 bits HMAC
(Cert. A3942)
- Never imported;
never exported
Derived internally
via SNMP KDF
Plaintext in
volatile memory
Reboot;
remove power
Authentication of
SNMPv3 packets
Public DNS KSK
(RSA public key)
(PSP)
Between 112
and 150 bits
RSA
(Cert. A3942)
Generated
internally via
Approved DRBG
Imported in
encrypted form via
SSH session / Exits
the module in
plaintext form as
part of config
backup file
- Plaintext on disk No68 Public DNS ZSK
authentication
Private DNS KSK
(RSA private key)
(CSP)
Between 112
and 150 bits
RSA
(Cert. A3942)
Generated
internally via
Approved DRBG
Imported in
encrypted form via
SSH session / Exits
the module in
encrypted form as
part of config
backup file
- Encrypted on disk
(via PEM key)
N/A67 Public DNS ZSK
signature
generation
Public DNS ZSK
(RSA public key)
(PSP)
Between 112
and 150 bits
RSA
(Cert. A3942)
Generated
internally via
Approved DRBG
Imported in
encrypted form via
SSH session / Exits
the module in
plaintext form as
part of config
backup file
- Plaintext on disk No68 DNS zone
authentication
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
NetScaler MPX
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Page 39 of 59
Key/SSP
Name/Type
Strength Security Function and
Cert #
Generation Import / Export Establishment Storage Zeroization Use & Related
Keys
Private DNS ZSK
(RSA private key)
(CSP)
Between 112
and 150 bits
RSA
(Cert. A3942)
Generated
internally via
Approved DRBG
Imported in
encrypted form via
SSH session / Exits
the module in
encrypted form as
part of config
backup file
- Encrypted on disk
(via PEM key)
N/A67 DNS zone
signature
generation
*Keys derived from the PBKDF function are only used for storage applications.
Table 14 – Other SSPs
Key/SSP
Name/Type
Strength Security Function
and Cert. Number
Generation Import/Export Establishment Storage Zeroization70 Use &Related
Keys
PEM
Passphrase
(Alphanumeric
string)
(CSP)
- - - Input in plaintext
form via local
console /
Exits the module
in encrypted form
as part of config
backup file
- Plaintext in
volatile
memory or
encrypted on
disk (via KEK)
[for plaintext]
Reboot;
remove power
Derivation of
PEM Key
AES GCM IV
(96 and 128-
bit IV)
(CSP)
- AES (GCM mode)
(Cert. A3942)
Generated
internally
deterministically
71
Never exits the
module
- Plaintext in
volatile
memory
Reboot;
remove power
IV for AES
GCM
SSH Shared
Secret
(CSP)
- - - Never exits the
module
Derived
internally via
SSH KDF
Plaintext in
volatile
memory
Reboot;
remove
power;
session
termination
Derivation of
the SSH
Session Key
and SSH
Authentication
Key
IKE/IPsec
Shared Secret
(CSP)
- - - Never exits the
module
- Plaintext in
volatile
memory
Reboot;
remove
power;
session
termination
Derivation of
the IKE/IPsec
Session Keys
and IKE/IPsec
Authentication
Keys
TLS Pre-Master
Secret
(CSP)
- KAS-ECC-SSC
(Certs. A3942,
A3943, A3944)
KAS-FFC-SSC
(Cert. A3943)
[for RSA cipher
suites and
module acting
as client]
Generated
internally via
Approved DRBG
[for RSA cipher
suites and module
acting as server]
Imported in
encrypted form
via RSA key
transport /
Never exits the
module
[for RSA cipher
suites and module
acting as client]
Exits the module
in encrypted form
via RSA key
transport
[for DH/ECDH
cipher suites]
Never exits the
module
[for DH/ECDH
cipher suites]
Derived
internally via
DH/ECDH
shared secret
computation
Plaintext in
volatile
memory
Reboot;
remove
power;
completion of
TLS Session
Key and TLS
Authentication
Key derivation
Derivation of
the TLS
Extended
Master Secret
70 The indicators provided by zeroization methods specified in this column are implicit as the normal, non-error, status output of the function performing
zeroization.
