Hewlett Packard Enterprise Development LP
HPE Gen9 Smart Array P-Class RAID Controllers
Hardware Models: P240nr, P440, P440ar, P542D, and P840
Firmware Version: 6.06
HPE Gen9 Smart HBA H-Class Adapter
Hardware Model: H240nr
Firmware Version: 6.06
FIPS 140-2 Non-Proprietary Security Policy
FIPS Security Level: 1
Document Version: 0.10
Prepared for: Prepared by:
Hewlett Packard Enterprise
Development LP
Corsec Security, Inc.
11445 Compaq Center Dr. W. 13921 Park Center Road
Suite 460
Houston, TX 77070 Herndon, VA 20171
United States of America United States of America
Phone: +1 281 370 0670 Phone: +1 703 267 6050
www.hpe.com www.corsec.com
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
This document may be freely reproduced and distributed whole and intact including this copyright notice.
Page 2 of 25
Table of Contents
1. Introduction .........................................................................................................................................4
1.1 Purpose .................................................................................................................................................4
1.2 References.............................................................................................................................................4
1.3 Document Organization ........................................................................................................................4
2. Gen9 Smart Devices ..............................................................................................................................5
2.1 Overview ...............................................................................................................................................5
2.2 Module Specification.............................................................................................................................8
2.3 Module Interfaces.............................................................................................................................. 11
2.4 Roles, Services, and Authentication................................................................................................... 12
2.4.1 Authorized Roles ................................................................................................................... 12
2.4.2 Module Services.................................................................................................................... 12
2.4.3 Authentication Mechanisms ................................................................................................. 14
2.5 Physical Security................................................................................................................................. 15
2.6 Operational Environment................................................................................................................... 15
2.7 Cryptographic Key Management ....................................................................................................... 15
2.8 EMI / EMC........................................................................................................................................... 17
2.9 Self-Tests ............................................................................................................................................ 17
2.9.1 Power-Up Self-Tests.............................................................................................................. 17
2.9.2 Conditional Self-Tests............................................................................................................ 17
2.9.3 Critical Functions Self-Tests .................................................................................................. 17
2.10 Mitigation of Other Attacks................................................................................................................ 18
3. Secure Operation................................................................................................................................19
3.1 Installation and Setup ........................................................................................................................ 19
3.1.1 Initial Setup ........................................................................................................................... 19
3.2 Crypto Officer Guidance..................................................................................................................... 21
3.2.1 Management......................................................................................................................... 21
3.2.2 Monitoring Status.................................................................................................................. 21
3.2.3 Zeroization............................................................................................................................. 21
3.3 User Guidance.................................................................................................................................... 22
3.4 Additional Usage Policies ................................................................................................................... 22
3.5 Non-Approved Mode ......................................................................................................................... 22
4. Acronyms ...........................................................................................................................................23
List of Tables
Table 1 – Security Level per FIPS 140-2 Section.........................................................................................................8
Table 2 – Controller Form Factor/Processor Configurations................................................................................... 10
Table 3 – FIPS-Approved Algorithm Implementations............................................................................................ 10
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
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Table 4 – FIPS 140-2 Logical Interface Mappings.................................................................................................... 11
Table 5 – Mapping of Operator Services to Inputs, Outputs, CSPs, and Type of Access ........................................ 12
Table 6 – Unallocated Services................................................................................................................................ 14
Table 7 – Authentication Mechanism ..................................................................................................................... 15
Table 8 – List of Cryptographic Keys, Cryptographic Key Components, and CSPs .................................................. 16
Table 9 – Acronyms ................................................................................................................................................. 23
List of Figures
Figure 1 – H240nr Adapter.........................................................................................................................................6
Figure 2 – P240nr Controller ......................................................................................................................................6
Figure 3 – P440 Controller..........................................................................................................................................6
Figure 4 – P440ar Controller ......................................................................................................................................7
Figure 5 – P542D Controller .......................................................................................................................................7
Figure 6 – P840 Controller..........................................................................................................................................7
Figure 7 – Gen9 Smart Devices Block Diagram...........................................................................................................9
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
This document may be freely reproduced and distributed whole and intact including this copyright notice.
