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Ubuntu 20.04 Kernel Crypto API Cryptographic
Module
Module Version 3.0
FIPS 140-2 Non-Proprietary Security Policy
Document Version 1.1
Last update: April 30, 2021
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Prepared by:
atsec information security corporation
9130 Jollyville Road, Suite 260
Austin, TX 78759
www.atsec.com
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Table of Contents
1 Cryptographic Module Specification .............................................................................................. 7
1.1 Module Overview .................................................................................................................... 7
1.2 Modes of Operation ............................................................................................................... 10
2 Cryptographic Module Ports and Interfaces ................................................................................ 12
3 Roles, Services and Authentication............................................................................................... 13
3.1 Roles........................................................................................................................................ 13
3.2 Services ................................................................................................................................... 13
3.3 Algorithms.............................................................................................................................. 15
3.4 Non-Approved Algorithms ................................................................................................... 24
3.5 Operator Authentication....................................................................................................... 26
4 Physical Security............................................................................................................................ 27
5 Operational Environment ............................................................................................................. 28
5.1 Applicability........................................................................................................................... 28
5.2 Policy...................................................................................................................................... 28
6 Cryptographic Key Management .................................................................................................. 29
6.1 Random Number Generation................................................................................................ 29
6.2 Key Generation ...................................................................................................................... 30
6.3 Key Agreement / Key Transport / Key Derivation .............................................................. 30
6.4 Key Entry / Output ................................................................................................................ 30
6.5 Key / CSP Storage................................................................................................................... 30
6.6 Key / CSP Zeroization............................................................................................................ 31
7 Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) .............................. 32
8 Self-Tests......................................................................................................................................... 33
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8.1 Power-Up Tests...................................................................................................................... 33
8.1.1 Integrity Tests ................................................................................................................ 33
8.1.2 Cryptographic Algorithm Tests..................................................................................... 33
8.2 On-Demand Self-Tests........................................................................................................... 36
8.3 Conditional Tests ................................................................................................................... 36
9 Guidance......................................................................................................................................... 37
9.1 Crypto Officer Guidance ....................................................................................................... 37
9.1.1 Module Installation........................................................................................................ 37
9.1.2 Operating Environment Configuration........................................................................ 37
9.2 User Guidance........................................................................................................................ 38
9.2.1 AES-GCM IV.................................................................................................................. 38
9.2.2 AES-XTS......................................................................................................................... 38
9.2.3 Triple-DES encryption .................................................................................................. 39
9.2.4 Handling FIPS Related Errors ....................................................................................... 39
10 Mitigation of Other Attacks .......................................................................................................... 40
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Copyrights and Trademarks
Ubuntu and Canonical are registered trademarks of Canonical Ltd.
Linux is a registered trademark of Linus Torvalds.
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1 Cryptographic Module Specification
This document is the non-proprietary FIPS 140-2 Security Policy for version 3.0 of the Ubuntu 20.04 Kernel
Crypto API Cryptographic Module. It contains the security rules under which the module must operate and
describes how this module meets the requirements as specified in FIPS PUB 140-2 (Federal Information
Processing Standards Publication 140-2) for a Security Level 1 software module.
The following sections describe the cryptographic module and how it conforms to the FIPS 140-2 specification in
each of the required areas.
1.1 Module Overview
The Ubuntu 20.04 Kernel Crypto API Cryptographic Module (hereafter referred to as “the module”) is a software
module running as part of the operating system kernel that provides general purpose cryptographic services. The
module provides cryptographic services to kernel applications through a C language Application Program
Interface (API) and to applications running in the user space through an AF_ALG socket type interface. The
module utilizes processor instructions to optimize and increase the performance of cryptographic algorithms.
For the purpose of the FIPS 140-2 validation, the module is a software-only, multi-chip standalone cryptographic
module validated at overall security level 1. The table below shows the security level claimed for each of the
eleven sections that comprise the FIPS 140-2 standard.
FIPS 140-2 Section Security
Level
1 Cryptographic Module Specification 1
2 Cryptographic Module Ports and Interfaces 1
3 Roles, Services and Authentication 1
4 Finite State Model 1
5 Physical Security N/A
6 Operational Environment 1
7 Cryptographic Key Management 1
8 EMI/EMC 1
9 Self-Tests 1
10 Design Assurance 1
11 Mitigation of Other Attacks N/A
Overall Level 1
Table 1 - Security Levels
The table below enumerates the components that comprise the module with their location in the target platform.
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Description Components
Integrity test utility /usr/bin/sha512hmac
Integrity check HMAC file for
the integrity test utility.
/usr/bin/.sha512hmac.hmac
Static kernel binary /boot/vmlinuz-5.4.0-1007-fips
Integrity check HMAC file for
static kernel binary
/boot/.vmlinuz-5.4.0-1007-fips.hmac
Cryptographic kernel object
files
/lib/modules/5.4.0-1007-fips/kernel/crypto/*.ko
/lib/modules/5.4.0-1007-fips/kernel/arch/x86/crypto/*.ko
Table 2 - Cryptographic Module Components
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The software block diagram below shows the module, its interfaces with the operational environment and the
delimitation of its logical boundary, comprised of all the components within the BLUE box.
Figure 1 - Software Block Diagram
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The module is aimed to run on a general purpose computer (GPC); the physical boundary of the module is the
tested platforms. Figure 2 shows the major components of a GPC.
Figure 2 - Cryptographic Module Physical Boundary
The module has been tested on the test platforms shown below.
Test Platform Processor Processor
Architecture
Test Configuration
Supermicro SYS-1019P-WTR Intel® Xeon®
Gold 6226
Intel x86 (64 bits) Ubuntu 20.04 LTS 64-bit
with/without AES-NI (PAA)
Table 3 - Tested Platforms
Note: Per [FIPS 140-2_IG] G.5, the Cryptographic Module Validation Program (CMVP) makes no statement as to
the correct operation of the module or the security strengths of the generated keys when this module is ported
and executed in an operational environment not listed on the validation certificate.
1.2 Modes of Operation
The module supports two modes of operation:
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• FIPS mode (the Approved mode of operation): only approved or allowed security functions with
sufficient security strength can be used.