71 In compliance with TLS 1.2 GCM Cipher Suites for TLS and Section 8.2.1 of NIST SP 800-38D
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
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Page 40 of 59
Key/SSP
Name/Type
Strength Security Function
and Cert. Number
Generation Import/Export Establishment Storage Zeroization70 Use &Related
Keys
TLS Extended
Master Secret
(CSP)
- TLS KDF
(Certs. A3942,
A3943)
- Never exits the
module
Derived
internally via
TLS KDF
Plaintext in
volatile
memory
Reboot;
remove
power;
session
termination
Derivation of
the TLS
Session Key
and TLS
Authentication
Key
Hash DRBG
Entropy
(CSP)
- DRBG
(Cert. A3943)
- Never exits the
module
- Plaintext in
volatile
memory
Reboot;
remove power
Entropy input
for Hash DRBG
Hash DRBG
Seed
(CSP)
- DRBG
(Cert. A3943)
Generated
internally via
Approved DRBG
Never exits the
module
- Plaintext in
volatile
memory
Reboot;
remove power
Seed material
for Hash DRBG
Hash DRBG ‘V’
Value (Internal
state value)
(CSP)
- DRBG
(Cert. A3943)
Generated
internally via
Approved DRBG
Never exits the
module
- Plaintext in
volatile
memory
Reboot;
remove power
Internal state
value used
with Hash
DRBG
Hash DRBG ‘C’
Value
(Internal state
value)
(CSP)
- DRBG
(Cert. A3943)
Generated
internally via
Approved DRBG
Never exits the
module
- Plaintext in
volatile
memory
Reboot;
remove power
Internal state
value used
with Hash
DRBG
CTR DRBG
Entropy
(CSP)
- DRBG
(Cert. A3942)
Generated
internally via
CPU Jitter
Entropy Source
Never exits the
module
- Plaintext in
volatile
memory
Reboot;
remove power
Entropy input
for CTR DRBG
CTR DRBG
Seed
(CSP)
- DRBG
(Cert. A3942)
Generated
internally via
Approved DRBG
Never exits the
module
- Plaintext in
volatile
memory
Reboot;
remove power
Seed material
for CTR DRBG
CTR DRBG ‘V’
Value
(CSP)
- DRBG
(Cert. A3942)
Generated
internally via
Approved DRBG
Never exits the
module
- Plaintext in
volatile
memory
Reboot;
remove power
Internal state
value used
with CTR DRBG
CTR DRBG
‘Key’ Value
(AES key)
(CSP)
- DRBG
(Cert. A3942)
Generated
internally via
Approved DRBG
Never exits the
module
- Plaintext in
volatile
memory
Reboot;
remove power
Internal state
value used
with CTR DRBG
SNMPv3
Privacy
Passphrase
(Alphanumeric
string) (CSP)
- - - Input in plaintext
form via local
console or in
encrypted form
via TLS or SSH
session /
Exits the module
in encrypted form
as part of config
backup file
- Encrypted on
disk (via KEK)
N/A67 Derivation of
the SNMPv3
Privacy Key
SNMPv3
Authentication
Passphrase
(Alphanumeric
string) (CSP)
- - - Input in plaintext
form via local
console or in
encrypted form
via TLS or SSH
session /
Exits the module
in encrypted form
as part of config
backup file
- Encrypted on
disk (via KEK)
N/A67 Derivation of
the SNMPv3
Authentication
Key
LDAP Admin
Password
(Alphanumeric
string) (CSP)
- - - Input in plaintext
form via local
console or in
encrypted form
via TLS or SSH
session /
Exits the module
in encrypted form
as part of config
backup file
- Encrypted on
disk (via KEK)
N/A67 Used to bind
to the LDAP
server
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
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Page 41 of 59
Key/SSP
Name/Type
Strength Security Function
and Cert. Number
Generation Import/Export Establishment Storage Zeroization70 Use &Related
Keys
RDP PSK
(Shared secret)
(CSP)
- KBKDF
(Cert. A3943)
- Input in plaintext
form via local
console or in
encrypted form
via TLS or SSH
session /
Exits the module
in encrypted form
as part of config
backup file
- Encrypted on
disk (via KEK)
N/A67
Used as input
to derive RDP
Session Key
Oauth Client
Secret
(Shared secret)
(CSP)
- - - Input in plaintext
form via local
console or in
encrypted form
via TLS or SSH
session /
Exits the module
in encrypted form
as part of config
backup file
- Encrypted on
disk (via KEK)
N/A67 Oauth and
Oauth IDP72
authentication
to the module
DFA Shared
Secret
(CSP)
- KBKDF
(Cert. A3943)
- Input in plaintext
form via local
console or in
encrypted form
via TLS or SSH
session /
Exits the module
in encrypted form
as part of config
backup file
