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Symantec Corporation
Symantec Advanced Secure Gateway
S400 and S500
Models: Symantec Advanced Secure Gateway S400-20, S400-30, S400-
40, S500-10, S500-20
Symantec Advanced Secure Gateway S400 Hardware Versions: 090-03513, 090-03516, 090-03520
Symantec Advanced Secure Gateway S500 Hardware Versions: 090-03527, 090-03531
FIPS Security Kit Version: HW-KIT-FIPS-400, HW-KIT-FIPS-500
Firmware Version: 6.7.2
FIPS 140-2 Non-Proprietary Security Policy
FIPS 140-2 Security Level: 2
Document Version: 0.6
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COPYRIGHT NOTICE
© 2017 Symantec Corporation. All rights reserved. BLUE COAT, ASG, PACKETSHAPER, CACHEFLOW,
INTELLIGENCECENTER, CACHEOS, CACHEPULSE, CROSSBEAM, K9, DRTR, MACH5, PACKETWISE,
POLICYCENTER, PROXYAV, PROXYCLIENT, SGOS, WEBPULSE, SOLERA NETWORKS, DEEPSEE, DS
APPLIANCE, SEE EVERYTHING. KNOW EVERYTHING., SECURITY EMPOWERS BUSINESS, BLUETOUCH, the
Blue Coat shield, K9, and Solera Networks logos and other Blue Coat logos are registered trademarks or trademarks
of Symantec Corporation, or its affiliates in the U.S. and certain other countries. This list may not be complete, and
the absence of a trademark from this list does not mean it is not a trademark of Symantec or that Symantec has
stopped using the trademark. All other trademarks mentioned in this document owned by third parties are the
property of their respective owners. This document is for informational purposes only.
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Table of Contents
1. INTRODUCTION.............................................................................................................................. 6
1.1 PURPOSE.................................................................................................................................. 6
1.2 REFERENCES ............................................................................................................................ 6
1.3 DOCUMENT ORGANIZATION......................................................................................................... 6
2. SYMANTEC ADVANCED SECURE GATEWAY S400 AND S500.................................................... 7
2.1 OVERVIEW ................................................................................................................................ 7
2.2 MODULE SPECIFICATION........................................................................................................... 10
2.3 MODULE INTERFACES............................................................................................................... 12
2.3.1 ASG S400 Appliance .................................................................................................. 12
2.3.2 ASG S500 Appliance .................................................................................................. 14
2.4 ROLES AND SERVICES .............................................................................................................. 18
2.4.1 Crypto-Officer Role..................................................................................................... 19
2.4.2 User Role ................................................................................................................... 22
2.4.3 Authentication Mechanism.......................................................................................... 23
2.5 PHYSICAL SECURITY ................................................................................................................ 25
2.6 NON-MODIFIABLE OPERATIONAL ENVIRONMENT.......................................................................... 25
2.7 CRYPTOGRAPHIC KEY MANAGEMENT ......................................................................................... 26
2.8 SELF-TESTS............................................................................................................................ 36
2.8.1 Power-Up Self-Tests................................................................................................... 36
2.8.2 Conditional Self-Tests................................................................................................. 37
2.8.3 Critical Function Tests ................................................................................................ 37
2.9 MITIGATION OF OTHER ATTACKS ............................................................................................... 37
3. SECURE OPERATION................................................................................................................... 38
3.1 INITIAL SETUP FOR ASG S400 APPLIANCE ................................................................................. 38
3.1.1 ASG S400 Label and Baffle Installation Instructions .................................................... 38