• non-FIPS mode (the non-Approved mode of operation): only non-approved security functions can be
used.
The module enters FIPS mode after power-up tests succeed. Once the module is operational, the mode of
operation is implicitly assumed depending on the security function invoked and the security strength of the
cryptographic keys.
Critical security parameters used or stored in FIPS mode are not to be used in non-FIPS mode, and vice versa.
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2 Cryptographic Module Ports and Interfaces
As a software-only module, the module does not have physical ports. For the purpose of the FIPS 140-2
validation, the physical ports are interpreted to be the physical ports of the hardware platforms on which it runs.
The logical interfaces are the API through which kernel modules request services, and the AF_ALG type socket
that allows the applications running in the user space to request cryptographic services from the module. The
following table summarizes the four logical interfaces:
FIPS Interface Physical Port Logical Interface
Data Input Keyboard API input parameters from kernel system
calls, AF_ALG type socket.
Data Output Display API output parameters from kernel system
calls, AF_ALG type socket.
Control Input Keyboard API function calls, API input parameters for
control from kernel system calls, AF_ALG
type socket, kernel command line.
Status Output Display API return codes, AF_ALG type socket,
kernel logs.
Power Input GPC Power Supply Port N/A
Table 4 - Ports and Interfaces
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3 Roles, Services and Authentication
3.1 Roles
The module supports the following roles:
• User role: performs cryptographic services (in both FIPS mode and non-FIPS mode), key zeroization,
show status, and on-demand self-test.
• Crypto Officer role: performs module installation and initialization.
The User and Crypto Officer roles are implicitly assumed by the entity accessing the module services.
3.2 Services
The module provides services to users that assume one of the available roles. All services are shown in Table 5
and Table 6.
The table below shows the services available in FIPS mode. For each service, the associated cryptographic
algorithms, the roles to perform the service, and the cryptographic keys or Critical Security Parameters and their
access right are listed. The following convention is used to specify access rights to a CSP:
• Create: the calling application can create a new CSP.
• Read: the calling application can read the CSP.
• Update: the calling application can write a new value to the CSP.
• Zeroize: the calling application can zeroize the CSP.
• n/a: the calling application does not access any CSP or key during its operation.
If the services involve the use of the cryptographic algorithms, the corresponding Cryptographic Algorithm
Validation Program (CAVP) certificate numbers of the cryptographic algorithms can be found in Table 7 of this
security policy.
Service Algorithms Role Access Keys/CSP
Cryptographic Library Services
Symmetric Encryption
and Decryption
AES User Read AES key
Triple-DES User Read Triple-DES key
Random number
generation
DRBG User Read,
Update
Entropy input string, Internal
state
Message digest SHA-1, SHA-224,
SHA-256, SHA-384,
SHA-512, SHA3-224,
SHA3-256, SHA3-384,
SHA3-512
User N/A N/A
Message authentication HMAC User Read HMAC key
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Service Algorithms Role Access Keys/CSP
code (MAC) CMAC with AES User Read AES key
CMAC with Triple-DES User Read Triple-DES key
Key wrapping (KTS1) AES-GCM, AES-CCM
AES-CBC+HMAC,
Triple-DES+ HMAC
User Read AES key, Triple-DES key,
HMAC key
Encrypt-then-MAC
(authenc) operation for
IPsec
AES (CBC mode), Triple-
DES (CBC mode), HMAC
User Read AES key, Triple-DES key,
HMAC key
Key encapsulation2,
PKCS#1 v1.5 signature
generation and
verification
RSA User Read RSA key pair
Other Services
Error detection code crc32c3, crct10dif3 User N/A None
Data compression deflate3, lz43, lz4hc3, lzo3,
zlib3, 8423
User N/A None
Memory copy operation ecb(cipher_null)3 User N/A None
Show status N/A User N/A None
Zeroization N/A User Zeroize All CSPs
Self-Tests AES, Triple-DES, SHS,
SHA3, HMAC, RSA,
DRBG
User N/A None
Module installation N/A Crypto
Officer
N/A None
Module initialization N/A Crypto
Officer
N/A None
Table 5 - Services in FIPS mode of operation
The table below lists the services only available in non-FIPS mode of operation.
Service Algorithms / Key sizes Role Access CSPs
Symmetric encryption and AES-XTS with 192-bit key size User Read Symmetric key
1
Approved per IG D.9
2 Allowed per IG D.9
3 This algorithm does not provide any cryptographic attribute.
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Service Algorithms / Key sizes Role Access CSPs
decryption 2-key Triple-DES User Read 2-key Triple-DES key
Generic GCM encryption with
external IV
RFC4106 GCM encryption with
external IV
User Read AES key
Message digest GHASH outside the GCM context User N/A None
Message authentication
code (MAC)
HMAC with less than 112 bit keys User Read HMAC key
CMAC with 2-key Triple-DES User Read 2-key Triple-DES key
RSA sign/verify primitive
operations
RSA primitive operations listed in
Table 9
User Read RSA key pair
Shared secret computation Diffie-Hellman and EC Diffie-
Hellman
User Read Diffie-Hellman key pair
EC Diffie-Hellman key
pair
Key encapsulation RSA with key smaller than 2048
bits.
User Read RSA key pair
Key generation EC Key Generation User Read/
Write
EC key pair
Signature Generation SHA-1 User Read RSA key pair
Table 6 – Services in non-FIPS mode of operation
3.3 Algorithms
The algorithms implemented in the module are tested and validated by the CAVP for the following operating
environment:
• Ubuntu 20.04 LTS 64-bit running on Intel® Xeon® Gold 6226 processor.
The Ubuntu 20.04 Kernel Crypto API Cryptographic Module is compiled to use the support from the processor
and assembly code for AES, Triple-DES, SHA and GHASH4 operations to enhance the performance of the
module. Different implementations can be invoked by using the unique algorithm driver names. All the
algorithm execution paths have been validated by the CAVP.
The module supports the use of generic C implementation for all the algorithms, the use of strict assembler for
AES and Triple-DES core algorithms, the use of strict assembler for Triple-DES (both core and modes), the use of
AES-NI for AES core algorithm and CLMUL for the GHASH algorithm, the use of AES-NI for AES (both core and
modes), the use of AVX, AVX2 and SSSE3 for SHA algorithm.