- Encrypted on
disk (via KEK)
N/A67 Used as input
to derive DFA
Session Key
ZebOS Router
Password
(Alphanumeric
string) (CSP)
- - - Input in plaintext
form via local
console or in
encrypted form
via TLS or SSH
session /
Exits the module
in encrypted form
as part of config
backup file
Key Entry Encrypted on
disk (via KEK)
N/A67 Router
authentication
Cluster
Password
(Alphanumeric
string) (CSP)
- - - Input in plaintext
form via local
console or in
encrypted form
via TLS or SSH
session / Exits the
module in
encrypted form
Key Entry Encrypted on
disk (via KEK)
N/A67 Used to
connect nodes
to the cluster
coordinator
Operator
Password
(Alphanumeric
string) (CSP)
- - - Input in plaintext
form via TLS or
SSH session / Exits
the module in
encrypted form
Key Entry Plaintext in
volatile
memory
Reboot;
remove power
Authenticate
the operator
to the module
via an external
authentication
service
Firmware Load
Integrity Key
(RSA public
key) (PSP)
2048 bits RSA (Cert. A3942) - Input in plaintext Key Entry Plaintext in
volatile
memory
Reboot;
remove power
Used to verify
the new
firmware load
All RSA and ECDSA keys at 2048 and 3072-bit modulus size are generated internally by the Netscaler Control Plane
Cryptographic Library. All RSA and ECDSA keys at the 4096-bit modulus size are generated outside of the module
and input either in plaintext form via local console or encrypted form via a TLS or SSH session.
72 IDP – Identity Provider
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Page 42 of 59
AES GCM encryption is used in the context of the TLS 1.2 protocol. The module supports acceptable AES GCM
cipher suites from section 3.3.1 of NIST SP 800-52r2 and meets the (key/IV) pair uniqueness requirements from
NIST SP 800-38D. The mechanism for IV generation is compliant with RFC 5288 per scenario 1 in FIPS 140-3 IG C.H.
The counter portion of the IV is strictly increasing.
The nonce explicit part of the IV does not exhaust the maximum number of possible values for a given session key.
This condition is implicitly ensured by the design of the TLS protocol, in which the nonce_explicit is denied
exhaustion by the control exerted by the protocol’s (and hence also the module’s) management logic (wherein
the nonce_explicit is incremented per each TLS record). This management logic also implies that the probability
of an exhaustion of all 264
- 1 values of the nonce_explicit for the same TLS session in a realistic time frame is not
significant.
9.2 RGB Entropy Sources
The following table specifies the module’s entropy sources.
Table 15 – Non-Deterministic Random Number Generation Specification
Entropy Source(s) Minimum Number of
Bits of Entropy
Details
CPU Jitter
(ESV Cert. E52)
Compliant to SP 800-
90B.
256 bits The min-entropy (per 4 bits of data) of the tests for each device was:
• MPX 89xx FIPS = 3.44 bits
• MPX 91xx FIPS = 3.66 bits
• MPX 15xxx-50G FIPS = 3.53 bits
As long as there is at least one bit of entropy per four bits of raw noise data, the
entropy provided by each call to CPU Jitter entropy can be considered to contain
full entropy. When the DRBG requests 384 bits of entropy for seeding, the
function is called four times and returns 384 bits of entropy, thus exceeding the
FIPS requirement of at least 112 bits of entropy.
This entropy source is used by all cryptographic libraries and algorithms of the
module for generation of keys and random values used in key generation.
Cloud Software Group
NetScaler CPU Jitter Entropy Source
SP 800-90B Non-Proprietary Public Use Document CPU Jitter (JENT) v3.4.0
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Page 43 of 59
10. Self-Tests
Both pre-operational and conditional self-tests are performed by the module. Pre-operational tests are performed
between the time the cryptographic module is powered up and before the module transitions to the operational
state. Conditional self-tests are performed by the module during module operation when certain conditions exist.
The following sections list the self-tests performed by the module, their expected error status, and the error
resolutions.
