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Cryptographic Module Security Policy
iStorage FIPS Module 140-2
Author: Robert Davidson
Date: Friday, September 04, 2015
Document Issue: REV D September 04, 2015
This document may be copied without the author’s permission, provided that it is copied
in its entirety without any modification.
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iStorage FIPS Module 140-2 Cryptographic Module Security Policy
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Table of Contents
1. References .................................................................................................................................. 3
2. Target Audience.......................................................................................................................... 3
3. Introduction................................................................................................................................. 4
3.1 Purpose of the Security Policy.................................................................................................. 4
3.2 Cryptographic Module Description .......................................................................................... 4
4. Security Levels.......................................................................................................................... 10
5. Interfaces and Ports................................................................................................................... 11
6. Cryptographic Key and CSP Management............................................................................... 11
6.1 PIN Access Codes................................................................................................................... 11
6.2 Random Number Generation.................................................................................................. 11
6.3 AES Master Key ..................................................................................................................... 11
6.4 Zeroization.............................................................................................................................. 11
7. Identification and Authentication Policy .................................................................................. 12
7.1 Roles ....................................................................................................................................... 12
7.2 Authentication......................................................................................................................... 13
8. Access Control Policy............................................................................................................... 14
9. Physical Security Policy ........................................................................................................... 15
10. Regulatory Compliance .......................................................................................................... 15
11. Security Rules......................................................................................................................... 16
12. Mitigation of Other Attacks Policy......................................................................................... 17
13. Acronyms................................................................................................................................ 17
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Revision History
Version 1.0 Initial Public Release
Version 1.1 Addition of Firmware Version 4.1
Version 1.2 Addition of epoxy can
Version 1.3 Document edited to contain 6 side of the
module for each hardware version
Table 1 - Revision History
1. References
Author Title
NIST FIPS PUB 140-2: Security Requirements For Cryptographic Modules, December,
2002
NIST Derived Test Requirements for FIPS PUB 140-2, March, 2004
NIST Implementation Guidance for FIPS PUB 140-2 and the Cryptographic Module
Validation Program, May, 2006
NIST FIPS 197
NIST FIPS 180-3
NIST SP800-90A
NIST SP800-38E
Table 2 - References
2. Target Audience
 NIST, CSE, Accredited Laboratory and the FIPS 140-2 Validation Group
 Developers Working on the Release
 Product Verification
 Documentation
 Product and Development Managers
 Security Assurance
 Administrator and General User
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3. Introduction
This Security Policy document contains a description of the iStorage FIPS Module 140-2
Cryptographic Module (also referred to herein as the cryptographic module, or simply the
module). This document contains a specification of the security rules under which the module
must operate as derived from the requirements of FIPS 140-2.
3.1 Purpose of the Security Policy
There are three major reasons that this security policy is defined for, and must be
followed by, the cryptographic module:
 This document is required for FIPS 140-2 validation.
 This document allows individuals and organizations to determine whether the
cryptographic module, as implemented, satisfies the stated security policy.
 This document describes the capabilities, protection, and access rights provided
by the cryptographic module, allowing individuals and organizations to determine
whether it will meet their security requirements.
3.2 Cryptographic Module Description
The cryptographic module is a multi-chip embedded cryptographic module. Specifically,
the module is a USB 3 to SATA II which implements hardware encryption dependent on
operator authentication.
Hardware Version Firmware Version
REV. A 4.0 or 4.1
REV. A with CAN 1A 4.0 or 4.1
Table 3 - Cryptographic Module Hardware and Firmware Versions
The module provides seamless encryption/decryption (AES-XTS 256) on external
storage devices including hard drives, flash memory, and solid-state drives. The module
provides secure encrypted external storage ensuring that only authorized operators have
access to the protected data.
Access is granted by use of a keypad whereby the authorized operator inputs a personal
identification number (PIN) to access and unlock the secured data.