4
The GHASH algorithm is used in GCM mode.
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The following table shows the CAVP certificates and their associated information of the cryptographic
implementation in FIPS mode.
CAVP Cert Algorithm Standard Mode / Method Key Lengths,
Curves or Moduli
(in bits)
Use
Linux Kernel crypto
API (C_C)
#A644
AES [FIPS197],
[SP800-38A]
ECB, CBC, CTR 128, 192, 256 Data Encryption
and Decryption
[SP800-38B] CMAC 128, 192, 256 MAC Generation
and Verification
[SP800-38C] CCM 128, 192, 256 Data Encryption
and Decryption
[SP800-38D] GCM
decryption with
external IV
128, 192, 256 Data Decryption
[SP800-38D] GMAC 128, 192, 256 MAC Generation
and Verification
[SP800-38E] XTS 128, 256 Data Encryption
and Decryption for
Data Storage
DRBG [SP800-90A] Hash_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
N/A Deterministic
Random Bit
Generation
HMAC_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
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CAVP Cert Algorithm Standard Mode / Method Key Lengths,
Curves or Moduli
(in bits)
Use
CTR_DRBG:
AES-128,
AES-192,
AES-256
with DF,
with/without
PR
SHS [FIPS180-4] SHA-1,
SHA-224,
SHA-256,
SHA-384,
SHA-512
N/A Message Digest
HMAC [FIPS198-1] SHA-1,
SHA-224,
SHA-256,
SHA-384,
SHA-512
RSA [FIPS186-4] PKCS#1v1.5
SHA-224,
SHA-256,
SHA-384,
SHA-512
2048, 3072, 4096 Digital Signature
Generation and
Verification
PKCS#1v1.5
SHA-1
Digital Signature
Verification
Triple-DES5 [SP800-67],
[SP800-38A]
ECB, CBC, CTR 192 Data Encryption
and Decryption
[SP800-67],
[SP800-38B]
CMAC 192 MAC Generation
and Verification
Linux Kernel crypto
API (SHA3_C_C)
#A643
SHA3 [FIPS202] SHA3-224,
SHA3-256,
SHA3-384,
SHA3-512
N/A Message Digest
HMAC-
SHA3
[FIPS198-1] 112 or greater Message
authentication code
5
Triple-DES provides a security strength of 112 bits.
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CAVP Cert Algorithm Standard Mode / Method Key Lengths,
Curves or Moduli
(in bits)
Use
Linux Kernel crypto
API (CFB_C_C)
#A642
Linux Kernel crypto
API (CFB_CTI_C)
#A634
Linux Kernel crypto
API (CFB_AESNI_C)
#A625
AES [FIPS197],
[SP800-38A]
CFB128 128, 192, 256 Data Encryption
and Decryption
Linux Kernel crypto
API (CFB_C_C)
#A642
Linux Kernel crypto
API
(CFB_X86ASM_C)
#A621
Triple-DES5 [SP800-67],
[SP800-38A]
CFB64 192
Linux Kernel crypto
API (OFB_C_C)
#A641
Linux Kernel crypto
API (OFB_CTI_C)
#A633
Linux Kernel crypto
API (OFB_AESNI_C)
#A624
AES [FIPS197],
[SP800-38A]
OFB 128, 192, 256 Data Encryption
and Decryption
5
Triple-DES provides a security strength of 112 bits
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CAVP Cert Algorithm Standard Mode / Method Key Lengths,
Curves or Moduli
(in bits)
Use
Linux Kernel crypto
API (OFB_C_C)
#A641
Linux Kernel crypto
API
(OFB_X86ASM_C)
#A620
Triple-DES5 [SP800-67],
[SP800-38A]
OFB 192
Linux Kernel crypto
API (CTS_C_C)
#A640
Linux Kernel crypto
API (CTS_CTI_C)
#A632
Linux Kernel crypto
API (CTS_AESNI_C)
#A623
AES [FIPS197],
[SP800-38A
Addendum]
CBC-CS3 128, 192, 256 Data Encryption
and Decryption
Linux Kernel crypto
API
(RFC4106IIV_C_C)
#A639
Linux Kernel crypto
API
(RFC4106IIV_CTI_C)
#A636
AES [FIPS197],
[SP800-38A]
ECB 128, 192, 256 Data Encryption
and Decryption
[SP800-38D] GCM
encryption with
internal IV
128, 192, 256 Data Encryption
DRBG [SP800-90A] Hash_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
N/A Deterministic
Random Bit
Generation
5
Triple-DES provides a security strength of 112 bits
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CAVP Cert Algorithm Standard Mode / Method Key Lengths,
Curves or Moduli
(in bits)
Use
Linux Kernel crypto
API
(RFC4106IIV_AESNI_
ASM)
#A630
Linux Kernel crypto
API
(RFC4106IIV_AESNI_
C)
#A627
HMAC_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
CTR_DRBG:
AES-128,
AES-192,
AES-256
with DF,
with/without
PR
Linux Kernel crypto
API
(RFC4106EIV_C_C)
#A638
Linux Kernel crypto
API
(RFC4106IV_CTI_C)
#A635
Linux Kernel crypto
API
(RFC4106EIV_AESNI_
ASM)
#A629
Linux Kernel crypto
API
(RFC4106EIV_AESNI_
C)
#A626
AES [FIPS197],
[SP800-38A]
ECB 128, 192, 256 Data Encryption
and Decryption
[SP800-38D] GCM
encryption with
external IV
128, 192, 256 Data Decryption
DRBG [SP800-90A] Hash_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
N/A Deterministic
Random Bit
Generation
HMAC_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
CTR_DRBG:
AES-128,
AES-192,
AES-256
with DF,
with/without
PR
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CAVP Cert Algorithm Standard Mode / Method Key Lengths,
Curves or Moduli
(in bits)
Use
Linux Kernel crypto
API (CTI_C)
#A637
Linux Kernel crypto