10.1 Pre-Operational Self-Tests
The module performs the following pre-operational self-test(s):
• Firmware integrity test (using RSA 2048 digital signature verification with SHA-512)
10.2 Conditional Self-Tests
The module performs the following conditional self-tests:
• Conditional cryptographic algorithm self-tests (CASTs)
o Netscaler Control Plane Cryptographic Library
▪ AES encrypt KAT73
▪ AES decrypt KAT
▪ AES GCM encrypt KAT
▪ AES GCM decrypt KAT
▪ CTR DRBG KAT
▪ CTR DRBG instantiate/generate/reseed KAT
▪ DH primitive “Z” computation test
▪ ECDH primitive “Z” computation test
▪ ECDSA sign KAT (P-256)
▪ ECDSA verify KAT (P-256)
▪ HMAC KATs (SHA-1, SHA2-256, SHA2-512)
▪ PBKDF2 KAT (SHA-1)
▪ RSA sign KAT
▪ RSA verify KAT
▪ SHA KATs (SHA-1, SHA2-256, SHA2-512, SHA3-256)
▪ IKE KDF KAT
▪ SSH KDF KAT
▪ TLS v1.0/1.1 KDF KAT
▪ TLS v1.2 KDF KAT
o Netscaler Data Plane Cryptographic Library
▪ AES encrypt KAT
▪ AES decrypt KAT
73 KAT – Known Answer Test
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▪ AES GCM encrypt KAT
▪ AES GCM decrypt KAT
▪ ECDH Primitive “Z” computation test
▪ ECDSA sign KAT (P-256)
▪ ECDSA verify KAT (P-256)
▪ Hash DRBG KAT
▪ Hash DRBG instantiate/generate/reseed KAT (AES, 256-bit, with derivation function)
▪ HMAC KATs (SHA-1, SHA2-256, SHA2-512)
▪ KBKDF KAT
▪ RSA sign KAT
▪ RSA verify KAT
▪ SHA KATs (SHA-1, SHA2-256, SHA2-512)
▪ TLS v1.0/1.1 KDF KAT
▪ TLS v1.2 KDF KAT
▪ TLS v1.3 KDF KAT
o Intel Hardware Cryptographic Accelerator
▪ AES encrypt KAT
▪ AES decrypt KAT
▪ AES GCM encrypt KAT
▪ AES GCM decrypt KAT
▪ ECDH Primitive “Z” computation test
▪ ECDSA sign KAT (P-256)
▪ ECDSA verify KAT (P-256)
▪ HMAC KATs (SHA-1, SHA2-256, SHA2-512)
▪ RSA sign KAT
▪ RSA verify KAT
▪ SHA KATs (SHA-1, SHA2-256, SHA2-512)
▪ TLS v1.0/1.1 KDF KAT
▪ TLS v1.2 KDF KAT
▪ Continuous Health Tests on the entropy source:
o Adaptive Proportion Test on entropy source
o Repetition Count Test on entropy source
To ensure all conditional CASTs are performed prior to the first operational use of the associated algorithm,
all CASTs are performed during the module’s initial power-up sequence. The CASTs for algorithms used in
the pre-operational firmware integrity test are performed prior to the integrity test itself; all other CASTs
are executed immediately after the successful completion of the firmware integrity test.
• Conditional pair-wise consistency tests (PCTs)
o Netscaler Control Plane Cryptographic Library
▪ ECDSA sign/verify PCT (upon generation of a key pair for ECDSA signature functions)
▪ KAS-FFC PCT (upon generation of a key pair for DH Key Agreement functions)
▪ RSA sign/verify PCT (upon generation of a key pair for RSA signature functions)
▪ RSA encrypt/decrypt PCT (upon generation of a key pair for RSA key transport functions)
• Other conditional self-tests
o Firmware Load Test (using RSA 2048 digital signature verification with SHA-256)
FIPS 140-3 Non-Proprietary Security Policy, Version 0.4 September 12, 2024
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Page 45 of 59
10.3 Self-Test Failure Handling
If the module fails the pre-operational integrity test, the module enters a critical error state and logs an error
message. In this state, the boot sequence and entire system is halted. The only action available from this state is
to reboot the module to trigger the re-execution of the integrity test. The error condition is considered to have
been cleared if the module successfully passes the pre-operational integrity test. If the module continues to return
to a halted state, the module is considered to be malfunctioning or compromised, and Cloud Customer Support
must be contacted.
If the module enters the critical error state due to a failure of any of the conditional CASTs, cryptographic
operations are halted, and the module inhibits all data output from the module. The module logs an error message
and automatically reboots to clear the error state. The CO must contact Cloud Software Group if this error occurs.
The successful completion or failure of the pre-operational self-tests and conditional CASTs can be verified by
checking the log files.
• Netscaler Control Plane Cryptographic Library – Successful completion of the self-tests is indicated by
“POST Success” in /var/log/FIPS-post.log. Failure is indicated by “POST Failed” in
/var/log/FIPS-post.log.