3.1.1.1 ASG S400 Shutter Installation............................................................................. 40
3.1.1.2 ASG S400 Label Application ............................................................................... 42
3.2 INITIAL SETUP FOR ASG S500 APPLIANCE ................................................................................. 46
3.2.1 ASG S500 Label and Baffle Installation Instructions .................................................... 47
3.2.1.1 ASG S500 Shutter Installation............................................................................. 48
3.2.1.2 ASG S500 Label Application ............................................................................... 50
3.3 SECURE MANAGEMENT ............................................................................................................ 54
3.3.1 Initialization................................................................................................................. 54
3.3.2 Management............................................................................................................... 56
3.3.3 Zeroization.................................................................................................................. 56
3.4 USER GUIDANCE...................................................................................................................... 57
4. ACRONYMS .................................................................................................................................. 58
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List of Figures
FIGURE 1 ADVANCED SECURE GATEWAY DEPLOYMENT EXAMPLE..................................................................9
FIGURE 2 ASG S400 (FRONT VIEW)......................................................................................................... 11
FIGURE 3 ASG S500 (FRONT VIEW)......................................................................................................... 11
FIGURE 4 CONNECTION PORTS AT THE FRONT OF THE ASG S400............................................................... 12
FIGURE 5 CONNECTION PORTS AT THE REAR OF THE ASG S400................................................................. 13
FIGURE 6 CONNECTION PORTS AT THE FRONT OF THE ASG S500............................................................... 15
FIGURE 7 CONNECTION PORTS AT THE REAR OF THE ASG S500................................................................. 16
FIGURE 8 ASG S400 FIPS SECURITY KIT CONTENTS ................................................................................ 38
FIGURE 9 ASG S400 SHUTTER DISASSEMBLY ........................................................................................... 40
FIGURE 10 ASG S400 LOWER SHUTTER INSTALLATION.............................................................................. 40
FIGURE 11 ASG S400 UPPER SHUTTER INSTALLATION .............................................................................. 41
FIGURE 12 ASG S400 LABELS SHOWING TAMPER EVIDENCE...................................................................... 42
FIGURE 13 ASG S400 REAR EDGE LABEL INSTALLATION............................................................................ 43
FIGURE 14 ASG S400 POWER SUPPLY LABEL INSTALLATION...................................................................... 44
FIGURE 15 ASG S400 TOP BEZEL AND COVER LABEL INSTALLATION ........................................................... 45
FIGURE 16 ASG S500 FIPS SECURITY KIT CONTENTS .............................................................................. 46
FIGURE 17 ASG S500 SHUTTER DISASSEMBLY ......................................................................................... 48
FIGURE 18 ASG S500 LOWER SHUTTER INSTALLATION.............................................................................. 48
FIGURE 19 ASG S500 UPPER SHUTTER INSTALLATION .............................................................................. 49
FIGURE 20 ASG S500 LABELS SHOWING TAMPER EVIDENCE...................................................................... 50
FIGURE 21 ASG S500 REAR EDGE LABEL INSTALLATION............................................................................ 51
FIGURE 22 ASG S500 POWER SUPPLY LABEL INSTALLATION...................................................................... 52
FIGURE 23 ASG S500 TOP BEZEL AND COVER LABEL INSTALLATION ........................................................... 53
FIGURE 24 KEYRING CREATION MANAGEMENT CONSOLE DIALOGUE BOX ..................................................... 56
FIGURE 25 KEYRING CREATION CLI COMMANDS ........................................................................................ 56
List of Tables