API (CTI_C)
#A628
AES [FIPS197],
[SP800-38A]
ECB, CBC, CTR 128, 192, 256 Data Encryption
and Decryption
[SP800-38B] CMAC 128, 192, 256 MAC Generation
and Verification
[SP800-38C] CCM 128, 192, 256 Data Encryption
and Decryption
[SP800-38D] GCM
decryption with
external IV
128, 192, 256 Data Decryption
[SP800-38D] GMAC 128, 192, 256 MAC Generation
and Verification
[SP800-38E] XTS 128, 256 Data Encryption
and Decryption for
Data Storage
DRBG [SP800-90A] Hash_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
N/A Deterministic
Random Bit
Generation
HMAC_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
CTR_DRBG:
AES-128,
AES-192,
AES-256
with DF,
with/without
PR
Linux Kernel crypto
API (AESNI_ASM)
AES [FIPS197],
[SP800-38A]
ECB, CBC, CTR 128, 192, 256 Data Encryption
and Decryption
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CAVP Cert Algorithm Standard Mode / Method Key Lengths,
Curves or Moduli
(in bits)
Use
#A631
[SP800-38D] GCM
decryption with
external IV
128, 192, 256 Data Decryption
[SP800-38E] XTS 128, 256 Data Encryption
and Decryption for
Data Storage
DRBG [SP800-90A] Hash_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
N/A Deterministic
Random Bit
Generation
HMAC_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
CTR_DRBG:
AES-128,
AES-192,
AES-256
with DF,
with/without
PR
Linux Kernel crypto
API (X86ASM_C)
#A622
Linux Kernel crypto
API (X86ASM_ASM)
DRBG [SP800-90A] Hash_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
N/A Deterministic
Random Bit
Generation
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CAVP Cert Algorithm Standard Mode / Method Key Lengths,
Curves or Moduli
(in bits)
Use
#A619
HMAC_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
Triple-DES5 [SP800-67],
[SP800-38A]
ECB, CBC, CTR 192 Data Encryption
and Decryption
Linux Kernel crypto
API (X86ASM_ASM)
#A618
Linux Kernel crypto
API (AVX)
#A617
Linux Kernel crypto
API (AVX2)
#A616
DRBG [SP800-90A] Hash_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
N/A Deterministic
Random Bit
Generation
HMAC_DRBG:
SHA-1,
SHA-256,
SHA-384,
SHA-512
with/without
PR
SHS [FIPS180-4] SHA-1,
SHA-224,
SHA-256,
SHA-384,
SHA-512
N/A Message Digest
HMAC [FIPS198-1] SHA-1,
SHA-224,
SHA-256,
SHA-384,
SHA-512
112 or greater Message
authentication code
5
Triple-DES provides a security strength of 112 bits
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CAVP Cert Algorithm Standard Mode / Method Key Lengths,
Curves or Moduli
(in bits)
Use
RSA [FIPS186-4] PKCS#1v1.5
SHA-224,
SHA-256,
SHA-384,
SHA-512
2048, 3072, 4096 Digital Signature
Generation and
Verification
PKCS#1v1.5
SHA-1
Digital Signature
Verification
AES Certs. #A626,
#A627, #A628, #A629,
#A630, #A631, #A635,
#A636, #A637, #A638,
#A639 and #A644
KTS1 (AES) [FIPS197]
[SP800-38D]
[SP800-38F]
AES-GCM
AES-CCM
AES keys: 128,
192, 256 bits
Key wrapping and
unwrapping
Key establishment
methodology
provides between
128 and 256 bits of
encryption strength
AES Certs. #A628,
#A631, #A637 and
#A644
HMAC Certs. #A616,
#A617, #A618 and
#A644
KTS (AES) [FIPS180-4]
[SP800-38A]
[FIPS198-1]
[FIPS180-4]
AES-
CBC+HMAC-
SHA1/224/256/
384/512
AES keys: 128,
192, 256 bits
HMAC keys: 112
bits and larger
Key wrapping and
unwrapping
Key establishment
methodology
provides between
128 and 256 bits of
encryption strength
Triple-DES Certs.
#A619, #A622 and
#A644
HMAC Certs. #A616,
#A617, #A618 and
#A644
KTS (Triple-
DES)
[SP800-67]
[SP800-38A]
[FIPS198-1]
[FIPS180-4]
Triple-DES-
CBC+HMAC-
SHA1/224/256/
384/512
Triple-DES keys:
192 bits
HMAC keys: 112
bits and larger
Key wrapping and
unwrapping
Key establishment
methodology
provides 112 bits of
encryption strength
Vendor affirmed RSA [FIPS186-4] PKCS#1v1. 5
SHA3-224,
SHA3-256,
SHA3-384,
SHA3-512
2048, 3072, 4096 Digital Signature
Generation and
Verification
Table 7 – Cryptographic Algorithms Validation Program (CAVP) certificates for the Intel® Xeon® Gold 6226
Processor
3.4 Non-Approved Algorithms
The following table describes the non-Approved but allowed algorithms in FIPS mode:
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Algorithm Use
NDRNG
(based on Linux RNG and CPU-Jitter RNG)
The module obtains the entropy data from NDRNG to seed
the DRBG
RSA encrypt/decrypt primitives (with keys equal
or larger than 2048 bits up to 15360 or more)
Key wrapping; allowed per [FIPS140-2_IG] D.9
Key establishment methodology provides between 112 and
256 bits of encryption strength
Table 8 – FIPS-Allowed Cryptographic Algorithms
The table below shows the non-Approved cryptographic algorithms implemented in the module that are only
available in non-FIPS mode.