• Netscaler Data Plane Cryptographic Library – Successful completion of the self-tests is indicated by “FIPS
POST Successful” in /var/log/ns.log. Failure is indicated by “FIPS Post Failed” in /var/log/ns.log.
Intel Hardware Cryptographic Accelerator – Successful completion of the self-tests is indicated by “FIPS POST
Successful” in /var/log/ns.log. Failure is indicated by “FIPS Post Failed” in /var/log/ns.log.
If any of the remaining conditional self-tests fail, the module goes through a soft error state and the following
message is displayed:
“Internal failure in SSL cert/key generation tool”
For these failures, the module returns to an operational state once the message is displayed (and the error is
logged). The user may retry the service (which calls the conditional self-test again) or move to other operations.
Successful completion of the conditional self-test is indicated by the absence of an error message.
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11. Life-Cycle Assurance
The sections below describe how to ensure the module is operating in its validated configuration, including the
following:
• Procedures for secure installation, initialization, startup, and operation of the module
• Maintenance requirements
• Administrator and non-Administrator guidance
Operating the module without following the guidance herein (including the use of undocumented services) will
result in non-compliant behavior and is outside the scope of this Security Policy.
11.1 Secure Installation
The module is shipped to the customer in a non-configured state. The CO is responsible for all initial setup activities,
including installing and configuring the module firmware. Prior to the installation, the CO should read the
document entries within the Citrix ADC 13.1 – Getting Started with Citrix ADC webpage on Citrix’s online product
documentation portal.
The following sections provide references to step-by-step instructions for the setup and installation of the module,
as well as the steps necessary to configure the module for its Approved mode of operation.
11.1.1 Initial Tamper-Evident Seal Inspection
Tamper-evident seals are applied at the factory to the modules to protect against unauthorized access to the
module. When the module is received, the operator must confirm placement of all tamper-evident seals.
The MPX 89xx FIPS will have a total of four (4) tamper-evident seals installed.
• One seal is placed on the front cover, connecting the front and top of the enclosure (Figure 8).
• One seal is placed on the back of the enclosure, connecting the back to the top. (Figure 9).
• One seal is placed on the left rear side of the enclosure, connecting the side to the top (Figure 10).
• One seal is placed on the right rear side of the enclosure, connecting the side to the top (Figure 11).
1
Figure 8 – Front Cover of the MPX 89xx FIPS
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2
Figure 9 – Back Panel of the MPX 89xx FIPS
3
Figure 10 – Left Side of the MPX 89xx FIPS
4
Figure 11 – Right Side of the MPX 89xx FIPS
The MPX 91xx FIPS will have a total of four (4) tamper-evident seals installed.
• One seal is placed on the front cover, connecting the front and top of the enclosure (Figure 12).
• One seal is placed on the back of the enclosure, connecting the back to the top. (Figure 9).
• One seal is placed on the left rear side of the enclosure, connecting the side to the top (Figure 14).
• One seal is placed on the right rear side of the enclosure, connecting the side to the top (Figure 15).
1
Figure 12 – Front Cover of the MPX 91xx FIPS
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2
Figure 13 – Back Panel of the MPX 91xx FIPS
3
Figure 14 – Left Side of the MPX 91xx FIPS
4
Figure 15 – Right Side of the MPX 91xx FIPS
The MPX 15xxx-50G FIPS will have a total of four (4) tamper-evident seals installed.
• One seal is placed on the front cover, connecting the front and top of the enclosure (Figure 16).
• One seal is placed on the back of the enclosure, connecting the back to the top. (Figure 17).
• One seal is placed on the left rear side of the enclosure, connecting the side to the top (Figure 18).
• One seal is placed on the right rear side of the enclosure, connecting the side to the top (Figure 19).
1
Figure 16 – Front Cover of the MPX 15xxx-50G FIPS
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2
Figure 17 – Back Panel of the MPX 15xxx-50G FIPS
3
Figure 18 – Left Side of the MPX 15xxx-50G FIPS
4
Figure 19 – Right Side of the MPX 15xxx-50G FIPS
All tamper-evident seals are required for the module to be considered operating in a Approved mode of operation.
If any seals show signs of tampering, the CO must contact Cloud Customer Support immediately.
