© Copyright 2013 Oracle Corporation
This document may be freely reproduced and distributed whole and intact including this Copyright Notice.
Oracle StorageTek T10000C Tape Drive
Hardware Part #: 7054185
Firmware Version: 1.57.308
FIPS 140-2 Non-Proprietary
Security Policy
Level 1 Validation
Version 1.0
1/21/2014
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Table of Contents
INTRODUCTION............................................................................................................................... 5
1.1 PURPOSE............................................................................................................................. 5
1.2 REFERENCES....................................................................................................................... 5
1.3 DOCUMENT ORGANIZATION ............................................................................................... 5
2 STORAGETEK T10000C TAPE DRIVE..................................................................................... 7
2.1 MODULE OVERVIEW........................................................................................................... 7
2.1.1 ORACLE KEY MANAGER............................................................................................... 10
2.1.2 VIRTUAL OPERATOR PANEL......................................................................................... 10
2.1.3 STORAGETEK T10000C TAPE DRIVE DEPLOYMENT ..................................................... 10
2.2 MODULE SPECIFICATION .................................................................................................. 11
2.2.1 PERMANENT ENCRYPTION APPROVED MODE ............................................................... 12
2.2.2 ENCRYPTION ENABLED APPROVED MODE.................................................................... 12
2.2.3 ENCRYPTION DISABLED APPROVED MODE................................................................... 13
2.2.4 NON-FIPS-APPROVED MODE...................................................................................... 13
2.3 MODULE INTERFACES....................................................................................................... 14
2.3.1 FIPS 140-2 LOGICAL INTERFACE MAPPING................................................................. 14
2.3.2 STORAGETEK T10000C TAPE DRIVE LED STATUS INFORMATION ................................ 17
2.3.3 STORAGETEK T10000C TAPE DRIVE VOP STATUS INFORMATION ................................ 19
2.4 ROLES AND SERVICES....................................................................................................... 20
2.4.1 CRYPTO-OFFICER ROLE.............................................................................................. 21
2.4.2 USER ROLE................................................................................................................. 22
2.4.3 ADDITIONAL OPERATOR SERVICES............................................................................... 24
2.4.4 NON-APPROVED MODE ROLES AND SERVICES.............................................................. 24
2.5 PHYSICAL SECURITY......................................................................................................... 26
2.6 OPERATIONAL ENVIRONMENT.......................................................................................... 26
2.7 CRYPTOGRAPHIC KEY MANAGEMENT.............................................................................. 26
2.7.1 ENCRYPTION ENABLED CRYPTOGRAPHIC ALGORITHM IMPLEMENTATIONS .................... 27
2.7.2 ENCRYPTION DISABLED CRYPTOGRAPHIC ALGORITHMS ............................................... 29
2.7.3 NON-APPROVED MODE SECURITY FUNCTIONS............................................................. 29
2.7.4 ENCRYPTION ENABLED CRYPTOGRAPHIC KEYS AND CRITICAL SECURITY PARAMETERS.. 30
2.7.5 ENCRYPTION DISABLED CRYPTOGRAPHIC KEYS AND CRITICAL SECURITY PARAMETERS. 32
2.8 EMI/EMC........................................................................................................................ 34
2.9 SELF-TESTS ...................................................................................................................... 34
2.9.1 INTEGRITY TESTS......................................................................................................... 34
2.9.2 POWER-ON SELF-TESTS .............................................................................................. 34
2.9.3 CONDITIONAL SELF-TESTS .......................................................................................... 35
2.9.4 CRITICAL FUNCTIONS TESTS........................................................................................ 35
2.10 MITIGATION OF OTHER ATTACKS..................................................................................... 36
3 SECURE OPERATION.............................................................................................................. 37
3.1 CRYPTOGRAPHIC OFFICER GUIDANCE (FIRST USE).......................................................... 37
3.1.1 INITIAL SET-UP........................................................................................................... 37
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3.1.2 ENCRYPTION DISABLED APPROVED MODE SET-UP ...................................................... 37
3.1.3 ENCRYPTION ENABLED APPROVED MODE SET-UP ....................................................... 38
3.1.4 PERMANENT ENCRYPTION APPROVED MODE SET-UP................................................... 38
3.2 CRYPTOGRAPHIC OFFICER GUIDANCE (NORMAL OPERATION)......................................... 39
3.2.1 SWITCHING TO ENCRYPTION DISABLED APPROVED MODE ........................................... 39
3.2.2 SWITCHING TO ENCRYPTION ENABLED APPROVED MODE ............................................ 39
3.2.3 SWITCHING TO PERMANENT ENCRYPTION APPROVED MODE........................................ 40
3.3 CRYPTOGRAPHIC OFFICER GUIDANCE (NON-APPROVED MODE) ..................................... 40
3.3.1 ENABLE NON-APPROVED MODE (FIRST USE)............................................................... 40
3.3.2 SWITCHING TO NON-APPROVED MODE........................................................................ 41
3.4 ZEROIZATION.................................................................................................................... 41
4 ACRONYMS............................................................................................................................. 42
List of Figures
FIGURE 1 – STORAGETEK T10000C TAPE DRIVE (FRONT).............................................................. 8
FIGURE 2 – STORAGETEK T10000C TAPE DRIVE (RIGHT SIDE) ...................................................... 8
FIGURE 3 – STORAGETEK T10000C TAPE DRIVE (LEFT SIDE)......................................................... 8
FIGURE 4 – STORAGETEK T10000C TAPE DRIVE (REAR)................................................................ 9
FIGURE 5 – STORAGETEK T10000C TAPE DRIVE (TOP) .................................................................. 9
FIGURE 6 – STORAGETEK T10000C TAPE DRIVE (BOTTOM)........................................................... 9
FIGURE 7 – STORAGETEK T10000C TAPE DRIVE DEPLOYMENT SCENARIO .................................. 11
List of Tables
TABLE 1 – SECURITY LEVEL PER FIPS 140-2 SECTION .................................................................. 11
TABLE 2 – MAPPING OF FIPS 140-2 LOGICAL INTERFACES TO STORAGETEK T10000C TAPE DRIVE
PHYSICAL INTERFACES .................................................................................................................. 15
TABLE 3 – DRIVE STATUS LED DESCRIPTION ............................................................................... 17
TABLE 4 – ENCRYPTION STATUS LED DESCRIPTION ..................................................................... 19
TABLE 5 – VOP STATUS INDICATORS............................................................................................ 19
TABLE 6 – CRYPTOGRAPHIC OFFICER SERVICES............................................................................ 21
TABLE 7 – USER SERVICES............................................................................................................. 23
TABLE 8 – ADDITIONAL OPERATOR SERVICES............................................................................... 24
TABLE 9 – NON-APPROVED SECURITY SERVICES........................................................................... 25
TABLE 10 – FIPS-APPROVED ALGORITHMS IN STORAGETEK T10000C TAPE DRIVE (PERMANENT
ENCRYPTION AND ENCRYPTION ENABLED MODES)....................................................................... 27
TABLE 11 – FIPS-APPROVED ALGORITHMS IN STORAGETEK T10000C TAPE DRIVE (ENCRYPTION
DISABLED MODE).......................................................................................................................... 29
TABLE 12 – NON-APPROVED MODE SECURITY FUNCTIONS........................................................... 29
TABLE 13 – LIST OF CRYPTOGRAPHIC KEYS, CRYPTOGRAPHIC KEY COMPONENTS, AND CSPS
(PERMANENT ENCRYPTION AND ENCRYPTION ENABLED MODES)................................................. 30
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TABLE 14 – LIST OF CRYPTOGRAPHIC KEYS, CRYPTOGRAPHIC KEY COMPONENTS, AND CSPS
(ENCRYPTION DISABLED MODE) ................................................................................................... 32
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INTRODUCTION
1.1 Purpose
This is a non-proprietary Cryptographic Module Security Policy for the
StorageTek T10000C Tape Drive from Oracle Corporation. This Security Policy
describes how the StorageTek T10000C Tape Drive meets 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 Canada
(CSEC) 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 StorageTek T10000C Tape Drive may also be
referred to in this document as the Encrypting Tape Drive, the ETD1
, the crypto
module, or the module.
1.2 References
This document deals only with operations and capabilities of the module in the
technical terms of a FIPS 140-2 cryptographic module security policy. More
information is available on the module from the following sources:
• The Oracle Corporation website (http://www.oracle.com) contains
information on the full line of products from Oracle.