Algorithm Implementation Name Use
AES-XTS “xts” 192-bit keys
2-key Triple-DES “des3_ede” Data Encryption / Decryption
2-key Triple-DES CMAC ”cmac(des3_ede)” Data Encryption / Decryption
Generic GCM encryption with external
IV
“gcm(aes)” with external IV Data Encryption
RFC4106 GCM encryption with external
IV
“rfc4106(gcm(aes))” with
external IV
Data Encryption
GHASH “ghash” Hashing outside the GCM mode
HMAC with less than 112 bits key “hmac” Message Authentication Code
RSA primitive operations “rsa” RSA sign/verify primitive
operations
RSA encrypt/decrypt (key
transport) with keys smaller than
2048 bits
RSA PKCS#1v1.5 “pkcspad” RSA signature generation with
SHA-1
Diffie-Hellman “dh” Shared secret computation
EC Diffie-Hellman “ecdh” Shared secret computation
EC Key Generation “ecdh” EC Key Generation
Table 9 - Non-Approved Cryptographic Algorithms and Modes
Note: Calling any algorithm, mode or combination using any of the above listed non-Approved items will cause
the module to enter non-FIPS mode implicitly.
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3.5 Operator Authentication
The module does not implement user authentication. The role of the user is implicitly assumed based on the
service requested.
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4 Physical Security
The module is comprised of software only and therefore this security policy does not make any claims on
physical security.
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5 Operational Environment
5.1 Applicability
The module operates in a modifiable operational environment per FIPS 140-2 level 1 specifications. The module
runs on a commercially available general-purpose operating system executing on the hardware specified in Table
3 - Tested Platforms.
5.2 Policy
The operating system is restricted to a single operator; concurrent operators are explicitly excluded.
The application that requests cryptographic services is the single user of the module.
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6 Cryptographic Key Management
The following table summarizes the Critical Security Parameters (CSPs) that are used by the cryptographic
services implemented in the module:
Name CSP Type Generation Entry and Output Zeroization
AES key 128, 192, 256
AES key
N/A The key is passed into the
module via API input
parameters in plaintext.
crypto_free_cipher()
crypto_free_ablkcipher()
crypto_free_blkcipher()
crypto_free_skcipher()
crypto_free_aead()
Triple-DES key 192 bits Triple-
DES key
HMAC key HMAC key
greater than 112
bits
N/A The key is passed into the
module via API input
parameters in plaintext.
crypto_free_shash()
crypto_free_ahash()
Entropy input string Random
number
Obtained from
NDRNG
None crypto_free_rng()
DRBG internal state
(V, C for Hash; V, C,
Key for HMAC and
CTR)
DRBG internal
state
During DRBG
initialization
None crypto_free_rng()
RSA private key RSA private key
equal or greater
than 2048 bits
None Keys are passed into the
module via API input
parameters in plaintext.
crypto_free_kpp()
Table 10 - Life cycle of Critical Security Parameters (CSP)
The following table summarizes the asymmetric public keys that are used by the cryptographic services
implemented in the module:
Name Public Key Type Generation Entry and Output Zeroization
RSA public key RSA public key
equal or greater
than 2048 bits
None Keys are passed into the
module via API input
parameters in plaintext.
crypto_free_kpp()
Table 11 - Life cycle of asymmetric public keys
The following sections describe how CSPs, in particular cryptographic keys, are managed during its life cycle.
6.1 Random Number Generation
The module employs a Deterministic Random Bit Generator (DRBG) based on [SP800-90A] for the creation of
random numbers. In addition, the module provides a Random Number Generation service to calling applications.
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The DRBG supports the Hash_DRBG, HMAC_DRBG and CTR_DRBG mechanisms. The DRBG is initialized
during module initialization; the module loads by default the DRBG using the HMAC_DRBG mechanism with
SHA-256 without prediction resistance.
To seed the DRBG, the module uses a Non-Deterministic Random Number Generator (NDRNG) as the entropy
source. The NDRNG is based on the Linux RNG and the CPU-Jitter RNG (both within the module’s logical
boundary). The NDRNG provides 128 bits of entropy to the DRBG during initialization (seed) and reseeding
(reseed). Therefore the following caveat is applicable:
The module generate random strings whose strengths are modifiable by available entropy.
The module performs conditional self-tests on the output of NDRNG to ensure that consecutive random numbers
do not repeat, and performs DRBG health tests as defined in section 11.3 of [SP800-90A].
6.2 Key Generation
The module does not provide any dedicated key generation service for symmetric keys.
6.3 Key Agreement / Key Transport / Key Derivation
The module provides SP 800-38F compliant key wrapping using AES with GCM, CCM block chaining modes, as
well as a combination of AES-CBC for encryption/decryption and HMAC for authentication. The module also
provides SP 800-38F compliant key wrapping using a combination of Triple-DES-CBC for encryption/decryption
and HMAC for authentication.
According to Table 2: Comparable strengths in [SP 800-57], the key sizes of AES provides the following security
strength in FIPS mode of operation:
• AES: key wrapping provides between 128 and 256 bits of encryption strength.
• Triple-DES: key wrapping provides 112 bits of encryption strength.
The module also supports the RSA key transport key establishment methodology:
• RSA key transport: key establishment methodology provides between 112 and 256 bits of encryption
strength.
6.4 Key Entry / Output
The module does not support manual key entry. The keys are provided to the module via API input parameters in
plaintext form. This is allowed by [FIPS140-2_IG] IG 7.7, according to the “CM Software to/from App Software
via GPC INT Path” entry on the Key Establishment Table.
6.5 Key / CSP Storage
Symmetric and asymmetric keys are provided to the module by the calling application via API input parameters,
and are destroyed by the module when invoking the appropriate API function calls.
The module does not perform persistent storage of keys. The keys and CSPs are stored as plaintext in the RAM.
The only exceptions are the HMAC key and the RSA public key used for the Integrity Tests, which are stored in
the module and rely on the operating system for protection.
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6.6 Key / CSP Zeroization
The memory occupied by keys is allocated by regular memory allocation operating system calls. Memory is
automatically overwritten with “zeroes” and deallocated when the cipher handler is freed.
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7 Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC)
The test platforms listed in Table 3 - Tested Platforms have been tested and found to conform to the EMI/EMC
requirements specified by 47 Code of Federal Regulations, FCC PART 15, Subpart B, Unintentional Radiators,
Digital Devices, Class A (i.e., Business use). These devices are designed to provide reasonable protection against
harmful interference when the devices are operated in a commercial environment. They shall be installed and
used in accordance with the instruction manual.