11.1.2 Installation
For detailed guidance regarding the installation of the module, please see the Citrix ADC 13.1 – Getting Started
with Citrix ADC webpage on the online product documentation portal and refer to the following entries in that
document:
• Citrix ADC MPX hardware-software compatibility matrix
• Prepare for Installation
• Install the Hardware
The above entries include the MPX support matrix and usage guidelines, prerequisites for setting up the appliance,
and installation instructions. To install the required license files, the CO must follow the instructions on the Citrix
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ADC licensing overview webpage on Citrix’s online product documentation portal. Once the license files are
installed, reboot the module so all licenses are applied.
11.2 Initialization
After the appliance has been setup, the CO is responsible for the general configuration of the module. The Web
GUI or CLI can be used for the general configuration of the module. All general configuration must be complete
before performing configuration necessary to place the module in a Approved mode of operation.
The general configuration requirements and instructions are described in the “Quick Start Installation and
Configuration” section of the Citrix ADC Deployment Guide found on Citrix’s online product documentation
portal.
11.2.1 Approved Mode Configuration and Status
The CO is responsible for the security-relevant configuration of the module. To initialize the module for Approved
mode of operation, the CO must:
• Configure the passphrase requirements
• Replace the default TLS certificate
• Disable HTTP access to the Web GUI
• Disable local authentication after initial configuration
To accomplish these tasks, the CO must follow the procedures detailed in the sections below (for more
information, please see the “Configuration Guidelines” section of the document entry Citrix ADC Deployment
Guide.
11.2.2 Configure the Passphrase Requirements
Passphrases are used to derive keys using PBKDF. The CO must configure strong passphrase requirements. This is
accomplished with the following steps from the Web GUI:
1. In the Configuration navigation pane, go to System and click the Settings node.
2. In the Settings section, click the Change Global System Settings link.
3. In the Strong Password field, select Enable All.
4. In the Min Password Length field, type “8”.
5. Click OK.
11.2.3 Replace the Default TLS Certificate
By default, the module includes a factory-provisioned RSA certificate for TLS connections (ns-server.cert and
ns-server.key). This certificate is not intended for use in production deployments and must be replaced. The
CO must replace the default certificate with a newly-generated certificate after the initial installation.
To replace the default TLS certificate, the CO must follow these steps:
1. Run the following CLI command to set the hostname of the module: set ns hostName [hostname]
2. From the Web GUI, complete the following procedure to create a Certificate Signing Request (CSR):
• In the Configuration navigation pane, go to Traffic Management and click the SSL node.
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• In the SSL Certificates section, click the Create Certificate Request link.
• Make sure to provide values for all the required fields marked with an “*” and then click Create. Note
that the Common Name field will contain the value of hostname created in step 1 above.
3. Submit the CSR file to a trusted CA. The CSR file is available in the /nsconfig/ssl directory.
4. After receiving the certificate from the trusted CA, copy the file to the /nsconfig/ssl directory.
5. From the Web GUI, navigate to Traffic Management > SSL and choose ns-server-certificate.
6. Click Update.
7. In the Certificate File Name field, choose the certificate file that was received from the CA. Use
the Browse option to choose the file that you have received from CA after signing. Choose
the Browse > Local option if the file is saved on your workstation/local drive.
8. In the Private Key File Name field, specify the default private key file name (ns-server.key).
9. Select the No Domain Check option.
10. Click OK.
For more information, please refer to the Citrix Support Knowledge Center article CTX122521) on Citrix’s online
product documentation portal.
11.2.4 Disable HTTP Access to the Web GUI
The CO protects traffic to the administrative interface and Web GUI, by configuring the module to use HTTPS74
.
Once the module has been configured to use new TLS and SSH certificates, disable HTTP access to the GUI
management interface with the following CLI command: set ns ip <NSIP> -gui SECUREONLY
11.2.5 Disable Local Authentication
The nsroot account is a default account with root CLI access (superuser) privileges that is required for initial
configuration. During initial configuration, the CO shall disable local system authentication to block access to all
local accounts (including the nsroot account), and the CO must ensure that superuser privileges are not assigned
to any user account. To disable local system authentication and enable external system authentication, the CO
must run the following CLI command:
set system parameter -localauth disabled
11.2.6 Enable External Authentication
Once the module is configured in Approved mode and the nsroot account is disabled, then external
authentication must be configured. Follow the instructions on the Citrix ADC 13.1 – Configuring external user
authentication webpage found on the Cloud online product documentation portal to configure external system
authentication.
The CO must ensure the following before enabling external authentication:
• A secure connection is established with the external authentication service.