Page 4 of 25
1. Introduction
1.1 Purpose
This is a non-proprietary Cryptographic Module Security Policy for the HPE Gen9 Smart Array P-Class RAID
Controllers (Hardware Models: P240nr, P440, P440ar, P542D, and P840; Firmware Version: 6.06) and HPE Gen9
Smart HBA H-Class Adapter (Hardware Model: H240nr; Firmware Version: 6.06) by Hewlett Packard Enterprise
Development LP. This Security Policy describes how the HPE Gen9 Smart Array P-Class RAID Controllers and HPE
Gen9 Smart HBA H-Class Adapter meet the security requirements of Federal Information Processing Standards
(FIPS) Publication 140-2, which details the U.S. and Canadian Government requirements for cryptographic
modules. More information about the FIPS 140-2 standard and validation program is available on the National
Institute of Standards and Technology (NIST) and the Communications Security Establishment (CSE)
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 FIPS-Approved mode of operation. This policy
was prepared as part of the Level 1 FIPS 140-2 validation of the module. The HPE Gen9 Smart Array P-Class RAID
Controllers and HPE Gen9 Smart HBA H-Class Adapter are referred to in this document collectively as “Gen9
Smart Devices”, “controllers”, or “modules”.
1.2 References
This document deals only with operations and capabilities of the modules in the technical terms of a FIPS 140-2
cryptographic module security policy. More information is available on the modules from the following sources:
• The HPE website (www.hpe.com) contains information on the full line of products from HPE.
• The CMVP website (http://csrc.nist.gov/groups/STM/cmvp/documents/140-1/140val-all.htm) contains
contact information for individuals to answer technical or sales-related questions for the module.
1.3 Document Organization
The Security Policy document is organized into two (2) primary sections. Section 2 provides an overview of the
validated modules. This includes a general description of the capabilities and the use of cryptography, as well as
a presentation of the validation level achieved in each applicable functional areas of the FIPS standard. It also
provides high-level descriptions of how the modules meet FIPS requirements in each functional area. Section 3
documents the guidance needed for the secure use of the module, including initial setup instructions and
management methods and policies.
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
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2. Gen9 Smart Devices
2.1 Overview
The Gen9 Smart Devices make up a family of serial-attached SCSI1
host bus adapters that provide intelligent
control for storage arrays. The Gen9 Smart Devices can be card-based or embedded within an HPE server, and
provide a high-speed data path, on-board storage cache, remote management, and encryption of data at rest,
for the controlled storage arrays. Additional drives can be easily added to increase throughput. The purpose of
the Gen9 Smart Devices is to transform an application’s high-level ‘read’ or ‘write’ disk operations into the
individual instructions required for a RAID2
array using an embedded RAID-on-Chip (ROC) processor. Disk
operations are protected in transit via the Gen9 Smart Devices’ on-board memory cache that acts as a buffer for
disk input/output operations. When a controller detects a power loss, any data in the cache is written to the
flash memory for retrieval when the power returns.
Caching allows the Gen9 Smart Devices to use write-back caching that informs the operating system of a
completed write when data is written to the cache instead of waiting until it is written to disk. Gen9 Smart
Devices also implement a read-ahead caching algorithm that detects sequential read activity and predicts when
a sequential-read will follow. This allows the controller to anticipate data needs and reduce wait times. The
read-ahead caching is disabled when a non-sequential read activity is detected to reduce any slowdown for
random read requests. Note that, while the Gen9 Smart Devices all share the same cryptographic capabilities,
only the HPE Gen9 Smart Array P-Class RAID Controllers support the RAID manipulation and accelerated read-
ahead/write-back caching functionality described above.
While each controller contains a PCIe3
connector, multiple serial attached SCSI (SAS) ports, and a cryptographic
state LED4
, the Gen9 Smart Devices can be delivered in a variety of form factors for use with the HPE ProLiant
Gen9 server platform (see Figure 1 through Figure 6 below). HPE ProLiant Gen9 servers include the HPE Smart
Storage Administrator (SSA) GUI5
, which is the main tool for configuring arrays on Smart Array controllers. For a
list of servers compatible with the Gen9 Smart Devices, refer to the HP Smart Array Controllers and Smart Host
Bus Adapters for HP ProLiant Servers compatibility matrix datasheet.
1 SCSI – Small Computer System Interface
2 RAID – Redundant Array of Independent Disks
3 PCIe – Peripheral Component Interconnect Express
4
LED – Light Emitting Diode
5 GUI – Graphical User Interface
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
This document may be freely reproduced and distributed whole and intact including this copyright notice.
Page 6 of 25
Figure 1 – H240nr Adapter
Figure 2 – P240nr Controller
Figure 3 – P440 Controller
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
This document may be freely reproduced and distributed whole and intact including this copyright notice.
Page 7 of 25
Figure 4 – P440ar Controller
Figure 5 – P542D Controller
Figure 6 – P840 Controller
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
This document may be freely reproduced and distributed whole and intact including this copyright notice.