• 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 one document in a FIPS 140-2 Submission
Package. In addition to this document, the Submission Package contains:
Vendor Evidence document
Finite State Machine
Other supporting documentation as additional references
1
ETD – Encrypting Tape Drive
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This Security Policy and the other validation submission documentation were
produced by Corsec Security, Inc. under contract to Oracle. With the exception of
this Non-Proprietary Security Policy, the FIPS 140-2 Submission Package is
proprietary to Oracle and is releasable only under appropriate non-disclosure
agreements. For access to these documents, please contact Oracle.
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2 STORAGETEK T10000C TAPE DRIVE
2.1 Module Overview
The StorageTek T10000C Tape Drive by Oracle Corporation (Hardware Part #:
7054185; Firmware Version: 1.57.308) blends the highest capacity, performance,
reliability, and data security to support demanding, 24/7 data center operations.
The StorageTek T10000C Tape Drive (“Encrypting Tape Drive”
or ETD) delivers the world’s fastest write speeds (252 MB2
/sec3
) to a native five
(5) Terabytes of magnetic tape storage; making it ideal for data center operations
with growing data volume. The StorageTek T10000C Tape Drive provides data
protection with built-in AES4
hardware encryption.
The StorageTek T10000C Tape Drive provides Oracle customers with three
different FIPS-Approved modes of operation. Customers can be assured that their
data will always be secure, in any of these Approved modes. The ETD drive
operates with data encryption services:
• permanently enabled
• temporarily enabled
• temporarily disabled
Each encryption mode provides FIPS 140-2 Approved security services and
functionality to ETD operators. For added flexibility, a non-FIPS-Approved
mode is also available.
Views from all sides of the StorageTek T10000C Tape Drive are provided as
Figure 1 through Figure 6.
2
MB – Megabytes
3
sec – Second
4
AES – Advanced Encryption Standard
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Figure 1 – StorageTek T10000C Tape Drive (Front)
Figure 2 – StorageTek T10000C Tape Drive (Right Side)5
Figure 3 – StorageTek T10000C Tape Drive (Left Side)6
5
The labels shown in the figure do not provide additional physical security
6
The labels shown in the figure do not provide additional physical security
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Figure 4 – StorageTek T10000C Tape Drive (Rear)
Figure 5 – StorageTek T10000C Tape Drive (Top)
Figure 6 – StorageTek T10000C Tape Drive (Bottom) 7
7
The label shown in the figure does not provide additional physical security
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2.1.1 Oracle Key Manager
The ETD is intended to be used in conjunction with the Oracle Key Manager
(OKM), which provides centralized key management. The OKM, an external
system component, creates, stores, and manages the keys used for encryption and
decryption of data stored in the tape cartridge used by the ETD. An Oracle Key
Manager (formerly called the Key Management System or KMS) cluster consists
of two or more Key Management Appliances (KMAs), providing policy-based
Lifecycle Key Management, authentication, access control, and key provisioning
services. Connections to the ETD from the OKM are secured through the use of
TLS8
1.09
.
2.1.2 Virtual Operator Panel
The Virtual Operator Panel (VOP) is an external software application running on
a General Purpose Computer (GPC) that facilitates operator communication with
the StorageTek T10000C Tape Drive through the use of an intuitive and user-
friendly Graphical User Interface (GUI). The VOP allows an operator to
configure the drive for FIPS-Approved operation, perform operator services, and
display drive-related status information. An operator of the StorageTek T10000C
Tape Drive will use the VOP, in addition to the OKM, during the initial FIPS
configuration and any time the operator chooses to switch between FIPS-
Approved modes. Connections to the ETD from the VOP are provided through
the Telnet network protocol.
2.1.3 StorageTek T10000C Tape Drive Deployment
A sample deployment scenario for the StorageTek T10000C Tape Drive with
encryption enabled is provided in Figure 7 below. The ETD is shown with a red,
dotted line surrounding it, representing its cryptographic boundary.
8
TLS – Transport Layer Security
9
The TLS 1.0 protocol has not been reviewed or tested by the CAVP and CMVP.
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Figure 7 – StorageTek T10000C Tape Drive Deployment Scenario
2.2 Module Specification
The StorageTek T10000C Tape Drive is validated at the FIPS 140-2 section levels
shown in Table 1 for all three FIPS-Approved modes of operation.
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 1
4 Finite State Model 1
5 Physical Security 1
6 Operational Environment N/A
7 Cryptographic Key Management 1
8 EMI/EMC10
1
9 Self-tests 1
10 Design Assurance 1
11 Mitigation of Other Attacks N/A
10
EMI/EMC – Electromagnetic Interference / Electromagnetic Compatibility
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The StorageTek T10000C Tape Drive is a hardware cryptographic module with a
multi-chip standalone physical embodiment as defined by FIPS 140-2. The
primary purpose of this device is to provide FIPS 140-2 Level 1 security to data
being stored on magnetic tape. The cryptographic boundary of the StorageTek
T10000C Tape Drive is defined by the tape drive’s commercial-grade, metallic
enclosure.
The module provides three FIPS-Approved modes of operation that each meet
overall Level 1 FIPS 140-2 requirements specified in Table 1 above. The module
also provides one non-FIPS-Approved, or non-Approved, mode of operation.
Each of the Approved modes and the non-Approved mode are described in the
sections below. Cryptographic security functions and services available in each
of the defined modes are specified in the appropriate sections of this Security
Policy. Additional information on each operational mode of the module,
including their invocation, is provided in Section 3 (Secure Operation).
2.2.1 Permanent Encryption Approved Mode
The Permanent Encryption Approved Mode or Permanent Encryption Mode is the
first FIPS-Approved mode of operation provided by the StorageTek T10000C
Tape Drive. This mode provides secure encryption and decryption of data stored
on magnetic tape, using the 256-bit AES cryptographic algorithm. While
operating in the Permanent Encryption Mode, operators of the module do not
have the ability to disable encryption services. Placing the module into
Permanent Encryption Mode is non-reversible. The ETD will be able to read
from unencrypted tape cartridges while operating in this mode, but will be unable
to append to them if unencrypted data is already present.
To determine that the module is operating in the Permanent Encryption Mode, an
operator can use the VOP to view the drive settings and verify that the
“Encryption Active” and “Permanently encrypting” labels are both set to “Yes”.
The operator can also check that the Encryption Status LED11
on the back of the
module is a solid red color. In addition, the operator shall verify that the “Use
KMS or DPKM12
” label is set to “KMS”. Instructions to place the module into
the Permanent Encryption Mode are provided in Section 3.1.4 (Permanent
Encryption Approved Mode Set-Up).
2.2.2 Encryption Enabled Approved Mode
The second FIPS-Approved mode of operation is the Encryption Enabled
Approved Mode or Encryption Enabled Mode. The Encryption Enabled Mode
provides operators the ability to encrypt and decrypt data that is stored on a
magnetic tape source. Encryption and decryption are performed using the 256-bit
11
LED – Light Emitting Diode
12
DPKM – Data Path Key Management
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AES cryptographic algorithm. This mode operates in the same way as the
Permanent Encryption Mode, but with the ability to switch to the Permanent
Encryption, the Encryption Disabled Approved modes and the non-Approved
mode. The ETD will be able to read from unencrypted tape cartridges while
operating in this mode, but it will be unable to append to them if unencrypted data
is already present.
An operator of the module can determine if the module is operating in the
Encryption Enabled Mode by using the VOP to view the drive settings and verify
that the “Encryption Active” label is set to “Yes” and the “Permanently
encrypting” label is set to “No”. The operator can also check that the Encryption
Status LED on the back of the module is a solid red color. Finally, the operator
shall confirm that the “Use KMS or DPKM” label is set to “KMS”. Instructions
to place the module into the Encryption Enabled Mode are provided in Section
3.1.3 (Encryption Enabled Approved Mode Set-Up).
2.2.3 Encryption Disabled Approved Mode
The Encryption Disabled Approved Mode or Encryption Disabled Mode is the
last FIPS-Approved mode. When operating in the Encryption Disabled Mode,
only plaintext data is stored on the magnetic tape. This plaintext data is non-
security-relevant user data. While operating in this mode, only unencrypted tape
cartridges will be supported for read and write operations. An operator will be
able to switch to any of the additional FIPS-Approved modes or the non-
Approved mode while operating the module in the Encryption Disabled Mode.