• Shell access is disabled for all profiles on the external authentication service.
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11.3 Startup
No additional startup steps are required to be performed by end-users.
11.4 Administrator Guidance
Once installed and configured, the Crypto Officer is responsible for maintaining and monitoring the status of the
module to ensure that it is running in its Approved mode. Please refer to this section for guidance that the Crypto
Officer must follow to ensure that the module is operating in a Approved manner.
11.4.1 On-Demand Self-Tests
Although pre-operational self-tests are performed automatically during module power up, they can also be
manually launched on demand. Self-tests can be executed by:
• power-cycling the module
• using the reset button on the platform (if applicable)
• the reboot CLI command
• the reboot API method
• via the Web GUI by navigating to Configuration > System > System Information and clicking the Reboot
button
11.4.2 Zeroization
There are many CSPs within the module’s cryptographic boundary including symmetric keys, private keys, public
keys, and passphrases. CSPs reside in multiple storage media including the RAM and system memory. All
ephemeral keys are zeroized on module reboot, power removal, or session termination.
The KEK is stored as plaintext in non-volatile memory. Zeroizing the KEK renders all passphrases and passwords
stored in the non-volatile memory unrecoverable, effectively zeroizing them. The KEK is zeroized via the following
CLI command:
rm system csps -type KEK
SSH private keys are stored as plaintext in non-volatile memory. SSH private keys are zeroized via the following
CLI command:
rm system csps -type SSH_HOST_KEYS
The output (indicator) of both zeroization commands above is successful return from the command line without
any error showing on the console. If the commands fails, an error will show on the console before returning control
to the user.
After the module’s integrity test is complete the firmware clears out all values when the signature verification
operation is complete (zeroizes temporary values used in the integrity test).
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11.4.3 Status and Versioning Information
The CO shall be responsible for regularly monitoring the module’s status for the Approved mode of operation.
When configured according to the CO’s guidance, the module only operates in the Approved mode. Thus, the
current status of the module when operational is always in the Approved mode.
An operator can view the versioning information by:
• using the following CLI commands:
show ns info shows details about the firmware, including firmware
version, enabled and disabled features, and configured
network information
show ns version shows version and build number of the appliance
show ns hardware shows details of the appliance hardware and information
such as the host ID75
and serial number
• using the RESTful Nitro API with the GET method:
https://module-ip-address>/nitro/v5/config/nshardware
https://module-ip-address>/nitro/v5/config/nsversion
• using the Web GUI by navigating to Configuration > System > System Information
This will display general system and hardware information about the device, including the platform version, CPU
information, and appliance serial number. Additionally, the Web GUI’s dashboard includes a system overview
section with information such as system HA state, system master state, and system uptime.
If any irregular activity is noticed or the module is consistently reporting errors, then Cloud Customer Support
should be contacted.
11.4.4 Additional Administrator Policies and Guidance
This section notes additional policies below that must be followed by COs:
• All private keys (except for SSH private keys) must be stored as PEM files in encrypted format using one
of the Approved encryption algorithms listed in Table 3 or Table 5.
• Upon successful bootup of the module, the module is configured by default to use only NIST SP 800-52rev2
recommended cipher suites for TLS connections. If modified, the CO must ensure that only Approved
cipher suites are configured while in the Approved mode. It is recommended to use the list of approved
TLS cipher suites in section 3.3 of NIST SP 800-52rev2 as guidance.
• The module must be configured to use PSK-based authentication for IPsec connections. The CO must
provide a PSK value when configuring IPsec profiles via the GUI, CLI, or API. Configuring digital certificate-
based authentication for IPsec connections is prohibited while in the Approved mode of operation.
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• Kerberos traffic management/SSO shall not be configured or used in the Approved mode of operation.
• The module supports clustering, and it may act as either the cluster coordinator or the cluster node. Once
appliances are clustered together, all configuration is done on the cluster coordinator and pushed to
nodes within the cluster. For details on configuring clusters, refer to Citrix ADC 13.1 – Clustering.
• The CO must ensure that the “Key” and “AutoKey” authentication parameters are not set when adding
NTP servers via the GUI, CLI, or API.
• If the module’s power is lost and then restored, the CO shall establish a new key for AES GCM encryption.
• The module has built-in CA tools used to create self-signed certificates for testing purposes. While the
feature does include the generation of keys, those keys are not considered CSPs (as they are not being
used for production purposes). The CO must ensure that all certificates are signed using a trusted CA and
not by a self-signed certificate.