TABLE 1 SECURITY LEVEL PER FIPS 140-2 SECTION....................................................................................9
TABLE 2 ADVANCED SECURE GATEWAY APPLIANCE CONFIGURATIONS ......................................................... 10
TABLE 3 FIPS 140-2 LOGICAL INTERFACE MAPPINGS FOR THE FRONT OF THE ASG S400.............................. 12
TABLE 4 FRONT PANEL LED STATUS INDICATIONS FOR THE ASG S400 ....................................................... 13
TABLE 5 FIPS 140-2 LOGICAL INTERFACE MAPPINGS FOR THE REAR OF THE ASG S400 ............................... 14
TABLE 6 REAR PANEL LED STATUS INDICATIONS FOR THE ASG S400......................................................... 14
TABLE 7 FIPS 140-2 LOGICAL INTERFACE MAPPINGS FOR THE FRONT OF THE ASG S500.............................. 15
TABLE 8 FRONT PANEL LED STATUS INDICATIONS FOR THE ASG S500 ....................................................... 15
TABLE 9 FIPS 140-2 LOGICAL INTERFACE MAPPINGS FOR THE REAR OF THE ASG S500 ............................... 16
TABLE 10 REAR PANEL LED STATUS INDICATIONS FOR THE ASG S500....................................................... 17
TABLE 11 FIPS AND ASG ROLES ............................................................................................................. 18
TABLE 12 CRYPTO OFFICER ROLE SERVICES AND CSP ACCESS ................................................................. 19
TABLE 13 USER SERVICES AND CSP ACCESS ........................................................................................... 22
TABLE 14 NON-APPROVED SERVICES AND DESCRIPTION ............................................................................ 23
TABLE 15 AUTHENTICATION MECHANISMS USED BY THE MODULE ................................................................ 24
TABLE 16 FIPS-APPROVED ALGORITHM IMPLEMENTATIONS FOR CRYPTO LIBRARY VERSION 4.1.1.................. 26
TABLE 17 FIPS-APPROVED ALGORITHM IMPLEMENTATIONS FOR UEFI OS LOADER VERSION 4.14.................. 27
TABLE 18 FIPS-APPROVED ALGORITHM IMPLEMENTATIONS FOR TLS LIBRARY VERSION 4.1.1........................ 27
TABLE 19 FIPS-APPROVED ALGORITHM IMPLEMENTATIONS FOR SSH LIBRARY VERSION 7.2_2...................... 27
TABLE 20 FIPS-APPROVED ALGORITHM IMPLEMENTATIONS FOR SNMP LIBRARY VERSION 5.7.2_1................ 28
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TABLE 21 FIPS-APPROVED ALGORITHM IMPLEMENTATIONS FOR FIRMWARE LOAD LIBRARY V1.0.................... 28
TABLE 22 FIPS-ALLOWED ALGORITHMS.................................................................................................... 28
TABLE 23 NON-APPROVED ALGORITHMS................................................................................................... 29
TABLE 24 LIST OF CRYPTOGRAPHIC KEYS, CRYPTOGRAPHIC KEY COMPONENTS, AND CSPS ......................... 30
TABLE 25 RS-232 PARAMETERS .............................................................................................................. 54
TABLE 26 ACRONYMS.............................................................................................................................. 58
Security Policy Symantec ASG S400 and S500
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1. Introduction
1.1 Purpose
This is a Non-Proprietary Cryptographic Module Security Policy for the Symantec Advanced Secure
Gateway S400 and S500 appliances (Firmware Version 6.7.2; Models: Symantec ASG S400-20,
Symantec ASG S400-30, Symantec ASG S400-40, Symantec ASG S500-10, and Symantec ASG S500-
20) from Symantec Corporation. This Non-Proprietary Security Policy describes how the Symantec
Advanced Secure Gateway S400 and Advanced Secure Gateway S500 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 (CSE) Cryptographic Module Validation Program
(CMVP) website at http://csrc.nist.gov/groups/STM/cmvp.
This document also describes how to run the appliance in the Approved mode of operation. This policy
was prepared as part of the Level 2 validation of the module. The Symantec Advanced Secure Gateway
S400 and Symantec Advanced Secure Gateway S500 is referred to in this document as Advanced
Secure Gateway, ASG, S400 and S500, crypto module, or 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 Symantec website (www.symantec.com) contains information on the full line of products from
Symantec.
 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 Non-Proprietary 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 Model document
 Submission Summary document
 Other supporting documentation as additional references
With the exception of this Non-Proprietary Security Policy, the FIPS 140-2 Submission Package is
proprietary to Symantec and is releasable only under appropriate non-disclosure agreements. For access
to these documents, please contact Symantec.