An operator of the module can determine if the module is operating in the
Encryption Disabled Mode by using the VOP to view the drive settings and verify
that the “Encryption Active” label is set to “No”. The operator can also confirm
that the Encryption Status LED on the back of the module is a solid green color.
Finally, the operator shall confirm that the “Use KMS or DPKM” label is set to
“UNKN13
”. Instructions to place the module into the Encryption Disabled Mode
are provided in Section 3.1.2 (Encryption Disabled Approved Mode Set-Up).
2.2.4 non-FIPS-Approved Mode
The StorageTek T10000C Tape Drive is capable of operating in a non-FIPS-
Approved Mode or non-Approved mode of operation. The module is defined as
operating in the non-Approved mode when DPKM is enabled through the VOP.
DPKM allows an operator to use the SCSI14
4 commands SPIN and SPOUT in
order to import and export keying material to and from the module in plaintext.
While operating in the non-Approved mode, the drive is still capable of operating
with encryption services enabled or disabled. The ETD is also capable of
13
UNKN - Unknown
14
SCSI – Small Computer System Interface
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switching back-and-forth between encryption services15
disabled (non-compliant)
and encryption services enabled (non-compliant) at will; without the use of a
bypass test.
Keys and CSPs established in any of the three Approved modes are zeroized prior
to operating in the non-Approved mode. The operator is not able to update the
firmware while operating in this mode. An operator of the module can determine
if the module is operating in the non-Approved mode by using the VOP to
confirm that the “Use KMS or DPKM” label is set to “DPKM”. Instructions to
place the module into the non-Approved mode are provided in Section 3.3
(Cryptographic Officer Guidance (Non-Approved Mode)).
2.3 Module Interfaces
The following is a list of the FIPS 140-2 logical interfaces supported by the
StorageTek T10000C Tape Drive:
• Data Input
• Data Output
• Control Input
• Status Output
Additionally, the module supports a Power Input interface.
2.3.1 FIPS 140-2 Logical Interface Mapping
Figure 1 in Section 2.1 (Module Overview) shows the front of the StorageTek
T10000C Tape Drive. The opening provides an entryway for an approved
StorageTek T10000C Tape Cartridge. The ETD will not operate if the wrong tape
cartridge is inserted. This entryway provides the Tape Head and RFID16
Reader/Writer as physical interfaces to the tape cartridge. The opening at the
front of the module is the only opening in the module. It does not provide access
to the interior of the module.
Figure 4 in Section 2.1 (Module Overview) shows the rear of the StorageTek
T10000C Tape Drive. It provides the following physical interfaces:
• Tape Transport Interface (TTI) – RS-23217
connection
• Power Supply Connector
• Host Interfaces – Fibre Channel connection
• Recessed Switch
• Ethernet Port – RJ4518
connection
15
Non-compliant encryption performed in the non-FIPS-Approved Mode can also be referred to as “obfuscation”. The output
from this service is equivalent to plaintext.
16
RFID – Radio Frequency Identification
17
RS-232 – Recommended Standard 232
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• Encryption Status LED
• Drive Status LED
The bottom of the StorageTek T10000C Tape Drive (Section 2.1, Figure 6)
provides one additional physical interface; the Operator Panel Port. This port is
used to provide general module status as well as additional control input access
when the drive is rack-mounted.
Table 2 provides a mapping of all of the physical interfaces of the StorageTek
T10000C Tape Drive listed above to their respective FIPS 140-2 Logical
Interfaces. The functionality and logical interface mappings of these physical
interfaces do not change between Approved modes.
Table 2 – Mapping of FIPS 140-2 Logical Interfaces to StorageTek T10000C Tape Drive Physical Interfaces
Physical Interface Quantity
FIPS 140-2
Logical Interfaces
Supported
Description
Tape Head 2
Data Input
Data Output
Provides the interface to the magnetic tape media, where
the user data to be encrypted is written to, and where the
data to be decrypted is read from.
Tape media resides in six possible cartridge types:
1) Standard Data
2) SPORT (reduced length) Data
3) VolSafe (write-once) Data
4) Sport VolSafe Data (reduced length, write-once)
5) Cleaning
6) Diagnostic (used by a service representative)
Encryption Status LED 1 Status Output
Provides status on the encryption configuration of the
ETD. Additional information provided in Table 4.
TTI connector
(RS232/DB15)
1
Control Input
Data Output
Status Output
Primarily used for tape library communications.
The operator can review the status output to determine if
the module has passed or failed different self-tests. The
status output from this port consists of messages
indicating failure and success.
Recessed switch 1 Control Input
Short press: Reset the module’s IP19
address to the default
IP address (10.0.0.1)
Long press: Force unencrypted ETD data dump20
18
RJ45 – Registered Jack 45
19
IP – Internet Protocol
20
All unencrypted dumps shall be deleted by the CO after their creation
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Physical Interface Quantity
FIPS 140-2
Logical Interfaces
Supported
Description
Power supply connector 1 Power 100-240 VAC21
@ 50-60 Hz22
Interface Port (Host
Interface)
2
Data Input
Data Output
Control Input
Status Output
This interface is used to transfer user data between the
ETD and the host. When the host transfers user data to
the ETD through this interface, the ETD encrypts and
writes the data to the magnetic media. When the host
receives user data from the ETD through this interface,
the ETD delivers data read from the magnetic media that
has been decrypted by the ETD.
The interface can be configured to support one of two
protocols:
1) Fibre Channel, in accordance with the Fibre Channel
Protocol-3 (FCP-3), SCSI Primary Commands-3, and
SCSI Stream Commands (SSC-3) specifications
2) FICON23
, in accordance with the Fibre Channel
Single-Byte Command Code Sets-3 Mapping Protocol
(FC-SB-3), Revision 1.6 specification
Ethernet Port
(RJ45)
1
Data Input
Data Output
Control Input
Status Output
The primary uses of this interface is to:
1) Configure the ETD
2) Deliver encryption keys to the ETD
3) Obtain ETD status and diagnostic data
4) Download firmware to the ETD
5) Deliver status information to an SNMP24
server.
Drive Status LED 1 Status Output
Provides status on the overall state of the ETD.
The Tape Drive’s user manual includes information
regarding the different statuses that are provided by the
drive through the LEDs. Additional information provided
in Table 3.
21
VAC – Volts Alternating Current
22
Hz - Hertz
23
FICON – Fibre connection
24
SNMP – Simple Network Management Protocol
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Physical Interface Quantity
FIPS 140-2
Logical Interfaces
Supported
Description
Operator Panel Port25
1
Status Output
Control Input
The Bottom cover of the ETD has an Operator Panel
connector carrying the following signals:
A. Four signals to provide status output:
1. Power Indicator output signal
2. Activity Indicator output signal
3. Clean Indicator output signal
4. Service Indicator output signal
B. An LCD26
display output interface. The LCD is used
to display ETD status and configuration menu text.
C. Four switch signals (input):
1. IPL27
Switch
2. Unload Switch
3. Menu Switch
4. Select Switch
RFID Reader/Writer 1
Data Input
Data Output
Used to obtain information from each tape inserted into
the ETD to reduce access times and manage the lifecycle
of the cartridge. Various statistical data and information
of record locations are written to the RFID located on the
tape cartridge
2.3.2 StorageTek T10000C Tape Drive LED Status Information
The StorageTek T10000C Tape Drive provides two LEDs at the rear of the
module which provide important status information about the module. The first
LED is the Drive Status LED, which provides the overall status of the ETD.
Table 3 provides a brief description of each LED state of the Drive Status LED.
LEDs related to “hardware failure” or “service required” shall be reported to the
Oracle StorageTek support team.
Table 3 – Drive Status LED Description
LED State Description
Off Drive is powered off
25
Status and control information provided through Operator Panel Port is provided in Chapter 2 of the StorageTek
T10000 Tape Drive Operator’s Guide.