• When performing a firmware update the following steps must be performed:
• Load firmware load integrity key
• Load firmware package
• Zeroize SSH keys using rm system csps -type SSH_HOST_KEYS
• Run the installation script
• The operator shall not enable the LOM port via ADC configuration.
• The operator shall perform the zeroization commands as specified in section 11.4.2 Zeroization prior to
invoking the “Firmware Load” service.
11.5 Non-Administrator Guidance
Operators with the User role do not have the ability to configure sensitive information on the module. They must
be diligent to select strong passwords and must not reveal their password to anyone. Additionally, they must be
careful to protect any secret or private keys in their possession.
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12. Mitigation of Other Attacks
The module does not claim to mitigate any attacks beyond the FIPS 140-3 Level 2 requirements for this validation.
Therefore, per ISO/IEC 19790:2021 section 7.12, requirements for this section are not applicable.
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Appendix A. Acronyms and Abbreviations
Table 16 provides definitions for the acronyms and abbreviations used in this document.
Table 16 – Acronyms and Abbreviations
Term Definition
AAA Authentication, Authorization, Accounting
ADC Application Delivery Controller
AES Advanced Encryption Standard
API Application Programming Interface
CA Certificate Authority
CAST Cryptographic Algorithm Self-Test
CBC Cipher Block Chaining
CCCS Canadian Centre for Cyber Security
CCM Counter with Cipher Block Chaining - Message Authentication Code
CFB Cipher Feedback
CKG Cryptographic Key Generation
CLI Command Line Interface
CMVP Cryptographic Module Validation Program
CO Cryptographic Officer
CPU Central Processing Unit
CSP Critical Security Parameter
CTR Counter
CVL Component Validation List
DEP Default Entry Point
DFA Delegated Form Authentication
DH Diffie-Hellman
DNS Domain Name Service
DRBG Deterministic Random Bit Generator
DSA Digital Signature Algorithm
ECB Electronic Code Book
ECC Elliptic Curve Cryptography
ECC CDH Elliptic Curve Cryptography Cofactor Diffie-Hellman
ECDH Elliptic Curve Diffie-Hellman
ECDSA Elliptic Curve Digital Signature Algorithm
EFT Environmental Failure Testing
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Term Definition
FFC Finite Field Cryptography
FIPS Federal Information Processing Standard
GCM Galois/Counter Mode
GSLB Global Server Load Balancing
GMAC Galois Message Authentication Code
GPC General-Purpose Computer
GUI Graphical User Interface
HMAC (keyed-) Hash Message Authentication Code
HTML Hypertext Markup Language
HTTP Hypertext Transfer Protocol
IKE Internet Key Exchange
KAS Key Agreement Scheme
KAS-SSC Key Agreement Scheme-Shared Secret Computation
KAT Known Answer Test
KDF Key Derivation Function
KEK Key Encryption Key
KTS Key Transport Scheme
KW Key Wrap
KWP Key Wrap with Padding
LDAP Lightweight Directory Access Protocol
LOM Lights Out Management
MD5 Message Digest 5
MLE Medium and Large Enterprise
MODP Modular Exponentiation
NDRNG Non-Deterministic Random Number Generator
NIST National Institute of Standards and Technology
NTP Network Time Protocol
OID Object Identifier
OS Operating System
PBKDF Password Based Key Derivation Function
PCT Pairwise Consistency Test
PEM Privacy-Enhanced Mail
PKCS Public Key Cryptography Standard
PSK Pre-shared Key
PSS Probabilistic Signature Scheme
PUB Publication
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Term Definition
RBA Role Based Authentication
RDP Remote Desktop Protocol
REST Representational State Transfer
RNG Random Number Generator
RSA Rivest, Shamir, and Adleman
SAML Security Assurance Markup Language
SHA Secure Hash Algorithm
SME Small and Medium Enterprise
SHS Secure Hash Standard
SNMP Simple Network Management Protocol
SP Special Publication
SQL Structured Query Language
SSL Secure Sockets Layer
TCP Transmission Control Protocol
TGS Ticket Granting Service
TLS Transport Layer Security
UDP User Datagram Protocol
URL Uniform Resource Locator
XML eXtensible Markup Language
Prepared by:
Corsec Security, Inc.
12600 Fair Lakes Circle, Suite 210
Fairfax, VA 22033
United States of America
Phone: +1 703 267 6050
Email: info@corsec.com
http://www.corsec.com