List of all Approved Security Functions:
The cryptographic module offers FIPS Approved cryptographic security functions
including the following:
 Random number generation (SP800-90A HASH DRBG – 256 Cert. #260)
 Symmetric encryption/decryption (AES-XTS Cert. #2235)
 Secure hash (SHA 256 Cert. #1911)
NOTICE: Users should reference the transition tables that will be available at the CMVP
Web site (http://csrc.nist.gov/groups/STM/cmvp/). The data in the tables will inform
Users of the risks associated with using a particular algorithm and a given key length.
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List of all non-Approved Security Functions:
 Non-deterministic hardware random number generation (for seeding Approved
DRBG)
Figures 1-6 – Pictures of iStorage FIPS Module 140-2 REV. A
Figure 1 Cryptographic boundary (Top picture)
Figure 2 Cryptographic boundary (Bottom picture)
NOTE: Sticker is not a part of the boundary
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Figure 3 Cryptographic boundary (Front picture)
Figure 4 Cryptographic boundary (Right picture)
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Figure 4 Cryptographic boundary (Back picture)
Figure 5 Cryptographic boundary (Left picture)
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Figures 7-12 – Pictures of FIPS Module 140-2 REV. A with CAN 1A
Figure 6 Cryptographic Boundary (Front Picture)
Figure 7 Cryptographic Boundary (Left Picture)
Figure 8 Cryptographic Boundary (Right Picture)
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Figure 9 Cryptographic Boundary (Back Picture)
Figure 10 Cryptographic boundary (Top Picture)
Figure 11 Cryptographic boundary (Bottom Picture)
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4. Security Levels
The cryptographic module meets an overall security FIPS 140-2 Level 2. The FIPS 140-2
specification defines security requirements that are grouped into Security Requirement Areas.
These areas are tested individually for a specific level of achievement. The table below defines
the targeted level in each section for the module.
FIPS 140-2 Security Requirement Target Level
Cryptographic Module Specification Level 2
Cryptographic Module Ports and Interfaces Level 2
Roles, Services and Authentication Level 2
Finite State Model Level 2
Physical Security Level 2
Operational Environment N/A
Cryptographic Key Management Level 2
EMI/EMC Level 3
Self-Tests Level 2
Design Assurance Level 3
Mitigation of Other Attacks N/A
Table 4 - Security Levels
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5. Interfaces and Ports
There are four physical ports on the cryptographic module: a Super Speed Universal Serial Bus
(USB 3.0), a Keypad, a SATA connector for the external storage device, and signals to drive
three external status LEDs.
Physical Port Logical Interface
Super Speed Universal Serial Bus (USB 3.0) Data Input/ Data Output/Power
Keypad Control Input (manual controls)
SATA Data Input/ Data Output/Power
LEDs output (Red, Blue, Green) Status Output
Table 5 - Ports and Interfaces
6. Cryptographic Key and CSP Management
6.1 PIN Access Codes
On the cryptographic module, each personal identification number (PIN) has a minimum
of seven digits and maximum of sixteen digits. The module supports one Administrator
PIN and up to four General User PIN codes.
6.2 Random Number Generation
The cryptographic module contains a non-deterministic hardware random number
generator (NDRNG) that uses an internal, unpredictable physical source of entropy that
is outside of human control. Random numbers generated by the NDRNG are used as
seeding values for the FIPS Approved Deterministic Random Bit Generator (SP800-90A
DRBG –HASH Cert #260). Continuous RNG tests are performed on the outputs of the
NDRNG and on the outputs of the Approved SP800-90A DRBG.
6.3 AES Master Key
The cryptographic module uses an AES 256-bit key used to encrypt/decrypt the data on
the external storage device(s). The AES 256-bit key is generated using the FIPS
Approved deterministic random bit generator (SP800-90A DRBG –HASH Cert #260).
6.4 Zeroization
The module supports active zeroization of all critical security parameters. When
zeroization occurs, all critical security parameters are permanently destroyed.
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7. Identification and Authentication Policy
7.1 Roles
The cryptographic module performs role based authentication via verification of the PIN code for
the Administrator role and General User role.
The Administrator role is the Cryptographic Officer role as defined in the FIPS 140-2 standard.
The Administrator role is responsible for the overall security of the module.
The Administrator can change his/her own personal identification number (PIN) and can access
all of the data stored within the device, as well as add and erase general users.