26
LCD – Liquid Crystal Display
27
IPL – Initial Program Load
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LED State Description
Red (Solid28
) Hardware failure (processor error)
Red (Slow Flash29
) Drive is starting up
Red (Fast Flash30
) Module data dump in progress
Amber (Steady) Service required
Amber (Slow Flash) Functional code is loading
Amber (Fast Flash) Firmware update in progress
Green (Solid) Drive is operational
Green (Slow Flash) Drive is operational (dump file present)
Green (Fast Flash) Firmware update completed
Red/Blue
(Alternating)
Hardware failure (during POST31
)
Red/Green
(Alternating)
Continuous module errors;
Service required
A second LED, which provides the status of the encryption configuration of the
module, is the Encryption Status LED. Table 4 provides a brief description each
LED state of the Encryption Status LED.
28
LED is illuminated and not flashing
29
Slow flash rate is one cycle per second
30
Fast flash rate is two cycles per second
31
POST – Power-On Self-Test
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Table 4 – Encryption Status LED Description
LED State Description
Red (Solid) Encryption enabled/active
Red (Slow Flash) Encryption or Decryption in progress
Amber (Solid) Tape cartridge not present
Green (Solid) Encryption disabled
Green (Slow Flash) Module Reset
Red/Green/Amber
(Alternating)
Module zeroed
2.3.3 StorageTek T10000C Tape Drive VOP Status Information
The module outputs status information via the Ethernet Port to the VOP to
provide a more detailed drive status to the operator. Table 5 provides a brief
description of the status indicators provided by the VOP.
Table 5 – VOP Status Indicators
Indicator Color Description
All Black No tape drive connection
Loaded or
Unloaded
Blue Cartridge Loaded
Grey Cartridge loaded in slot, not in drive
Magenta Cartridge loading/unloading
Empty Grey Cartridge not present
Online or
Offline
Blue Drive online (Indicator reads Online)
Grey Drive offline (Indicator reads Offline)
© Copyright 2013 Oracle Corporation Page 20 of 43
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Indicator Color Description
Magenta Transitioning between Online/Offline
Clean Orange Drive needs to be cleaned
Dump Orange Dump present
Encryption
Red Encryption enabled (all keys present) (Indicator reads Armed)
Orange Missing encryption key (Indicator reads Enrolled)
Green Drive not enrolled with OKM (Indicator reads Unenrolled)
Active or
Hibernate
Blue Hibernation activated32
No color Drive is hibernating
2.4 Roles and Services
The StorageTek T10000C Tape Drive cryptographic module provides two roles
which operators may assume:
• Cryptographic Officer (CO)
• User
Each role is assumed implicitly by an operator and is determined by the service
which the operator is executing. The ETD supports up to six concurrent
operators. Each connection to the ETD is logically separated by the module by
uniquely encrypted sessions.
Each role, and the services available to them in each Approved mode, is detailed
in the sections below. Please note that the keys and Critical Security Parameters
(CSPs) listed in the tables indicate the type of access required using the following
notation:
• R – Read: The item is read or referenced by the service.
• W – Write: The CSP is established, generated, modified, or zeroized.
32
This is a power-saving mode
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• X – Execute: The CSP is used within an Approved or Allowed security
function.
2.4.1 Crypto-Officer Role
The CO is in charge of the initial configuration of the StorageTek T10000C Tape
Drive which includes placing the module into one of the three Approved Modes.
A list of services available to the CO, and the Approved mode the service is
available in, is provided in Table 6.
Table 6 – Cryptographic Officer Services
Service Description Approved Mode
CSP and Type of
Access
Enable Permanent
Encryption Mode
Provide public and private keys in
order to connect to OKM; Enable
encryption
Encryption Enabled
Encryption Disabled
CA_Cert – WX
TDPrivKey – W
TDPubKey – W
Enable Encryption
Enabled Mode
Provide public and private keys in
order to connect to OKM; Enable
encryption
Encryption Disabled
CA_Cert – WX
TDPrivKey – W
TDPubKey – W
Enable Encryption
Disabled Mode
Turn encryption off; OKM
services are enabled
Encryption Enabled
CA_Cert – WX
TDPrivKey – W
TDPubKey – W
Enable non-FIPS-
Approved Mode
Bring the module into a non-
Approved mode of operation
Encryption Disabled None
Configure Module
Perform routine module
configuration
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Place drive
online/offline
Add or remove Fibre Channel
connectivity to the ETD
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Load Firmware Update module firmware
Permanent Encryption
Encryption Enabled
Encryption Disabled
FSPubKey – RX
FSRootCert – X
Reset Zeroization of all keys and CSPs
Permanent Encryption
Encryption Enabled
All Keys and CSPs33
–
W
Access Module via
Virtual Operator’s
Panel (VOP)
Log into VOP and manage the
module
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
33
Excludes DEPubKey, FSPubKey, and FSRootCert
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Service Description Approved Mode
CSP and Type of
Access
Create Dump
(Encrypted)
Create an encrypted dump file and
save to EEPROM34
Permanent Encryption
Encryption Enabled
DRBG35
‘Key’ Value –
WRX
DRBG ‘V’ Value –
WRX
DRBG Seed – WRX
DEKey – WX
DEPubKey - X
Create Dump
(Unencrypted)
Create an unencrypted dump file
and save to EEPROM
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Initial Program
Load (IPL)
Reinitialize module and run self-
tests
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
View Audit Log
View, download, or delete audit
log
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
View Drive Data Read module configuration data
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
View Error Log
View, download, or delete error
log
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Delete Dump
Delete the currently stored dump
file
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Delete Perms
Deletes currently stored error
messages
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Tape Management
Load or unload a new tape
cartridge into the module
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Run Diagnostics
Perform a diagnostic test on the
module
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
2.4.2 User Role
The User of the StorageTek T10000C Tape Drive is the everyday user of the
module. The User is responsible for importing the encryption and decryption
keys when operating in one of the Approved modes with encryption enabled.
Once an encryption key has been obtained, the User has the ability to encrypt and
34
EEPROM – Electronically Erasable Programmable Read-Only Memory
35
DRBG – Deterministic Random Bit Generator
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decrypt data stored on the tape cartridge. A list of services available to the User,
and the Approved mode the service is available in, is provided as Table 7.
Table 7 – User Services
Service Description Approved Mode
CSP and Type of
Access
Encrypt Data
Encrypt data from the module to
the tape cartridge
Permanent Encryption
Encryption Enabled
MEKey – X
Decrypt Data
Decrypt data read from the tape
cartridge
Permanent Encryption
Encryption Enabled
MEKey – X
Write Plaintext Data
Write plaintext data from the
module to the tape cartridge
Encryption Disabled None
Read Plaintext Data
Read plaintext data from the tape
cartridge
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Establish TLS36
Session
Establish connection with OKM
cluster
Permanent Encryption
Encryption Enabled
DRBG ‘Key’ Value –
WRX
DRBG ‘V’ Value –
WRX
DRBG Seed – WRX
TLS_PM – W
TLS_MS – W
TLS_EMK – W
TLS_DMK – W
TLS_ECK – W
TLS_DCK – W
CA_Cert – X
TDPubKey – X
TDPrivKey – X
Export AES Key
Wrap Key (AKWK)
Export AKWK to the OKM
cluster
Permanent Encryption
Encryption Enabled
DRBG ‘Key’ Value –
WRX
DRBG ‘V’ Value –
WRX
DRBG Seed – WRX
AKWK – W
KWKPublicKey – X
TLS_EMK – X
TLS_ECK – X
Import
KWKPublicKey
Import the KWKPublicKey from
the OKM cluster onto the module
Permanent Encryption
Encryption Enabled
KWKPublicKey – W
TLS_DMK – X
TLS_DCK – X
Import ME_Key
Import one or more ME_Keys
onto the module from the OKM
cluster
Permanent Encryption
Encryption Enabled
ME_Key – W
TLS_DMK – X
TLS_DCK – X
AKWK – X
36
TLS – Transport Layer Security
© Copyright 2013 Oracle Corporation Page 24 of 43
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2.4.3 Additional Operator Services
In addition to CO and User services, the module provides services to operators
that are not required to assume an authorized role. These services do not modify,
disclose, or substitute the keys and CSPs established in one of the Approved
modes. The overall security of the module is not affected by these services.
Table 8 lists the services available to operators not required to assume an
authorized role. These services are available in all three Approved modes of
operation.