Page 8 of 25
The Gen9 Smart Devices provide encryption for data at rest. Each controller includes a PMC-Sierra ASIC6
that
generates the keys to be used for encryption. The Gen9 Smart Devices utilize a front-end strategy to encrypt all
host data. Data from the host first enters the encryption engine before moving to the cache module and then to
the RAID storage. The Gen9 Smart Devices also include a key management framework for managing disk
encryption keys. Each logical drive in the storage array is encrypted with its own disk encryption key. These keys
are then encrypted with a second key for storage on the drive. Smart Array stores keys in encrypted form in
multiple locations to provide data storage that is secure and mobile. The Gen9 Smart Devices are validated at
the FIPS 140-2 section levels shown in Table 1.
Table 1 – Security Level per FIPS 140-2 Section
Section Section Title Level
1 Cryptographic Module Specification 1
2 Cryptographic Module Ports and Interfaces 1
3 Roles, Services, and Authentication 2
4 Finite State Model 1
5 Physical Security 1
6 Operational Environment N/A
7 Cryptographic Key Management 1
8 EMI/EMC7 1
9 Self-tests 1
10 Design Assurance 2
11 Mitigation of Other Attacks N/A
2.2 Module Specification
Each controller is a hardware module with a multiple-chip embedded embodiment. The overall security level of
the modules is 1. Each controller consists of a printed circuit board (PCB) with connectors, making up the
modules’ physical cryptographic boundary. Each module includes the Smart Array firmware v6.06 and Express
Logic’s ThreadX RTOS8
v5.6.
The modules are primarily composed of the following components:
• PMC-Sierra 806x ROC processor
• Flash NVRAM9
• Dual in-line memory (DIMM) module
• Bootstrap and Crypto NVRAM
• SAS Support Logic module
• PCIe connector
• A multistate LED
6 ASIC – Application-Specific Integrated Circuit
7 EMI/EMC – Electromagnetic Interference / Electromagnetic Compatibility
8
RTOS – Real-Time Operating System
9 NVRAM – Non-Volatile Random Access Memory
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
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A block diagram of the Gen9 Smart Devices, including major physical components and logical interfaces, is
provided as Figure 7. Note that there are Manufacturing NVRAM, Local NVRAM, and SAS Mfg ID NVRAM
components that do not process any cryptographic information.
Flash
NVRAM
DIMM
Module
Non-cryptographic
components
Plaintext data
Encrypted data
Control input
Status output
Crypto boundary
LED
KEY:
Operational
Power Supply
Encryption
NVRAM
Bootstrap
NVRAM
SAS ports
SAS
Support
Logic
Serial
port
Local
NVRAM
CLK
75MHz
SAS
Mfg ID
PCIe Connector
PMC 806x
Manufacturing
NVRAM
SAS – Serial Attached SCSI
NVRAM – Non-Volatile Random Access Memory
PCIe – Peripheral Component Interconnect Express
DIMM – Dual In-Line Memory Module
LED – Light Emitting Diode
Figure 7 – Gen9 Smart Devices Block Diagram
These components appear in a variety of physical layouts depending on the module form factor. Table 2 below
provides details regarding the form factor and embedded ROC for each controller model.
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
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Page 10 of 25
Table 2 – Controller Form Factor/Processor Configurations
Controller Model Form Factor Embedded ROC
H240nr Flexible card (SAS HBA10 ) PMC-Sierra 8062
P240nr Flexible card (daughterboard) PMC-Sierra 8062
P440 Stand-up PCIe plugin card PME-Sierra 8061
P440ar Flexible card (daughterboard) PME-Sierra 8061
P542D Mezzanine card PMC-Sierra 8064
P840 Stand-up PCIe plugin card PMC-Sierra 8064
The Gen9 Smart Devices implement the FIPS-Approved algorithms listed in Table 3 below.
Table 3 – FIPS-Approved Algorithm Implementations
CAVP Certificate
Algorithm Standard Mode/Method
Key Lengths,
Curves or
Moduli
Use
PM8064 PM8062 PM8061
#2904 #2903 #2902 AES11
FIPS PUB 197 ECB12 256 data encryption/decryption
NIST SP13 800-38E XTS14,15,16 256 data encryption/decryption
Vendor
Affirmed
Vendor
Affirmed
Vendor
Affirmed
CKG17 NIST SP 800-133 - - cryptographic key generation
#531 #530 #529 DRBG18 NIST SP 800-90A CTR_based -
deterministic random bit
generation
#1839 #1838 #1837 HMAC19 FIPS PUB 198-1 SHA-256 - message authentication
Vendor
Affirmed
Vendor
Affirmed
Vendor
Affirmed
PBKDF20 NIST SP 800-132 PBKDF2 - password-based key derivation
#2444 #2443 #2442 SHS21 FIPS PUB 180-4 SHA-256 - message digest
Note: AES XTS is only Approved for storage applications.