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2. Symantec Advanced Secure Gateway
S400 and S500
2.1 Overview
The Symantec Advanced Secure Gateway (ASG) combines the functionality of Symantec’s industry-
leading Secure Web Gateway, ProxySG, with the intelligence of the Content Analysis System (CAS) to
offer a single, powerful web security solution that delivers world-class threat protection. The Advanced
Secure Gateway is a scalable proxy designed to secure web communications and accelerate business
applications. The Gateway’s unique proxy architecture allows it to effectively monitor, control and secure
traffic to ensure a safe web (cloud) experience.
The Advanced Secure Gateway appliances establish points of control that accelerate and secure business
applications for users across the distributed organization. ASG serves as an Internet proxy and wide area
network (WAN) optimizer. The purpose of the appliances is to provide a layer of security between an Internal
and External Network (typically an office network and the Internet), to provide acceleration and compression
of transmitted data, and to provide advanced threat protection for users and IT infrastructure.
The Advanced Secure Gateway is a powerful yet flexible tool for improving both application performance
and security, removing the need for compromise:
 Security: Symantec’s industry leading security architecture addresses a wide range of requirements,
including filtering Web content, preventing spyware and other malicious mobile code, scanning for
viruses, inspecting encrypted Secure Sockets Layer (SSL) traffic, and controlling instant messaging
(IM), Voice-over-IP (VoIP), peer-to-peer (P2P), and streaming traffic.
 Control: Symantec’s patented Policy Processing Engine empowers administrators to make intelligent
decisions. Using a wide range of attributes such as user, application, content and others,
organizations can effectively align security and performance policies with corporate priorities.
 Advanced Threat Protection (ATP): ASG provides content and malware analysis to detect known
attacks, zero-day threats, and other advanced persistent threats. Unlike other ATP solutions,
information derived during content and malware analysis is used in real time to update policies so that
future instances of malware are blocked at the gateway. ATP features include malware:
o Malware and Antivirus scanning – ASG supports McAfee, Sophos, and Kaspersky Antivirus
engines and virus signature databases. Up to two of these can be used at the same time.
o File Reputation Service – ASG computes and compares file hashes with Symantec’s cloud-
based file reputation classification service. Depending on the trust score, files are then either
blocked if the score is high, passed to the user as safe if the score is low, or processing
continues with Antivirus scanning if the score is between the configured thresholds.
o Manual File Blacklist and Whitelist – Files can be added to a list of manually defined file
hashes to either allow or deny those files without further processing.
o The Cylance INFINITY ENGINE adds predictive file analysis to deliver unparalleled filtering
and attack identification. The Cylance predictive model is used to classify files as good,
unsafe or abnormal; it correlates a file’s characteristics with the features found in millions of
good and bad samples to detect known, as well as unknown and zero-day attacks.
o Cached Responses – When malware is found, ASG updates a local cache to avoid having to
scan the same file on subsequent requests.
 Content Acceleration and Optimization: ASG performs caching, acceleration, and optimization of a
wide variety of popular and important protocols and content streaming standards. The controlled
protocols implemented in the tested configurations are:
o Common Internet File System (CIFS) Acceleration
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o Windows Media Optimization (Microsoft Media Streaming (MMS)
o Microsoft Smooth Streaming Optimization
o Real Media Optimization
o Real-Time Streaming Protocol (RTSP) Optimization
o Real-Time Messaging Protocol (RTMP) Optimization
o QuickTime Optimization (Apple HTTP Live Streaming)
o Hypertext Transfer Protocol (HTTP)/Secure Hypertext Transfer Protocol (HTTPS)
Acceleration
o File Transfer Protocol (FTP) Acceleration
o Secure Sockets Layer (SSL) Acceleration
o SSL Termination/Proxy
o IMAP1
Acceleration
o POP2
Acceleration
o SMTP3
Acceleration
o Messaging Application Programming Interface (MAPI) Acceleration
o Instant Messaging (AOL4
, Yahoo, MSN5
)
o TCP6
tunneling protocols (Secure Shell (SSH))
o Secure Shell
o Telnet Proxy
o ICAP Services
o Netegrity SiteMinder
o Oblix COREid
o Peer-To-Peer
o User Authentication
o Onbox Content Filtering (3rd
Party or BCWF7
)
o SOCKS8
o Bandwidth Management
o DNS9
proxy
o Advanced DNS Access Policies
The security provided by the ASG can be used to control, protect, and monitor the Internal Network’s use
of controlled protocols on the External Network. Access control is achieved by enforcing configurable
policies on controlled protocol traffic to and from the Internal Network users. The policy may include
authentication, authorization, content filtering, and auditing. In addition, the ASG provides optimization of
data transfer between ProxySG or ASG nodes on a WAN using its Application Delivery Network (ADN)
technology. Protection is achieved by on-board malware and antivirus scanning of policy-designated
inbound traffic, and integration of threat intelligence into the traffic and session management.