The General User role is the User role as defined in the FIPS 140-2 standard. The General
User role has limited privileges and access to limited services of the module. The General User
can change his/her own personal identification number (PIN) and access all of the data stored
within the storage device.
The cryptographic module supports up to 5 authenticated operators; at least one authenticated
operator will be an Administrator.
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7.2 Authentication
The cryptographic module requires a minimum of seven digits and maximum of sixteen digits for
a personal identification number (PIN). When the module is powered on it will allow a maximum
of five attempts to correctly enter the PIN code before temporarily locking up the module,
requiring a power-cycle.
Once re-powered (after five failed authentication attempts described above) an, additional five
attempts can be made to correctly enter the PIN code.
Upon a total of ten failed authentication attempts (as described above), the module will lock the
keypad and require a pre-defined command sequence to be entered to allow the Administrator
or General User another ten attempts at entering the correct PIN code.
If the module does not receive the correct PIN code within the maximum of 20 attempts
(described above), all critical security parameters will be actively zeroized. In such case any
encrypted data remaining on the external storage device(s) will be useless (unrecoverable).
Role Type of Authentication Authentication Data
Administrator (Cryptographic
Officer)
Role-based Personal Identification
Number (PIN)
General User (User) Role-based Personal Identification
Number (PIN)
Table 6 - Roles and Authentication Data
Authentication Mechanism Strength of Mechanism
PIN code verification A minimum seven digit PIN is used, with each digit
selected from twenty possible characters.
Therefore the probability of a random attempt to
authenticate to the module is 1/1,280,000,000 which is
much less than 1/1,000,000.
The probability of multiple consecutive attempts to
authenticate to the module during a one minute period is
100/ 1,280,000,000 which is much less than 1/100,000.
Table 7 - Authentication Mechanisms and Strengths
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8. Access Control Policy
The cryptographic module supports two roles: Administrator and General User. The type of
services corresponding to each of the supported roles is described below.
Types of Access:
 Read: R
 Write: W
 Zeroize: Z
 N/A: Not applicable
Role Service Cryptographic
Keys and CSPs
Type
of
Access
Administrator
(Cryptographic
Officer)
General
User
(User)
No Role Required
(Unauthenticated
services that are not
security relevant and do
not require an
authorized/authenticated
operator)
X X Login/Unlock: authenticate
operator to the module.
Admin PIN
(or)
User PIN
R
AES Master Key R
X X Logout/Lock: de-authenticate
the operator and lockup the
module.
N/A N/A
X X Write Data: receive plaintext
data from host, AES encrypt
data to external storage.
AES Master Key R
X X Read Data: AES decrypt data
from external storage, output
plaintext to host.
AES Master Key R
X X X Self-Test: perform required
power-up self-tests
N/A N/A
X X X Get Status: status outputs. N/A N/A
X X X Zeroize: destroy all CSPs. AES Master Key W
DRBG Internal State W
X X Change PIN: update the PIN. Admin PIN W
User PIN W
X Set self-destruct: prepare the
module for duress event.
Admin PIN W
X Self-destruct: reinitialize the
module.
Admin PIN
User PIN
AES Master Key
DRBG Internal State
Z
X Delete all User PINs:
overwrite and supersede all
PINs
User PIN
Admin PIN
AES Master Key
DRBG Internal State
W
X Set unattended: set idle
timeout value in minutes.
N/A N/A
Table 8 - Roles, Services, CSPs, Types of Access
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9. Physical Security Policy
Epoxy coating
The module is encapsulated with a hard, opaque, tamper-evident epoxy coating.
Physical Security
Mechanisms
Recommended Frequency
of Inspection/Test
Inspection/Test Guidance
Details
Hard, opaque, tamper-evident
epoxy coating
In accordance with
Administrator role
organizational security policy.
Inspect the cryptographic
boundary for scratches,
gouges, scrapes,
deformations, and any other
suspicious signs of malice and
tampering. If any evidence of
tampering exists the
Administrator role is required
to cease use of the
cryptographic immediately.