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8 Self-Tests
FIPS 140-2 requires that the module performs power-up tests to ensure the integrity of the module and the
correctness of the cryptographic functionality at start up. In addition, the module performs conditional test for
NDRNG. If any self-test fails, the kernel panics and the module enters the error state. In error state, no data
output or cryptographic operations are allowed. See section 9.2.4 for details to recover from the error state.
8.1 Power-Up Tests
The module performs power-up tests when the module is loaded into memory, without operator intervention.
Power-up tests ensure that the module is not corrupted and that the cryptographic algorithms work as expected.
While the module is executing the power-up tests, services are not available, and input and output are inhibited.
The module will not return the control to the calling application until the power-up tests are completed
successfully.
8.1.1 Integrity Tests
The module verifies its integrity through the following mechanisms:
• All kernel object (*.ko) files are signed with a 4096-bit RSA private key and SHA-512. Before these kernel
objects are loaded into memory, the module performs RSA signature verification by using the RSA public
key from the X.509 certificates that are compiled into the module’s binary. If the signature cannot be
verified, the kernel panics to indicate that the test fails and the module enters the error state.
• The integrity of the static kernel binary (/boot/vmlinuz-5.4.0-1007-fips file) is ensured with the HMAC-
SHA-512 value stored in the .hmac file (/boot/.vmlinuz-5.4.0-1007-fips.hmac file) that was computed at
build time. At run time, the module invokes the sha512hmac utility to calculate the HMAC value of the
static kernel binary file, and then compares it with the pre-stored one. If the two HMAC values do not
match, the kernel panics to indicate that the test fails and the module enters the error state.
• The Integrity of the sha512hmac utility (i.e. /usr/bin/sha512hmac) is ensured with the HMAC-SHA-512
value stored in the .hmac file (i.e. /usr/bin/.sha512hmac.hmac) that was computed at build time. At run
time, the utility itself calculates the HMAC value of the utility, and then compares it with the pre-stored
one. If the two HMAC values do not match, the kernel panics to indicate that the test fails and the
module enters the error state.
Both the RSA signature verification and HMAC-SHA-512 algorithms are approved algorithms implemented in
the module.
8.1.2 Cryptographic Algorithm Tests
The module performs self-tests on all FIPS-Approved cryptographic algorithms supported in the Approved mode
of operation, using the Known Answer Tests (KAT) shown in the following table:
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Algorithm Power-Up Tests
AES • KAT of AES in ECB mode with 128, 192 and 256 bit keys, encryption
• KAT of AES in ECB mode with 128, 192 and 256 bit keys, decryption
• KAT of AES in CBC mode with 128, 192 and 256 bit keys, encryption
• KAT of AES in CBC mode with 128, 192 and 256 bit keys, decryption
• KAT of AES in CTR mode with 128, 192 and 256 bit keys, encryption
• KAT of AES in CTR mode with 128, 192 and 256 bit keys, decryption
• KAT of AES in GCM mode with 128, 192 and 256 bit keys, encryption
• KAT of AES in GCM mode with 128, 192 and 256 bit keys, decryption
• KAT of AES in CCM mode with 128 bit key, encryption
• KAT of AES in CCM mode with 128 bit key, decryption
• KAT of AES in XTS mode with 128 and 256 bit keys, encryption
• KAT of AES in XTS mode with 128 and 256 bit keys, decryption
• KAT of AES in CMAC mode with 128 and 256 bit keys
Triple DES • KAT of 3-key Triple-DES in ECB mode, encryption
• KAT of 3-key Triple-DES in ECB mode, decryption
• KAT of 3-key Triple-DES in CBC mode, encryption
• KAT of 3-key Triple-DES in CBC mode, decryption
• KAT of 3-key Triple-DES in CTR mode, encryption
• KAT of 3-key Triple-DES in CTR mode, decryption
• KAT of 3-key Triple-DES in CMAC mode
SHS • KAT of SHA-1, SHA-224, SHA-256, SHA-384 and SHA-512
SHA3 • KAT of SHA3-224, SHA3-256, SHA3-384, SHA3-512
HMAC • KAT of HMAC-SHA-1
• KAT of HMAC-SHA-224
• KAT of HMAC-SHA-256
• KAT of HMAC-SHA-384
• KAT of HMAC-SHA-512
• KAT of HMAC-SHA3-224
• KAT of HMAC-SHA3-256
• KAT of HMAC-SHA3-384
• KAT of HMAC-SHA3-512
DRBG • KAT of Hash_DRBG with SHA-256, with and without PR
• KAT of HMAC_DRBG with SHA-256, with and without PR
• KAT of CTR_DRBG with AES-128, AES-192, AES-256, without PR
• KAT of CTR_DRBG with AES-128 with PR
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Algorithm Power-Up Tests
RSA • KAT of RSA signature verification is covered by the integrity tests which is allowed
by [FIPS140-2_IG] IG 9.3
• KAT of RSA signature generation with PKCS#1v1.5 and SHA-256
Table 12- Self-Tests
For the KAT, the module calculates the result and compares it with the known value. If the answer does not
match the known answer, the KAT is failed and the module enters the Error state.
The KATs cover the different cryptographic implementations available in the operating environment. The
following implementations are being self-tested during boot:
• aes-generic7, aes-asm8, aes-aesni9
• des3_ede-generic, des3_ede-asm
• sha1-generic, sha1-avx10, sha1-avx211, sha1-ssse3
• sha224-avx, sha224-avx2, sha224-ssse3
• sha256-generic, sha256-avx, sha256-avx2, sha256-ssse3
• sha384-generic, sha384-avx, sha384-avx2, sha384-ssse3
• sha512-generic, sha512-avx, sha512avx2, sha512-ssse3
• sha3-224-generic, sha3-256-generic, sha3-384-generic, sha3-512-generic
• hmac(sha3-224-generic), hmac(sha3-256-generic), hmac(sha3-384-generic), hmac(sha3-512-generic)
• hmac(sha1-generic), hmac(sha1-avx2)
• hmac(sha224-avx2)
• hmac(sha256-generic), hmac(sha256-avx2)
• hmac(sha384-avx2)
• hmac(sha512-generic), hmac(sha512-avx2)
7 generic = C implementation
8 asm = assembly implementation
9 aesni = AES-NI implementation
10 avx = Advanced Vector eXtention for Intel processor
11 avx2 = Advanced Vector eXtension 2 for Intel processor
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• rsa-generic
• ghash-generic, ghash-clmulni12
• drbg_pr_ctr_aes128, drbg_pr_ctr_aes192, drbg_pr_ctr_aes256, drbg_nopr_hmac_sha256,
drbg_nopr_sha256, drbg_pr_ctr_aes128, drbg_hmac_sha256, drbg_pr_sha256
8.2 On-Demand Self-Tests
On-Demand self-tests can be invoked by power cycling the module or rebooting the operating system. During
the execution of the on-demand self-tests, services are not available and no data output or input is possible.