10 HBA – Host Bus Adapter
11
AES – Advanced Encryption Standard
12 ECB – Electronic Codebook
13 SP – Special Publication
14 XTS – XEX-Based Tweaked-Codebook Mode with Ciphertext Stealing
15
XEX – XOR-Encrypt-XOR
16 XOR – Exclusive Or
17 CKG – Cryptographic Key Generation
18 DRBG – Deterministic Random Bit Generator
19 HMAC – Hash Message Authentication Code
20
PBKDF – Password-Based Key Derivation Function
21 SHS – Secure Hash Standard
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
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Page 11 of 25
The modules use the FIPS-Approved counter-based DRBG specified in NIST SP 800-90A to generate
cryptographic keys. The resulting symmetric key or generated seed is an unmodified output from the DRBG. The
modules also include the FIPS-Approved Password-Based Key Derivation Function option 2 (PBKDF2) specified in
NIST SP 800-132 as a key establishment technique. Passwords for authorized operators shall be at least eight
characters in length to ensure a sufficient strength for the PBKDF-derived keys. Keys derived from the PBKDF
function shall only be used for storage applications.
The Gen9 Smart Devices also employ the following non-Approved algorithm(s):
• Non-Deterministic Random Number Generator (NDRNG) which uses free-running oscillators, linear
feedback shift registers, and a hash/mixing function to generate entropy for the counter-based DRBG.
2.3 Module Interfaces
The modules’ physical ports can be categorized into the following logical interfaces defined by FIPS 140-2:
• Data Input Interface
• Data Output Interface
• Control Input Interface
• Status Output Interface
Table 4 lists the modules’ physical interfaces and maps them to the FIPS-required logical interfaces.
Table 4 – FIPS 140-2 Logical Interface Mappings
Device Physical Port/Interface Quantity FIPS 140-2 Logical Interface
P240nr
PCIe Connector 1 Data Input, Data Output, Control Input, Status Output
SAS port(s) 1 x 4 internal Data Input, Data Output
Multistate LED 1 Status Output
Serial port 1 Status Output
P440
PCIe Connector 1 Data Input, Data Output, Control Input, Status Output
SAS port(s) 1 x 4 external Data Input, Data Output
Multistate LED 1 Status Output
Serial port 1 Status Output
P440ar
PCIe Connector 1 Data Input, Data Output, Control Input, Status Output
SAS port(s) 2 x 4 internal Data Input, Data Output
Multistate LED 1 Status Output
Serial port 1 Status Output
P542D
PCIe Connector 1 Data Input, Data Output, Control Input, Status Output
SAS port(s) 2 x 4 internal
2 x 4 external
Data Input, Data Output
Multistate LED 1 Status Output
Serial port 1 Status Output
P840 PCIe Connector 1 Data Input, Data Output, Control Input, Status Output
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
This document may be freely reproduced and distributed whole and intact including this copyright notice.
Page 12 of 25
Device Physical Port/Interface Quantity FIPS 140-2 Logical Interface
SAS port(s) 2 x 8 internal Data Input, Data Output
Multistate LED 1 Status Output
Serial port 1 Status Output
H240nr
PCIe Connector 1 Data Input, Data Output, Control Input, Status Output
SAS port(s) 1 x 4 internal Data Input, Data Output
Multistate LED 1 Status Output
Serial port 1 Status Output
2.4 Roles, Services, and Authentication
This section describes the authorized operator roles supported by the module, the services available to
authorized operators, and module’s supported authentication mechanisms.
2.4.1 Authorized Roles
There are two roles that operators may assume: Crypto Officer (CO) and User. Operator roles are assumed
explicitly by means of a username and password. The module does not support multiple concurrent operators.
2.4.2 Module Services
Operator services are listed and described in Table 5. Please note that the keys and Critical Security Parameters
(CSPs) listed in the table indicate the type of access required using the following notation:
• R – Read: The CSP is read.
• W – Write: The CSP is established, generated, modified, or zeroized.
• X – Execute: The CSP is used within an Approved or Allowed security function or authentication
mechanism.
Table 5 – Mapping of Operator Services to Inputs, Outputs, CSPs, and Type of Access
Service22
Operator
Description Input Output CSP and Type of Access
CO User
Initialize module x Configure the module for
operation
Command and
password
Command response
and status output
CO password – W, X
Set/reset Local
Master Key
x Set or reset Local Master
Key
Command and
password
Command response
and status output
Local Master Key – W
Local Master Key name – R, X
CO password – X
22 While the “Perform data transformations”, “Show status” and “Perform self-test” services are allocated to the Crypto Officer and User roles, module
operators are not required to assume an authorized role to perform these services, as these services do not affect the security of the module (refer to FIPS
Implementation Guidance 5.2 for details).