Table 9 - Physical Security
10. Regulatory Compliance
The cryptographic module has been tested for and passes the following:
 EMI/EMC requirements specified by 47 Code of Federal Regulations, Part 15, Subpart
B, Unintentional Radiators, Digital Devices, Class B (i.e., for home use).
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11. Security Rules
 The cryptographic module shall always run in a FIPS Approved mode of operation (i.e. non-FIPS mode shall
not be supported). It shall be possible to determine that the module is in FIPS mode by powering up the
module (automatically invoke the self tests) and observe LED status as follows: RED LED is solid on to
indicate self-tests completed successfully; RED LED is flashing permanently to indicate an error state. To
retest for FIPS mode repower the device and review the LED status.
 The hardware version can be determined by inspecting the back of the module which will indicate: FIPS
Module 140-2 REV. “A” and then inspecting the top of the module which will have either only epoxy or
epoxy encapsulated by an epoxy can (CAN 1A); the firmware version can be determined by the “Get
Status” service with the following LED pattern:
o Firmware version 4.0: BLUE LED flashing four times then RED LED flashes 2 times (to
indicate firmware version 4.0)
(OR)
o Firmware version 4.1: BLUE LED flashing four times then RED LED flashes 1 time, then
BLUE LED flashing 1 time, then RED LED flashes 1 time (to indicate firmware version 4.1)
 The cryptographic module shall enforce separation of all data inputs, data outputs, control inputs, status
outputs via defined ports and interfaces.
 The cryptographic module shall receive power via its defined power interface.
 The cryptographic module shall not support a maintenance interface or bypass capability.
 The cryptographic module shall not support the output of any cryptographic keys or CSPs in any form.
 During error states, the cryptographic module shall: enforce the inhibition of all data outputs, cease to provide
any cryptographic or otherwise security relevant services, and provide non-security relevant error status.
 The cryptographic module shall support role-based authentication.
 The cryptographic module shall provide a hard, opaque, tamper evident enclosure.
 The cryptographic module shall enforce a non-modifiable operational environment.
 The cryptographic module shall protect all critical security parameters from unauthorized disclosure,
modification, and substitution.
 The cryptographic module shall provide a non-Approved non-deterministic hardware random number
generator strictly for the purposes of seeding the Approved deterministic random bit generator.
 The cryptographic module shall not support manual key entry or any other type of key entry/output.
 The cryptographic module shall support zeroization to destroy all critical security parameters.
 The cryptographic module shall conform to applicable EMI/EMC requirements.
 The cryptographic module shall perform all required self-tests:
o Power-up Self-tests
 SHA-256 KAT
 SP800-90A HASH DRBG KAT
 AES-XTS Encrypt/Decrypt KAT
 Firmware integrity test (16-bit EDC)
o Conditional Self-tests
 Continuous RNG test (NDRNG and SP800-90A HASH DRBG)
 Firmware load test: N/A
 Manual key entry test: N/A
 Pairwise consistency test: N/A
 Bypass test: N/A
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12. Mitigation of Other Attacks Policy
The module is not designed to mitigate any specific attacks outside the scope of FIPS 140-2.
Other Attacks Mitigation Mechanism Specific Limitations
Not applicable Not applicable Not applicable
Table 10 - Mitigation of Other Attacks
13. Acronyms
- AES: Advanced Encryption Standard
- CMVP: Cryptographic Module Validation Program
- CSE: Communications Security Establishment Canada
- CSP: Critical Security Parameters
- DRBG: Deterministic Random Bit Generator
- EDC: Error Detection Code
- EMI/EMC: Electromagnetic Interference/Electromagnetic Compatibility
- FIPS: Federal Information Processing Standards
- KAT: Known Answer Test
- LED: Light Emitting Diode
- NIST: National Institute of Standards and Technology
- NDRNG: Non-Deterministic Random Number Generator
- N/A: Not Applicable
- PIN: Personal Identification Numbers
- RNG: Random Number Generator
- SATA: Serial Advanced Technology Attachment
- SHA: Secure Hashing Algorithm
- USB: Universal Serial Bus
- XTS: XEX Tweakable Block Cipher with Ciphertext Stealing