Table 8 – Additional Operator Services
Service Description Approved Mode
CSP and Type of
Access
Show Status
Determine the current status of the
module by reading the Encryption
and Drive Status LEDs; Read the
information provided on the VOP
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Power
Cycle/Perform Self-
Tests
Cycle the power on the module,
which will invoke self-tests on
power-up
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Reset Module IP
Reset the module’s IP address to
the default IP address using the
recessed switch
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Interface Port
Management
Manage the module through the
Interface Port (non-security
relevant)
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Library
Management
Manage the module and retrieve
status information through the TTI
(non-security relevant)
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
Operator Panel
Management
Manage the module and retrieve
status information through the
Operator Panel port (non-security
relevant)
Permanent Encryption
Encryption Enabled
Encryption Disabled
None
2.4.4 Non-Approved Mode Roles and Services
While operating in the non-Approved mode, operators are not required to assume
an authorized role in order to access and utilize module services. Thus, all
module services are available to all operators with access to the module.
When operating in the non-Approved Mode, the StorageTek T10000C Tape Drive
provides a subset of the services that are available in Encryption Enabled and
© Copyright 2013 Oracle Corporation Page 25 of 43
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Encryption Disabled Approved Modes. These services shall be considered non-
compliant services. The services that are available to an operator of the ETD
while it is operating in the non-Approved Mode are listed in Table 9 below.
Table 9 – non-Approved Security Services
Service Description
Enable Encryption
Disabled Mode
Turn encryption off; OKM services are enabled
Configure Module Perform routine module configuration
Enable
Encryption/Obfuscation37
Enable encryption/obfuscation services (without
reboot)
Disable
Encryption/Obfuscation
Disable encryption/obfuscation (without reboot)
Access Module via Virtual
Operator’s Panel (VOP)
Log into VOP and manage the module
Create Dump (Non-
Encrypted)
Create non-encrypted dump file and save to EEPROM
Initial Program Load (IPL) Reinitialize module and run self-tests
View non-Approved mode
Audit Log
View, download, or delete audit log
View Drive Data Read module configuration data
View non-Approved mode
Error Log
View, download, or delete error log
Delete Dump Delete the currently stored dump file
Delete Perms Deletes currently stored error messages
Tape Management Load or unload a new tape cartridge into the module
Run Diagnostics Perform a diagnostic test on the module
Encrypt Data Encrypt data from the module to the tape cartridge
Decrypt Data Decrypt data read from the tape cartridge
Write Plaintext Data
Write plaintext data from the module to the tape
cartridge
Read Plaintext Data Read plaintext data from the tape cartridge
Export Keys
Export keys from the module to an external device in
plaintext
Import Keys
Import keys to the module from an external device in
plaintext
37
Obfuscation of data is equivalent to plaintext output
© Copyright 2013 Oracle Corporation Page 26 of 43
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Service Description
Show Status
Determine the current status of the module by reading
the Encryption and Drive Status LEDs; Read the
information provided on the VOP
Power Cycle/Perform Self-
Tests
Cycle the power on the module, which will invoke self-
tests on power-up
Reset Module IP
Reset the module’s IP address to the default IP address
using the recessed switch
Interface Port Management
Manage the module through the Interface Port (non-
security relevant)
Library Management
Manage the module and retrieve status information
through the TTI (non-security relevant)
Operator Panel
Management
Manage the module and retrieve status information
through the Operator Panel port (non-security relevant)
2.5 Physical Security
The StorageTek T10000C Tape Drive satisfies level 1 physical security
requirements by being constructed of a hard, production-grade metal exterior.
The module provides an opening, which is required for the insertion of media
(tape cartridges). The opening is constructed of hard, production-grade plastic.
All internal hardware, firmware, and cryptographic data are protected by the
enclosure of the module, which makes up its physical cryptographic boundary.
NOTE: The labels pictured in Figure 1 and Figure 2 above do not add any
additional security to the module.
2.6 Operational Environment
The operational environment for the StorageTek T10000C Tape Drive consists of
two ARM 926EJS processors, which are the module’s only general-purpose
processors. These processors execute the module’s firmware (Firmware Version:
1.57.308). The module does not employ a general Operating System.
2.7 Cryptographic Key Management
The StorageTek T10000C Tape Drive was designed to operate in three FIPS-
Approved modes of operation: Permanent Encryption Mode, Encryption Enabled
Mode, and Encryption Disabled Mode. The following sections detail which
cryptographic algorithms, keys, and CSPs are available for each FIPS-Approved
mode.
© Copyright 2013 Oracle Corporation Page 27 of 43
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2.7.1 Encryption Enabled Cryptographic Algorithm Implementations
The StorageTek T10000C Tape Drive provides access to the same cryptographic
algorithms when operating in either the Permanent Encryption Approved Mode or
Encryption Enabled Approved Mode. The cryptographic algorithms available in
these Approved modes are listed in Table 10.
Table 10 – FIPS-Approved Algorithms in StorageTek T10000C Tape Drive (Permanent Encryption and
Encryption Enabled Modes)
Algorithm Implementation Description
Certificate
Number
AES38
256-bit ECB39
mode (CCM implementation) AES in ECB mode as used in firmware AES CCM
encryption with Cert # 2412
2404
AES 256-bit ECB mode (Used with OKM) Unwrap AES Media Keys40
being sent from the
OKM
2405
AES 256-bit ECB mode (DRBG implementation) AES in ECB mode as used with the SP41
800-90A
CTR42
DRBG with Cert # 322
2407
AES 256-bit CBC43
mode (TLS44
1.0 implementation) AES in CBC mode used in a TLS session between
the ETD and OKM
2406
AES 256-bit ECB mode (DCCM hardware implementation) AES in ECB mode as used in hardware AES CCM
encryption with Cert # 1570
1568
AES 256-bit CCM mode (DCCM hardware implementation) AES in CCM mode as used with AES in ECB mode
with Cert # 1568
1570
AES 256-bit CCM mode (Firmware implementation) AES in CCM mode as used with AES in ECB mode
with Cert # 2404
2412
SHA45
-1 (Firmware implementation) Used for digital signature verification; Used with
HMAC SHA-1 (Cert # 1497); User data hashing
2065
SHA-1 (TLS 1.0 implementation) Used as part of the TLS 1.0 TLS Key Derivation
Function; Used with HMAC SHA-1 (Cert # 1498)
2066
HMAC46
SHA-1 (Used with OKM) Create challenge responses as part of the certificate
service of OKM; Used with SHA-1 (Cert #: 2065)
1497
HMAC SHA-1 (TLS 1.0 implementation) Provides integrity during a TLS session; Used with
SHA-1 (Cert # 2066)
1498
38
AES – Advanced Encryption System
39
ECB – Electronic Code Book
40
Media Keys are a defined CSP. See Table 13 in VE07.03.01
41
SP – Special Publication
42
CTR - Counter
43
CBC – Cipher Block Chaining
44
TLS – Transport Layer Security
45
SHA – Secure Hash Algorithm
46
HMAC – (Keyed-) Message Authentication Code
© Copyright 2013 Oracle Corporation Page 28 of 43
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Algorithm Implementation Description
Certificate
Number
RSA 2048-bit PKCS47
#1 v1.5 Signature Verification Verifies the signature of a new firmware image to be
loaded onto the ETD; Used with SHA-1 (Cert #
2065)
1246
TLS 1.0 Key Derivation TLS 1.0 Key Derivation (SP800-135 rev1; Section
4.2.1)
82
SP800-90A CTR DRBG Generates random numbers for nonces and keys 322
Caveat: Additional information concerning SHA-1 and specific guidance on
transitions to the use of more robust hashing algorithms is contained in NIST
Special Publication 800-131A.
When operating in the Permanent Encryption and Encryption Enabled Approved
Modes, the ETD wraps data it sends to an OKM cluster with AES Key Wrap.
AES Key Wrap, as defined in SP 800-38F, is an approved key wrapping, key
establishment methodology.
AES (Cert #:2405, Key Wrapping provides 256 bits of encryption
strength)
The following non-Approved methods are allowed for use, as described, in the
Permanent Encryption and Encryption Enabled Modes:
RSA (Key wrapping; key establishment methodology provides 112 bits of
encryption strength)
The module provides a Non-Deterministic Random Number Generator
(NDRNG) as the entropy source to the FIPS-Approved SP 800-90A CTR
DRBG.
The module provides MD5 for use with TLS 1.0 protocol.