8.3 Conditional Tests
The module performs the Continuous Random Number Generator Test (CRNGT) shown in the following table:
Algorithm Conditional Test
NDRNG • CRNGT
Table 13 - Conditional Tests
12 clmulni = AES-NI implementation of GHASH
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9 Guidance
9.1 Crypto Officer Guidance
The binaries of the module are contained in the Debian packages for delivery. The Crypto Officer shall follow
this Security Policy to configure the operational environment and install the module to be operated as a FIPS
140-2 validated module.
The following Debian packages are used to install the FIPS validated module:
Processor Architecture Debian packages
x86_64 fips-initramfs-generic_0.0.14+generic1_amd64.deb
linux-image5.4.0-1007-fips_5.4.0-1007.8_amd64.deb
linux-modules-5.4.0-1007-fips_5.4.0-1007.8_amd64.deb
linux-modules-extra-5.4.0-1007-fips_5.4.0-1007.8_amd64.deb
linux-image-hmac-5.4.0-1007-fips_5.4.0-1007.8_amd64.deb
Table 14 – Debian packages
9.1.1 Module Installation
The Crypto Officer can install the Debian packages containing the module listed in Table 14 using a normal
packaging tool such as Advanced Package Tool (APT). All the Debian packages are associated with hashes for
integrity check. The integrity of the Debian package is automatically verified by the packaging tool during the
installation of the module. The Crypto Officer shall not install the Debian package if the integrity of the Debian
package fails.
To download the FIPS validated version of the module, please email "sales@canonical.com" or contact a
Canonical representative, https://www.ubuntu.com/contact-us.
9.1.2 Operating Environment Configuration
To configure the operating environment to support FIPS, the following shall be performed with root privileges:
(1) Add fips=1 to the kernel command line.
• For x86_64 systems, create the file /etc/default/grub.d/99-fips.cfg with the content:
GRUB_CMDLINE_LINUX_DEFAULT="$GRUB_CMDLINE_LINUX_DEFAULT fips=1".
(2) If /boot resides on a separate partition, the kernel parameter bootdev=UUID=<UUID of partition> must also
be appended in the aforementioned grub or zipl.conf file. Please see the following Note for more details.
(3) Update the boot loader.
• For x86_64 systems, execute the update-grub command.
(4) Execute the reboot command to reboot the system with the new settings.
The operating environment is now configured to support FIPS operation. The Crypto Officer should check the
existence of the file, /proc/sys/crypto/fips_enabled, and that it contains "1". If the file does not exist
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or does not contain “1”, the operating environment is not configured to support FIPS and the module will not
operate as a FIPS validated module properly.
Note: If /boot resides on a separate partition, the kernel parameter bootdev=UUID=<UUID of partition> must be
supplied. The partition can be identified with the df /boot command. For example:
$ df /boot
Filesystem 1K-blocks Used Available Use% Mounted on
/dev/sdb2 241965 127948 101525 56% /boot
The UUID of the /boot partition can be found by using the grep /boot /etc/fstab command. For example:
$ grep /boot /etc/fstab
# /boot was on /dev/sdb2 during installation
UUID=cec0abe7-14a6-4e72-83ba-b912468bbb38 /boot ext2 defaults 0
2
Then, the UUID shall be added in the /etc/default/grub. For example:
GRUB_CMDLINE_LINUX_DEFAULT="quiet bootdev=UUID=cec0abe7-14a6-4e72-83ba-
b912468bbb38 fips=1"
9.2 User Guidance
For detailed description of the Linux Kernel Crypto API, please refer to the user documentation [KC API
Architecture].
In order to run in FIPS mode, the module must be operated using the FIPS Approved services, with their
corresponding FIPS Approved and FIPS allowed cryptographic algorithms provided in this Security Policy (see
section 3.2 Services). In addition, key sizes must comply with [SP800-131A].
9.2.1 AES-GCM IV
In case the module’s power is lost and then restored, the key used for the AES-GCM encryption or decryption
shall be redistributed.
The module generates the IV internally randomly, which is compliant with provision 2) of IG A.5.
When a GCM IV is used for decryption, the responsibility for the IV generation lies with the party that performs
the AES-GCM encryption. The module merely receives the GCM IV and performs the operation. It is not
responsible for generating the IV.
9.2.2 AES-XTS
As specified in [SP800-38E], the AES algorithm in XTS mode was designed for the cryptographic protection of
data on storage devices. Thus, it can only be used for the disk encryption functionality offered by dm-crypt (i.e.
the hard disk encryption schema). For dm-crypt, the length of a single data unit encrypted with the XTS-AES is
at most 65536 bytes (64KB of data), which does not exceed 2²⁰ AES blocks (16MB of data).
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To meet the requirement stated in [FIPS140-2_IG] IG A.9, the module implements a check to ensure that the two
AES keys used in XTS-AES algorithm are not identical.
Note: AES-XTS shall be used with 128 and 256-bit keys only. AES-XTS with 192-bit keys is not an Approved
service.
9.2.3 Triple-DES encryption
Data encryption using the same three-key Triple-DES key shall not exceed 216 Triple-DES 64-bit blocks (2GB of
data), in accordance to [SP800-67] and [FIPS140-2_IG] IG A.13.
9.2.4 Handling FIPS Related Errors
When the module fails any self-test, it will panic the kernel and the operating system will not load. Errors
occurred during the self-tests transition the module into the error state. The only way to recover from this error
state is to reboot the system. If the failure persists, the module must be reinstalled by the Crypto Officer
following the instructions as specified in section 9.1.