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
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Service22
Operator
Description Input Output CSP and Type of Access
CO User
Enable encryption x Turn encryption on for
the controller as part of
initialization
Command and
password
Command response
and status output
DEK23 – R, X
CO password – X
Enable User role x Create User and assign a
password
Command and
password
Command response
and status output
User password – W
CO password – X
Set key
management
mode
x Select key management
mode on GUI
Command and
password
Command response
and status output
Local Master Key – R, W, X
CO password – X
Rekey volume key x Rekey DEK Command and
parameters
Command response DEK – R, W
CO password – X
Set password x x Change operator
password
Command Command response
and status output
CO password – W
User password – W
Lock firmware x x Lock firmware so that it
cannot be flashed
Command Command response CO password – X
User password – X
Disallow plaintext
logical drive
creation
x Inhibit the creation of
plaintext logical drives
Command Command response
and status output
CO password – X
Set volatile
encryption key
storage mode
x Set the encryption key
for the specified logical
drive to be volatile or
stored on disk
Command Command response
and status output
None
Perform Instant
Secure Erase
x x Performs a secure erase
operation on an
encrypted logical volume
Command and
parameters
Command response
and status output
None
Perform data
transformations
x x Modify the distribution
or contents of one or
more logical drives,
including:
• adding/removing
physical drives
• deleting logical drives
• adding encrypted
logical drives
• moving logical drives
from one array to
another
• changing a logical
drive’s RAID level or
stripe size
• optimizing alignment
for logical drives
• encrypting data
destined for an
encrypted logical
drive
Command Command response
and status output
DEK – R, X
23 DEK – Data Encryption Key (also referred to as the “Volume Encryption Key” in HPE documentation)
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
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Service22
Operator
Description Input Output CSP and Type of Access
CO User
Convert plaintext
volume to
encrypted volume
x x Perform plaintext-to-
encrypted volume
conversion
Command and
parameters
Command response
and status output
CTR_DRBG entropy input – R, X
CTR_DRBG seed – R, X
DEK – R, X
Reset CO
password
x Allow CO to reset
password by answering a
preset security question
Command Command response
and status output
CO password – R, W
Clear encryption x x Zeroize all CSPs Command Command response
and status output
All CSPs – W
Show status x x Show status through
LEDs and the Encryption
Manager GUI page
None Status output None
Perform self-tests x x Run all power-up self-
tests
Reboot
controller
Status output None
The module also offers services that do not require the assumption of an authorized role. These services are
listed and described in Table 6. Note that these services do not affect the security of the module, nor do they
modify, disclose, or substitute any keys or CSPs.
Table 6 – Unallocated Services
Service Description Input Output
Show Master Key reset date Provide the date of when the Master key
was last reset
Command Status output
Show Drive or Volume Key “last
rekey” date
Provide the date when the Drive or Volume
Key was last rekeyed
Command Status output
Check encryption status Indicate the module’s encryption status Command Status output
Reboot the controller Reboot the controller Reboot
controller
Status output
2.4.3 Authentication Mechanisms
The modules support role-based authentication. Module operators must input a password when requesting the
services listed in Table 5. Each command is passed to the module with the associated operator password. The
module verifies the password to ensure the operator is authorized to perform the requested command. Table 7
lists the strength of the authentication mechanism used by the modules.
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
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Page 15 of 25
Table 7 – Authentication Mechanism
Authentication Type Strength
Username/Password The minimum length of the password is 8 characters, with 94 different case-
sensitive alphanumeric characters and symbols possible for usage. The module
imposes character type and case restrictions so that the password must have a
number, upper case letter, lower case letter, and special character. The remaining
4 characters could be any of the 94 choices.
The chance of a random attempt falsely succeeding is
= 1 : (10*26*26*32*944), or 1 : 16,889,161,502,720;
which is less than 1:1,000,000 as required by FIPS 140-2.
In addition, the module imposes a restriction on the number of passwords that
can be entered into the module. After ten failures, there is a 15-minute delay
before another attempt can be made. So, in effect and at most, 10 passwords can
be tried per 15 minutes. The probability that a random attempt will succeed or a
false acceptance will occur in one minute is
= 1 : (16,889,161,502,720 possible passwords / 10 passwords per minute)
= 1 : 16.8891 x 1011
which is less than 1:100,000 as required by FIPS 140-2.
2.5 Physical Security
The Gen9 Smart Devices are multiple-chip embedded cryptographic modules. Each module consists of
production-grade components that include standard passivation techniques.
2.6 Operational Environment
The modules employ a non-modifiable operating environment. Only the modules’ firmware (version 6.06) is
executed by the module’s PMC processor. The modules do not provide a general-purpose operating system to
module operators.