47
PKCS – Public Key Cryptographic Standard
© Copyright 2013 Oracle Corporation Page 29 of 43
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2.7.2 Encryption Disabled Cryptographic Algorithms
The Encryption Disabled Approved Mode utilizes a subset of the cryptographic
algorithms listed in Table 10. A list of cryptographic algorithms used by the
module while operating in the Encryption Disabled Mode is provided as Table 11.
Table 11 – FIPS-Approved Algorithms in StorageTek T10000C Tape Drive (Encryption Disabled Mode)
Algorithm Implementation Description
Certificate
Number
AES 256-bit ECB mode (DRBG implementation) AES in ECB mode as used with the SP 800-90A
CTR DRBG with Cert # 322
2407
SHA-1 (Firmware implementation) Used for digital signature verification; User data
hashing
2065
RSA 2048-bit PKCS #1 v1.5 Signature Verification Verifies the signature of a new firmware image to be
loaded onto the ETD; Used with SHA-1 (Cert #
2065)
1246
SP800-90A CTR DRBG Generates random numbers for nonces and keys 322
Caveat: Additional information concerning SHA-1 and specific guidance on
transitions to the use of more robust hashing algorithms is contained in NIST
Special Publication 800-131A.
2.7.3 Non-Approved Mode Security Functions
The cryptographic algorithms listed in Table 12 are available to the StorageTek
T10000C Tape Drive while operating in the non-Approved Mode.
Table 12 – Non-Approved Mode Security Functions
Algorithm
AES 256-bit ECB mode (Firmware; non-compliant)
AES 256-bit ECB mode (Hardware; non-compliant)
AES 256-bit CBC mode (non-compliant)
AES 256-bit CCM mode (Firmware; non-compliant)
AES 256-bit CCM mode (Hardware; non-compliant)
SHA-1 (non-compliant)
HMAC SHA-1 (non-compliant)
RSA 2048-bit PKCS #1 v1.5 Encrypt/Decrypt (non-compliant)
SP 800-90A CTR DRBG (non-compliant)
© Copyright 2013 Oracle Corporation
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2.7.4 Encryption Enabled Cryptographic Keys and Critical Security Parameters
The cryptographic keys, key components, and other CSPs used by the module while operating in either the Permanent
Encryption Approved Mode or Encryption Enabled Approved Mode are shown in Table 13.
Table 13 – List of Cryptographic Keys, Cryptographic Key Components, and CSPs (Permanent Encryption and Encryption Enabled Modes)
Key Key Type Generation / Input Output Storage Zeroization Use
Media Key
(MEKey)
AES CCM 256-bit Generated externally;
Input encrypted via
AKWK
Output encrypted via
DEKey
Plaintext in RAM48
and FPGA49
“Reset” service;
Switch Approved
Mode
To encrypt and decrypt
data to and from
magnetic tape
AES Key Wrap Key
(AKWK)
AES ECB 256-bit Generated internally
via Approved DRBG
Output encapsulated
via KWKPublicKey
Plaintext in RAM “Reset” service;
Power cycle;
Switch Approved
Mode
Decrypt MEKey
Dump Encryption
Key (DEKey)
AES CCM 256-bit Generated internally
via Approved DRBG
Output encrypted via
DEPubKey
Plaintext in RAM “Reset” service;
Power cycle;
Switch Approved
Mode
Encrypt dump files
Dump Encryption
Public Key
(DEPubKey)
RSA 2048-bit public
key
Generated externally;
Hardcoded into
module
Does not exit the
module
Plaintext in
EEPROM
Not Applicable Encapsulate DEKey
Tape Drive Private
Key (TDPrivKey)
RSA 2048-bit private
key
Generated externally;
Input via TLS_ECK
Output encrypted via
DEKey
Plaintext in RAM
and EEPROM
“Reset” service;
Switch Approved
Mode
Authenticate the
module to OKM cluster
appliance during TLS
session
Tape Drive Public
Key (TDPubKey)
RSA 2048-bit public
key
Generated externally;
Input via TLS_ECK
Output encrypted via
DEKey; Output in
plaintext
Plaintext in
EEPROM
“Reset” service;
Switch Approved
Mode
Authenticate the
module to OKM cluster
appliance during TLS
session
48
RAM – Random Access Memory
49
FPGA – Field Programmable Gate Array
© Copyright 2013 Oracle Corporation Page 31 of 43
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Key Key Type Generation / Input Output Storage Zeroization Use
TLS_PM 48 bytes random data Generated internally
via Approved DRBG
Output encapsulated
via CA_Cert
Plaintext in RAM “Reset” service;
Power cycle;
Switch Approved
Mode
Premaster secret for
TLS 1.0 session
TLS_MS 48 bytes pseudo-
random data
Generated internally
via TLS 1.0 PRF50
Does not exit the
module
Plaintext in RAM “Reset” service;
Power cycle;
Switch Approved
Mode
Master secret for TLS
1.0 session
TLS_EMK HMAC SHA-1 Generated internally
via TLS 1.0 PRF
Does not exit the
module
Plaintext in RAM “Reset” service;
Power cycle;
Switch Approved
Mode
Authentication key for
data leaving the module
(per TLS 1.0)
TLS_DMK HMAC SHA-1 Generated internally
via TLS 1.0 PRF
Does not exit the
module
Plaintext in RAM “Reset” service;
Power cycle;
Switch Approved
Mode
Authentication key for
data entering the
module (per TLS 1.0)
TLS_ECK AES CBC 256-bit Generated internally
via TLS 1.0 PRF
Does not exit the
module
Plaintext in RAM “Reset” service;
Power cycle;
Switch Approved
Mode
Encryption key for data
leaving the module (per
TLS 1.0)
TLS_DCK AES CBC 256-bit Generated internally
via TLS 1.0 PRF
Does not exit the
module
Plaintext in RAM “Reset” service;
Power cycle;
Switch Approved
Mode
Decryption key for data
entering the module
(per TLS 1.0)
CA_Cert RSA 2048-bit public
Key
Generated externally.
Input in plaintext via
CA51
Output encrypted via
DEKey
Plaintext in
EEPROM
“Reset” service;
Switch Approved
Mode
Authenticate the OKM
cluster appliance to the
module during TLS
session
Key Wrap Key
Public Key
(KWKPublicKey)
RSA 2048-bit public
key
Generated externally;
Input encrypted via
TLS_ECK
Output encrypted via
DEKey
Plaintext in
EEPROM
“Reset” service;
Switch Approved
Mode
Wrap AKWK to be
sent to OKM cluster
50
PRF (Pseudo Random Function) is based on a hash on the TLS_PM and nonces; Utilizes SHA-1 and MD5 (Message Digest 5)
51
CA – Certificate Authority
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Key Key Type Generation / Input Output Storage Zeroization Use
Firmware Signature
Public Key
(FSPubKey)
RSA 2048-bit public
key
Generated externally;
Hardcoded into
module
Does not exit the
module
Plaintext in
EEPROM
Not Applicable Validate a new
firmware image loaded
onto module
Firmware Signature
Root Certificate Key
(FSRootCert)
RSA 2048-bit public
key
Generated externally;
Hardcoded into
module
Does not exit the
module
Plaintext in
EEPROM
Not Applicable Verify the chain of
certificates provided by
the new firmware
image
DRBG Seed Random bit value Generated internally Does not exit the
module
Plaintext in RAM “Reset” service;
Power cycle;
Switch Approved
Mode
Generate random
values for the
CTR_DRBG
DRBG ‘V’ Value Internal DRBG state
value (integer)
Generated internally Does not exit the
module
Plaintext in RAM “Reset” service;
Power cycle;
Switch Approved
Mode
Internal state value for
the CTR_DRBG
DRBG ‘Key’ Value Internal DRBG state
value (integer)
Generated internally Does not exit the
module
Plaintext in RAM “Reset” service;
Power cycle;
Switch Approved
Mode
Internal state value for
the CTR_DRBG
*The vendor makes no conformance claims to any key derivation function specified in SP 800-135rev1. References to
the TLS key derivation function addressed in SP 800-135rev1 is only listed to clarify the key types supported by ETD.
2.7.5 Encryption Disabled Cryptographic Keys and Critical Security Parameters
The cryptographic keys, key components, and other CSPs used by the module while operating in the Encryption
Disabled Approved Mode are shown in Table 14.