The kernel dumps self-test success and failure messages into the kernel message ring buffer. The user can use
dmesg to read the contents of the kernel ring buffer. The format of the ring buffer (dmesg) output for self-test
status is:
alg: self-tests for %s (%s) passed
Typical messages are similar to "alg: self-tests for xts(aes) (xts(aes-x86_64)) passed" for
each algorithm/sub-algorithm type.
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10 Mitigation of Other Attacks
The module does not implement mitigation of other attacks.
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Appendix A. Glossary and Abbreviations
AES Advanced Encryption Standard
AES-NI Advanced Encryption Standard New Instructions
API Application Program Interface
APT Advanced Package Tool
CAVP Cryptographic Algorithm Validation Program
CBC Cipher Block Chaining
CCM Counter with Cipher Block Chaining-Message Authentication Code
CLMUL Carry-less Multiplication
CMAC Cipher-based Message Authentication Code
CMVP Cryptographic Module Validation Program
CRNGT Continuous Random Number Generator Test
CSP Critical Security Parameter
CTR Counter Mode
DES Data Encryption Standard
DF Derivation Function
DSA Digital Signature Algorithm
DRBG Deterministic Random Bit Generator
ECB Electronic Code Book
EMI/EMC Electromagnetic Interference/Electromagnetic Compatibility
FCC Federal Communications Commission
FIPS Federal Information Processing Standards Publication
GCM Galois Counter Mode
GPC General Purpose Computer
HMAC Hash Message Authentication Code
IG Implementation Guidance
KAT Known Answer Test
KDF Key Derivation Function
LPAR Logical Partitions
MAC Message Authentication Code
NIST National Institute of Science and Technology
NDRNG Non-Deterministic Random Number Generator
PAA Processor Algorithm Acceleration
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PAI Processor Algorithm Implementation
PCT Pair-wise Consistency Test
PR Prediction Resistance
RSA Rivest, Shamir, Addleman
SHA Secure Hash Algorithm
SHS Secure Hash Standard
SSSE3 Supplemental Streaming SIMD Extensions 3
XTS XEX-based Tweaked-codebook mode with ciphertext Stealing
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Appendix B. References
FIPS140-2 FIPS PUB 140-2 - Security Requirements For Cryptographic Modules
May 2001
http://csrc.nist.gov/publications/fips/fips140-2/fips1402.pdf
FIPS140-2_IG Implementation Guidance for FIPS PUB 140-2 and the Cryptographic Module Validation
Program
December 3, 2019
http://csrc.nist.gov/groups/STM/cmvp/documents/fips140-2/FIPS1402IG.pdf
FIPS180-4 Secure Hash Standard (SHS)
March 2012
http://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.180-4.pdf
FIPS186-4 Digital Signature Standard (DSS)
July 2013
http://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.186-4.pdf
FIPS197 Advanced Encryption Standard
November 2001
http://csrc.nist.gov/publications/fips/fips197/fips-197.pdf
FIPS198-1 The Keyed Hash Message Authentication Code (HMAC)
July 2008
http://csrc.nist.gov/publications/fips/fips198-1/FIPS-198-1_final.pdf
KC API
Architecture
Kernel Crypto API Architecture
2016
http://www.chronox.de/crypto-API/crypto/architecture.html
PKCS#1 Public Key Cryptography Standards (PKCS) #1: RSA Cryptography
Specifications Version 2.1
February 2003
http://www.ietf.org/rfc/rfc3447.txt
RFC4106 The Use of Galois/Counter Mode (GCM) in IPsec Encapsulating Security Payload (ESP)
June 2005
https://tools.ietf.org/html/rfc4106
RFC6071 IP Security (IPsec) and Internet Key Exchange (IKE) Document Roadmap
February 2011
https://tools.ietf.org/html/rfc6071
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RFC7296 Internet Key Exchange Protocol Version 2 (IKEv2)
October 2014
https://tools.ietf.org/html/rfc7296
SP800-38A NIST Special Publication 800-38A - Recommendation for Block Cipher Modes of Operation
Methods and Techniques
December 2001
http://csrc.nist.gov/publications/nistpubs/800-38a/sp800-38a.pdf
SP800-38B NIST Special Publication 800-38B - Recommendation for Block Cipher Modes of Operation:
The CMAC Mode for Authentication
May 2005
http://csrc.nist.gov/publications/nistpubs/800-38B/SP_800-38B.pdf
SP800-38C NIST Special Publication 800-38C - Recommendation for Block Cipher Modes of Operation:
the CCM Mode for Authentication and Confidentiality
May 2004
http://nvlpubs.nist.gov/nistpubs/Legacy/SP/nistspecialpublication800-38c.pdf
SP800-38D NIST Special Publication 800-38D - Recommendation for Block Cipher Modes of Operation:
Galois/Counter Mode (GCM) and GMAC
November 2007
http://csrc.nist.gov/publications/nistpubs/800-38D/SP-800-38D.pdf
SP800-38E NIST Special Publication 800-38E - Recommendation for Block Cipher Modes of Operation:
The XTS AES Mode for Confidentiality on Storage Devices
January 2010
http://csrc.nist.gov/publications/nistpubs/800-38E/nist-sp-800-38E.pdf
SP800-38F NIST Special Publication 800-38F - Recommendation for Block Cipher Modes of Operation:
Methods for Key Wrapping
December 2012
http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-38F.pdf
SP800-67 NIST Special Publication 800-67 Revision 1 - Recommendation for the Triple Data
Encryption Algorithm (TDEA) Block Cipher
January 2012
http://csrc.nist.gov/publications/nistpubs/800-67-Rev1/SP-800-67-Rev1.pdf
SP800-90A NIST Special Publication 800-90A - Revision 1 - Recommendation for Random Number
Generation Using Deterministic Random Bit Generators
June 2015
http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-90Ar1.pdf
SP800-131A NIST Special Publication 800-131A Revision 1- Transitions: Recommendation for
Transitioning the Use of Cryptographic Algorithms and Key Lengths
November 2015
http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-131Ar1.pdf
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