2.7 Cryptographic Key Management
The controllers offer two key management modes: local or remote. In local mode, the modules generate and
store all of its keys. For Approved mode operation, the modules shall be configured to operate in local key
management mode. Please refer to section 3.1 below for the required configuration steps.
Table 8 below describes the keys and CSPs supported by the modules.
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
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Page 16 of 25
Table 8 – List of Cryptographic Keys, Cryptographic Key Components, and CSPs
CSP CSP Type Generation / Input Output Storage Zeroization Use
DEK 256-bit AES-XTS key Generated internally Never exits the
module
Stored in plaintext in
volatile DIMM module
Reboot
Logical drive deleted
Used for encryption
and decryption of
logical drives
Crypto Officer
password
8 – 16 character
password
Entered electronically Never exits the
module
Stored in encrypted
form in NVRAM
Stored in plaintext in
volatile DIMM module
Return to factory reset
Reboot
Used for
authenticating Crypto
Officer role operators
User password 8 – 16 character
password
Entered electronically Never exits the
module
Stored in encrypted
form in NVRAM
Stored in plaintext in
volatile DIMM module
Return to factory reset
Reboot
Used for
authenticating User
role operators
CTR_DRBG seed 384-bit random value Generated internally Never exits the
module
Stored temporarily in
volatile DIMM module
in plaintext
Automatically upon
completion of
CTR_DRBG seed
operation
Used to seed the
CTR_DRBG
CTR_DRBG entropy
input
256-bit random value Generated internally Never exits the
module
Stored temporarily in
volatile DIMM module
in plaintext
Automatically upon
completion of
CTR_DRBG seed
operation
Used in the process of
generating a random
number
Local Master Key 256-bit AES key Derived as per SP 800-
132 using PBKDF (with
HMAC SHA-256)
Never exits the
module
Stored in plaintext in
NVRAM
Return to factory reset Used for encryption
and decryption of
DEKs
Local Master Key
name
10 – 64 character
string
Generated externally
and
entered electronically
Never exits the
module
Stored in plaintext in
NVRAM
Return to factory reset Used as input to
PBKDF for generating
the Local Master Key
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
HPE Gen9 Smart Array P-Class RAID Controllers and HPE Gen9 Smart HBA H-Class Adapter
©2018 Hewlett Packard Enterprise Development LP
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Page 17 of 25
2.8 EMI / EMC
The Gen9 Smart Devices were tested and found conformant to the EMI/EMC requirements specified by 47 Code
of Federal Regulations, Part 15, Subpart B, Unintentional Radiators, Digital Devices, Class A (business use).
2.9 Self-Tests
Cryptographic self-tests are performed by each module when first powered up as well as when a random
number is generated. The following sections list the self-tests performed by the modules, their expected error
status, and error resolutions.
2.9.1 Power-Up Self-Tests
The modules perform the following self-tests at power-up:
• Firmware integrity check – a 32-bit Cyclic Redundancy Check (CRC)
• Known Answer Tests (KATs)
o AES-ECB encrypt KAT
o AES-ECB decrypt KAT
o AES-XTS encrypt KAT
o AES-XTS decrypt KAT
o SHA-256 KAT
o HMAC SHA-256 KAT
o CTR DRBG KAT
If any of these self-test fail, encrypted drives are taken offline, and the modules enter a critical error state. An
error message of the failure is logged.
2.9.2 Conditional Self-Tests
The modules perform the following conditional self-tests:
• Continuous RNG for NDRNG
• Continuous RNG for CTR DRBG
If any of the RNG conditional self-tests fail, the modules enter a critical error and all cryptographic operations
are halted. An error message of each failure is logged.
2.9.3 Critical Functions Self-Tests
The DRBG Instantiate, Generate, and Reseed Tests, which are described in SP 800-90A, are performed by the
modules at start-up and at any time the DRBG is instantiated. A failure of any of these tests will result in a
critical error for the DRBG, requiring that the modules be replaced. When the DRBG is in error, no new keys can
be generated.
The modules also conditionally perform a duplicate key test to ensure that its parsed AES-XTS keys are distinct.
Failure of this test will result in a transition to a transitory, recoverable error state. In this state, no cryptographic
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
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Page 18 of 25
processing can take place and data output is prohibited. Clearing this error state consists of the controllers
generating a new XTS key for comparison. When the new key is generated, the modules will re-run the
duplicate key test using the new key until successful.
2.10 Mitigation of Other Attacks
This section is not applicable. The modules do not claim to mitigate any attacks beyond the FIPS 140-2 Level 1
requirements for this validation.
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
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Page 19 of 25
3. Secure Operation
The Gen9 Smart Devices meet Level 1 requirements for FIPS 140-2. The sections below describe how to place
and keep the modules in FIPS-Approved mode of operation.