Table 14 – List of Cryptographic Keys, Cryptographic Key Components, and CSPs (Encryption Disabled Mode)
Key Key Type Generation / Input Output Storage Zeroization Use
Dump Encryption
Public Key
(DEPubKey)
RSA 2048-bit public
key
Generated externally;
Hardcoded into
module
Does not exit the
module
Plaintext in
EEPROM
Not Applicable Not used in the
Encryption Disabled
Mode
© Copyright 2013 Oracle Corporation Page 33 of 43
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Key Key Type Generation / Input Output Storage Zeroization Use
Firmware Signature
Public Key
(FSPubKey)
RSA 2048-bit public
key
Generated externally;
Hardcoded into
module
Does not exit the
module
Plaintext in
EEPROM
Not Applicable Validate a new
firmware image loaded
onto module
Firmware Signature
Root Certificate Key
(FSRootCert)
RSA 2048-bit public
key
Generated externally;
Hardcoded into
module
Does not exit the
module
Plaintext in
EEPROM
Not Applicable Verify the chain of
certificates provided by
the new firmware
image
© Copyright 2012 Oracle Corporation
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2.8 EMI/EMC
The StorageTek T10000C Tape Drive conforms 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
The StorageTek T10000C Tape Drive performs the required Integrity Test and
Power-On Self-Tests (POSTs) during initial power-up. On-demand self-tests can
be performed by the “IPL” service available to the CO or by cycling the power of
the module. The module executes conditional self-tests during normal operation
whenever a new random number is generated or whenever new firmware is
loaded. The following sections describe the power-up and conditional self-tests
that are run by the module in each Approved mode.
2.9.1 Integrity Tests
An integrity test is the first operation performed by the StorageTek T10000C
Tape Drive after power has been supplied. The module performs a 32-bit CRC52
on the firmware as its approved integrity technique. Data output is not available
while the integrity test is being performed. If the test passes, the module will
continue on to perform the required Known Answer Tests (KATs) on its
cryptographic algorithms. If the firmware integrity test fails, the module will
remain in its initial boot state and create an unencrypted dump file53
. The CO will
be required to reboot the module in order to resolve the error.
2.9.2 Power-On Self-Tests
POSTs are performed by the ETD when power is applied to the module and after
the integrity test has passed. Data output is not available while the POSTs are
being performed. After the POSTs successfully complete, the module will begin
normal operation. Normal operation may be in one of the three Approve modes
or in the non-Approved mode. The operational status of the module is determined
when the module first boots. If any of the POSTs fail, then the ETD will create
an unencrypted dump file and then continue to reboot.
The following POSTs are performed by the module during every boot-up,
regardless of current operational mode:
• AES ECB KAT
• AES CBC KAT
52
CRC – Cyclic Redundancy Check
53
When operating in the Permanent Encryption or Encryption Enabled Modes, unencrypted data dumps shall be deleted by the
CO after their creation
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• AES CCM KAT (Firmware)
• AES CCM KAT (Hardware)
• AES Key Wrap KAT
• RSA Signature Verification KAT with a 2048-bit precomputed signature
• RSA Encrypt/Decrypt KAT
• SHA-1 KAT
• SHA-1 KAT (TLS)
• HMAC SHA-1 KAT
• HMAC SHA-1 KAT (TLS)
• SP 800-90A CTR DRBG KAT
2.9.3 Conditional Self-Tests
When operating in the Permanent Encryption and Encryption Enabled Approved
Modes, the StorageTek T10000C Tape Drive performs a Continuous Random
Number Generator Test (CRNGT) on the output from the DRBG each time a new
random number is generated. In addition, a CRNGT is performed on the output
from the NDRNG prior to being used as entropy input for the DRBG. If any of
the CRNGTs fail, the module will generate a dump file and attempt to perform the
CRNGT a second time. If the CRNGT passes on the second attempt, the ETD
will encrypt the dump file and then reboot. If the CRNGT fails on the second
attempt, the dump file is discarded and the module will then reboot.
In each of the Approved Modes, a firmware load test is performed on new
firmware being loaded onto the module. Firmware can be loaded onto the module
via the Host Interface or via the Tape Head interface. The ETD uses a 2048-bit
RSA digital signature verification to confirm the integrity of the firmware prior to
being loaded onto the module. If the test passes, the module will reboot and the
new firmware will be used. If the test fails, the new firmware image will be
discarded and the module will resume normal operation. Firmware is unable to be
loaded into the module while operating in the non-Approved Mode.
2.9.4 Critical Functions Tests
When operating in the Permanent Encryption and Encryption Enabled Approved
Modes, critical function self-tests are required by the module when operating the
SP 800-90A CTR DRBG. Critical functions tests are crucial for the proper and
secure operation of the DRBG. These tests will ensure the DRBG always
produces random information.
The StorageTek T10000C Tape Drive performs the following critical function
self-tests:
SP 800-90A DRBG Instantiate Test
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SP 800-90A DRBG Reseed Test
SP 800-90A DRBG Uninstantiate Test
2.10 Mitigation of Other Attacks
This section is not applicable. The module does not claim to mitigate any attacks
beyond the FIPS 140-2 Level 1 requirements for this validation.
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3 SECURE OPERATION
The Oracle StorageTek T10000C Tape Drive meets Level 1 requirements for
FIPS 140-2. This section provides Cryptographic Officer guidance for the proper
use and maintenance of the module. Instructions for placing the module into one
of the three Approved modes are also provided. Operators of the ETD should
read and be familiar with the following Oracle documents prior to configuring and
operating the module.
StorageTek T10000 Tape Drive Operator’s Guide (Part#: E20714-04;
April 2013)
StorageTek Virtual Operator Panel: User’s Guide (Customer Version)
(Part #: E37053-01; September 2012)
Oracle Key Manager: Administration Guide (Part #: E26025-03; January
2011)
Prior to setting up the StorageTek T10000C Tape Drive for first use, the CO shall
use the instructions provided in these guides to install the latest versions of Oracle
Key Manager and the Virtual Operator Panel onto a trusted system. These
external software components are required for setting up the ETD for normal
operation.
3.1 Cryptographic Officer Guidance (First Use)
This section provides instructions on how to place the StorageTek T10000C Tape
Drive into each of the three FIPS-Approved modes after first receiving the drive
from Oracle Corporation. For first-time use, these operations shall be performed
with an Oracle Service Representative present.
3.1.1 Initial Set-Up
Prior to placing the module into one of the three Approved modes, the CO shall
perform the following steps:
1. Install the StorageTek T10000C Tape Drive following the instruction
provided in StorageTek T10000 Tape Drive Installation Guide
2. Examine the hardware part number on the rear label. Confirm it matches the
hardware version number on this Security Policy (Hardware Part #: 7054185)
3. Using VOP, the CO shall check the Version Tab (Retrieve View Drive
Data) to confirm the current firmware version number matches the firmware
version number listed on this Security Policy (Firmware Version: 1.57.308)
4. The CO shall set the drive to an “offline” state (Drive Operations Set
Offline)
3.1.2 Encryption Disabled Approved Mode Set-Up
The StorageTek T10000C Tape Drive is initially delivered to an Oracle customer
with the Encryption Disabled Mode configured. Upon first receiving the ETD,
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the CO shall perform the following steps to ensure the module is operating in the
Encryption Disabled Mode:
1. Follow the steps outlined in Section 3.1.1 (Initial Set-Up)
2. Using VOP, navigate to the “Encrypt” tab in the “Drive Data” window
(Configure Drive Data)
3. Verify that the “Use KMS or DPKM” Field is set to “UNKN”
a. Set the “Use KMS or DPKM” Field to “UNKN” if not previously set
4. Press the “Commit” button
After pressing the “Commit” button, the ETD will reboot to normal operation.
From this point forward, the module will be operating in the Encryption Disabled
Approved Mode.
3.1.3 Encryption Enabled Approved Mode Set-Up
To place the StorageTek T10000C Tape Drive into the Encryption Enabled Mode,
the CO shall perform the following steps:
1. Follow the steps outlined in Section 3.1.1 (Initial Set-Up)
2. Using OKM, the CO shall add the ETD to the OKM cluster
3. Using VOP, navigate to the “Encrypt” tab in the “Drive Data” window
(Configure Drive Data)
4. Set the “Use KMS or DPKM” Field to “KMS”
5. Set the “Permanently encrypting” field to “No”
6. Enter a valid Agent ID, Pass Phrase, and OKM IP Address
7. Press the “Commit” button
After pressing the “Commit” button, the ETD will reboot to normal operation.
From this point forward, the module will be operating in the Encryption Enabled
Approved Mode.
3.1.4 Permanent Encryption Approved Mode Set-Up
To place the StorageTek T10000C Tape Drive into the Permanent Encryption
Mode, the CO shall perform the following steps:
1. Follow the steps outlined in Section 3.1.1 (Initial Set-Up)
2. Using OKM, the CO shall add the ETD to the OKM cluster
8. Using VOP, navigate to the “Encrypt” tab in the “Drive Data” window
(Configure Drive Data)
3. Set the “Use KMS or DPKM” Field to “KMS”
4. Set the “Permanently encrypting” field to “Yes”
5. Enter a valid Agent ID, Pass Phrase, and OKM IP Address
6. Press the “Commit” button
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After pressing the “Commit” button, the ETD will reboot to normal operation.
From this point forward, the module will be operating in the Permanent
Encryption Approved Mode. Once operating in this mode, the module will be
unable to operate in any other Approved or non-Approved modes.
3.2 Cryptographic Officer Guidance (Normal Operation)
This section assumes the StorageTek T10000C Tape Drive has been placed into
one of the three FIPS-Approved modes or the non-Approved Mode. Instructions
on how to place the drive into another mode are provided in this section. The CO
is responsible for placing the ETD into one of the three Approved modes of
operation. An Oracle Service Representative is not required to be present when
switching Approved modes. Switching to one of the defined Approved modes
from the non-FIPS-Approved mode will cause keys generated in the non-
Approved mode to be zeroized.
3.2.1 Switching To Encryption Disabled Approved Mode
The CO can place the module into the Encryption Disabled Mode from the
Encryption Enabled Mode or the non-Approved Mode. The CO shall perform the
following steps to place the module into the Encryption Disabled Mode:
1. Using the “Drive Operations” menu on VOP, reset the ETD54
2. After reboot, use the “Drive Operations” menu to place the drive offline
3. Navigate to the “Encrypt” tab in the “Drive Data” window (Configure
Drive Data)
4. Set the “Turn encryption off” field to “Yes”
5. Press the “Commit” button
After pressing the “Commit” button, the ETD will reboot to normal operation.
From this point forward, the module will be operating in the Encryption Disabled
Approved Mode.
3.2.2 Switching To Encryption Enabled Approved Mode
The CO can place the module into the Encryption Enabled Mode from the
Encryption Disabled Mode. The CO shall perform the following steps to place
the module into the Encryption Enabled Mode:
1. Using the “Drive Operations” menu on VOP, place the drive offline
2. Navigate to the “Encrypt” tab in the “Drive Data” window (Configure
Drive Data)
3. Set the “Use KMS or DPKM” field to “KMS”
4. Set the “Permanently encrypting” field to “No”
5. Enter a valid Agent ID, Pass Phrase, and OKM IP Address
6. Press the “Commit” button
54
Step 1 is not required if the drive is currently operating in the Non-Approved Mode
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After pressing the “Commit” button, the ETD will reboot to normal operation.
From this point forward, the module will be operating in the Encryption Enabled
Approved Mode.
3.2.3 Switching To Permanent Encryption Approved Mode
The CO can place the module into the Permanent Encryption Mode from the
Encryption Disabled Mode or the Encryption Enabled Mode. The CO shall
perform the following steps to place the module into the Permanent Encryption
Mode:
1. Using the “Drive Operations” menu on VOP, reset the ETD55
2. Using “Drive Operations” menu on VOP, place the drive offline
3. Navigate to the “Encrypt” tab in the “Drive Data” window (Configure
Drive Data)
4. Set the “Use KMS or DPKM” field to “KMS”
5. Set the “Permanently encrypting” field to “Yes”
6. Enter a valid Agent ID, Pass Phrase, and OKM IP Address
7. Press the “Commit” button
After pressing the “Commit” button, the ETD will reboot to normal operation.
From this point forward, the module will be operating in the Permanent
Encryption Approved Mode. Once operating in this mode, the module will be
unable to operate in any of the other two Approved modes or the non-Approved
Mode.
3.3 Cryptographic Officer Guidance (Non-Approved Mode)
The StorageTek T10000C Tape Drive is capable of operating in a non-FIPS-
Approved mode of operation. This section provides instructions on how to enable
the non-Approved Mode on first use of the ETD as well as from the Encryption
Enabled and Encryption Disabled Modes. Switching to the non-FIPS-Approved
mode will cause the module to zeroize all CSPs.
3.3.1 Enable non-Approved Mode (First Use)
The CO can place the StorageTek T10000C Tape Drive into the non-Approved
Mode after initially receiving the ETD. The CO shall perform the following
steps:
1. Follow the steps outlined in Section 3.1.1 (Initial Set-Up)
2. Using VOP, navigate to the “Encrypt” tab in the “Drive Data” window
(Configure Drive Data)
3. Set the “Use KMS or DPKM” field to “DPKM”
55
This step is not needed if the drive is currently operating in the Encryption Disabled Mode
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4. Press the “Commit” button
After pressing the “Commit” button, the ETD will reboot to normal operation.
From this point forward, the module will be operating in the non-Approved Mode.
3.3.2 Switching To non-Approved Mode
The CO can place the module into the non-Approved Mode from the Encryption
Disabled Mode. The CO shall perform the following steps to place the module
into the non-Approved Mode:
1. Using “Drive Operations” menu on VOP, reset the ETD
2. After reboot, use the “Drive Operations” menu to place the drive offline
3. Navigate to the “Encrypt” tab in the “Drive Data” window (Configure
Drive Data)
4. Set the “Use KMS or DPKM” field to “DPKM”
5. Set the “Permanently encrypting” field to “UNKN”
6. Press the “Commit” button
After pressing the “Commit” button, the ETD will reboot to normal operation.
From this point forward, the module will be operating in the non-Approved Mode.
3.4 Zeroization
Zeroization of the module’s Critical Security Parameters shall be done under
direct control of the Cryptographic Officer. Zeroization can be accomplished by
the CO performing the Reset service. The module will also perform zeroization
automatically when switching between the Approved modes and to and from the
non-Approved mode.
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4 ACRONYMS
Acronyms used within this document are listed below.
AES Advanced Encryption Standard
AKWK AES Key Wrap Key
CA Certificate Authority
CBC Cipher-Block Chaining
CCM Counter with CBC-MAC
CMVP Cryptographic Module Validation Program
CO Cryptographic Officer
CRC Cyclic Redundancy Check
CRNGT Continuous Random Number Generator Test
CSEC Communications Security Establishment Canada
CSP Critical Security Parameter
CTR Counter
DPKM Data Path Key Management
DRBG Deterministic Random Bit Generator
ECB Electronic Codebook
EEPROM Electronically Erasable Programmable Read-Only
Memory
EMC Electromagnetic Compatibility
EMI Electromagnetic Interference
ETD Encrypting Tape Drive
FC-SB-3 Fibre Channel Single-Byte-3
FCP-3 Fibre Channel Protocol-3
FICON Fibre Connection
FIPS Federal Information Processing Standard
FPGA Field Programmable Gate Array
GUI Graphical User Interface
HMAC (Keyed-) Hash-based Message Authentication Code
Hz Hertz
IP Internet Protocol
IPL Initial Program Load
KAT Known Answer Test
KMA Key Management Appliance
KMS Key Management System
LCD Liquid Crystal Display
LED Light Emitting Diode
MB Megabytes
MD5 Message Digest Algorithm 5
NDRNG Non-Deterministic Random Number Generator
NIST National Institute of Standards and Technology
OKM Oracle Key Manager
PKCS Public Key Cryptography Standards
POST Power-On Self-Test
PRF Pseudo-Random Function
RAM Random Access Memory
RFID Radio Frequency Identification
RJ Registered Jack
RS Recommended Standard
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RSA Rivest, Shamir, Adleman
SCSI Small Computer System Interface
sec Second
SNMP Simple Network Management Protocol
SP Special Publication
SSC-3 SCSI Stream Commands-3
SHA Secure Hash Algorithm
TLS Transport Layer Security
TTI Tape Transport Interface
UNKN Unknown
VAC Volts Alternating Current
VOP Virtual Operator Panel