3.1 Installation and Setup
The H240nr, P240nr, P440ar, and P542D are pre-installed in the target server, while the P440 and P840
controllers must be installed in a supported server. The HPE Smart Array Controllers User Guide for HPE ProLiant
Gen9 Servers include the steps to install the Gen9 Smart Devices in a supported server.
The modules are delivered in a non-operational factory state. The CO is responsible for installation (as
applicable), initialization, and security-relevant configuration and management activities for each module. Since
the modules must be configured for encrypted use only, the CO should first determine that no plaintext volumes
are present at the time of initialization. If no plaintext volumes are present, the CO may begin performing the
initialization steps described below. If plaintext volumes are present, the CO shall convert all plaintext volumes
to encrypted volumes prior to performing those steps.
Configuration and management of the modules must be performed using the underlying server’s Smart Storage
Administrator (SSA) Secure Encryption GUI. The commands and buttons used in this interface translate to
commands that enter the modules over the PCIe bus.
To initialize the modules for their Approved mode of operation, the CO must:
1. Set the CO password, key management mode, encryption mode, and disallow plaintext volumes24
2. Enable volatile data encryption keys
3. Enable the User role
4. Verify and lock the firmware
Additional guidance for performing these tasks (including the plaintext-to-encrypted volume conversion) using
the SSA GUI can be found in the HPE Secure Encryption Installation and User Guide.
3.1.1 Initial Setup
To initialize the modules, the CO must start the HPE SSA utility. Then the CO shall follow the steps below to
complete the initial setup.
• Set the CO password, key management mode, and encryption mode, and disallow plaintext volumes
1. Select the controller to be configured and click Configure.
2. Under Tools, click Encryption Manager.
3. Select “Perform Initial Setup”. This will display the Perform Initial Setup screen.
24 Operators have the ability to move plaintext volumes via the unallocated service “Perform data transformations”. Once the modules are configured for
FIPS operation, plaintext volumes shall not be allowed and shall not be moved to the controller.
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
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Page 20 of 25
4. Under Create Crypto Officer Password, click Show.
5. Enter (then re-enter) the desired password in the New Password fields. The CO password is
required to be at least 8 characters.
6. Under Encryption Mode, select “Enable and Disallow Future Plaintext Volumes”.
7. Under Master Key, enter the Master Key name in the field provided.
8. Under Key Management Mode, select “Local Key Management Mode”.
9. Click OK.
When configured for local key management mode, the password will be used to generate the Local
Master Key.
• Enable volatile data encryption keys
1. Select the controller to be configured and click Configure.
2. Under Controller Devices, click Arrays and select a logical drive.
3. Under Actions, click Encryption Volatile Key.
4. A new window appears. Select “Enabled”. To continue, click OK.
5. A warning window appears. To continue, click Yes.
6. A summary page appears, confirming that volatile keys are enabled. continue, click Finish.
A banner will appear over the HPE SSA main menu, indicating that volatile keys are enabled for the
selected controller and will remain while volatile keys are enabled. The CO shall ensure that volatile data
encryption keys are enabled on all logical drives.
• Enable the User role
1. Select the controller to be configured and click Configure.
2. Under Tools, click Encryption Manager.
3. Select “Set/Change User Password”. This will display the Set/Change User Password screen.
4. Under New Password, click Show.
5. Enter (then re-enter) the desired password in the New Password fields. User password is
required to be at least 8 characters.
6. Click OK.
• Verify and lock firmware
The modules require the proper firmware version be installed. To check if a module is currently running
the correct version, the CO must go to the GUI’s More Info page.
If the version is not 6.06, the firmware must be updated to the 6.06 version. To perform a firmware
update, the updated firmware must be imported and applied to the controller. The controller will verify
the firmware signature and then perform the update.
Once the firmware version is set to 6.06, the CO must lock the firmware. The firmware can be locked
using the GUI’s Encryption Manager page by clicking the ‘Lock Firmware’ link. Locking the firmware
prevents any further updates to the firmware and ensures that the module is operating with the
validated firmware.
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
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Page 21 of 25
When all of the above steps are successfully completed, the modules will be configured in their Approved mode
of operation.
3.2 Crypto Officer Guidance
The Crypto Officer is responsible for ensuring that the modules are operating in their FIPS-Approved mode of
operation.
3.2.1 Management
When configured according to the Crypto Officer guidance in this Security Policy, the modules only run in their
Approved mode of operation. Detailed instructions to manage and troubleshoot the modules are provided in
the HPE Secure Encryption Installation and User Guide.
3.2.2 Monitoring Status
The Crypto Officer should monitor the modules’ status regularly for Approved mode of operation. When
configured according to the Crypto Officer’s guidance, the modules only operate in the Approved mode.
To monitor encryption status, each controller has an encryption LED that will be on to show that encryption is
enabled and that all attached logical drives are encrypted. In addition, the SSA GUI will indicate a controller’s
encryption status on the Encryption Manager page in the section marked Settings. When properly configured,
the controller’s encryption status will be shown as “Enabled”. All attached logical drives shall have a lock icon
next to them, indicating that they are encrypted drives. The CO shall ensure that only encrypted drives are
attached.
Detailed instructions to monitor and troubleshoot the controllers are provided in the HPE Secure Encryption
Installation and User Guide.
3.2.3 Zeroization
In order to zeroize all keys and CSPs, the modules must be returned to the factory mode. To zeroize the module,
the module operator must start the HPE SSA GUI and select the controller to be cleared. Then, the operator shall
follow the steps below to complete the zeroization process:
1. Under Actions, click Clear Configuration.
2. A new window appears, confirming the request to clear the controller's configuration. To continue, click
Clear.
3. A new window appears, displaying controller settings and configuration. To continue, click Finish.
4. Click Configure.
5. Under Tools, click Encryption Manager.
6. Log into the Encryption Manager.
7. Under Utilities, click Clear Encryption Configuration.
Clearing all encryption settings clears all secrets, keys, CSPs, and passwords from the controller. The controller
will need to be re-initialized to return to operation.
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
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Page 22 of 25
3.3 User Guidance
The User can reset his or her password and shall be responsible for ensuring that the new password meets the
criteria listed in Section 3.1. A User can also perform zeroization as discussed in 3.2.3 and view the controller’s
encryption status using the methods discussed in 3.2.2.
3.4 Additional Usage Policies
This section notes additional policies below that must be followed by module operators:
• HPE SSA exists in three interface formats: the HPE SSA GUI25
, the HPE SSA CLI26
, and the HPE SSA
Scripting Interface. The Crypto Officer shall configure, monitor, and manage the modules through the
SSA GUI only.
• The SSA CLI and the SSA Scripting Interface shall not be used in an Approved mode of operation. Any
operation of the module using these interfaces is outside the scope of this Security Policy.
• The Crypto Officer shall not set the controller password or disable encryption.
• The Crypto Officer shall not disable volatile data encryption keys.
• The CO password shall be at least 8 characters in length.
• Plaintext volumes shall not be allowed and shall not be moved to the controller.
• Only local key management mode shall be used.
3.5 Non-Approved Mode
When configured and operated according to the guidance and usage policies in this document, the modules do
not support a non-Approved mode of operation.
25
GUI – Graphical User Interface
26 CLI – Command Line Interface
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
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Page 23 of 25
4. Acronyms
Table 9 provides definitions for the acronyms used in this document.
Table 9 – Acronyms
Acronym Definition
AES Advanced Encryption Standard
CKG Cryptographic Key Generation
CLI Command Line Interface
CMVP Cryptographic Module Validation Program
CO Crypto Officer
CSE Communications Security Establishment
CSP Critical Security Parameter
DEK Data Encryption Key
DIMM Dual in-line Memory
DRBG Deterministic Random Bit Generator
ECB Electronic Code Book
EMC Electromagnetic Compatibility
EMI Electromagnetic Interference
FIPS Federal Information Processing Standard
GUI Graphical User Interface
HMAC (keyed-) Hash Message Authentication Code
I/O Input/Output
IG Implementation Guidance
KAT Known Answer Test
LED Light Emitting Diode
Mbps Megabits per Second
NDRNG Non-Deterministic Random Number Generator
NIST National Institute of Standards and Technology
NVRAM Non-Volatile Random Access Memory
OS Operating System
PBKDF Password Based Key Derivation Function
PCI Peripheral Component Interconnect
PCIe PCI Express
RAID Redundant Array of Independent Disks
FIPS 140-2 Non-Proprietary Security Policy, Version 0.10 May 16, 2018
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Page 24 of 25
Acronym Definition
RNG Random Number Generator
ROC RAID-on-Chip
RTOS Real-Time Operating System
SAS Serial Attached SCSI
SCSI Small Computer System Interface
SHA Secure Hash Algorithm
SP Special Publication
SSA Smart Storage Administrator
XEX XOR-Encrypt-XOR
XOR Exclusive Or
XTS XEX-Based Tweaked-Codebook Mode with Ciphertext Stealing
Prepared by:
Corsec Security, Inc.
13921 Park Center Road, Suite 460
Herndon, VA 20171
United States of America
Phone: +1 703 267 6050
Email: info@corsec.com
http://www.corsec.com/