Optimization is achieved by enforcing a configurable policy on traffic traversing the WAN. Additionally, the
ASG offers network traffic acceleration by using the AES-NI feature10
of the Intel processor.
1
IMAP – Internet Message Access Protocol
2
POP3 – Post Office Protocol version 3
3
SMTP – Simple Mail Transfer Protocol
4
AOL – America Online
5
MSN – The Microsoft Network
6
TCP – Transmission Control Protocol
7
BCWF – Blue Coat Web Filter
8
SOCKS – SOCKet Secure
9
DNS – Domain Name Service
10
The AES-NI feature is always enabled.
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Figure 1 Advanced Secure Gateway Deployment Example
In a typical deployment scenario, one or more Advanced Secure Gateways are placed at the perimeter of
the enterprise corporate headquarters and large regional offices to protect the enterprise users within the
organization. The ASG Appliances proxy all outbound traffic, protecting internal users and computing
assets against external threats. Scanning and Analysis of all inbound traffic streams means malicious
content never makes it to enterprise servers or endpoints. Threats are stopped at the perimeter, where
enterprise assets can best be arrayed to mount a coordinated defense.
The ASG appliance may be deployed in conjunction with other Symantec products and services to
enhance perimeter security. For example, ASG communicates with the Symantec Web Pulse Cloud
Service to both send and receive updates about emerging threats.
In addition to the built-in threat detection through CAS, traffic can be sent off-appliance to 3rd
party content
analysis systems. This approach allows customers to pick best-of-breed solutions and deploy the solutions
that work best for their specific threat model.
The Advanced Secure Gateway S400 and S500 is validated at the following FIPS 140-2 Section levels in
Table 1.
Table 1 Security Level per FIPS 140-2 Section
Section Section Title Level
1 Cryptographic Module Specification 2
2 Cryptographic Module Ports and Interfaces 2
3 Roles, Services, and Authentication 2
4 Finite State Model 2
5 Physical Security 2
6 Operational Environment N/A
7 Cryptographic Key Management 2
8 Electromagnetic Interference/Electromagnetic Compatibility 2
9 Self-tests 2
10 Design Assurance 3
11 Mitigation of Other Attacks N/A
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2.2 Module Specification
For the FIPS 140-2 validation, the crypto module was tested on the following Symantec appliance
configurations listed in Table 2.
Table 2 Advanced Secure Gateway Appliance Configurations
Appliance Type Hardware Version Model SKU / Short Description
Hardware Appliance
090-03513 ASG-S400-20 ASG-S400-20
090-03516 ASG-S400-30 ASG-S400-30
090-03520 ASG-S400-40 ASG-S400-40
090-03527 ASG-S500-10 ASG-S500-10
090-03531 ASG-S500-20 ASG-S500-20
The Crypto Officer and User services of the module are identical for all hardware versions.
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S500
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The ASG S400 offers an affordable rack-mountable appliance solution for small enterprises and branch
offices that have direct access to the Internet.
The front panel of the S400 appliance has 1 Liquid Crystal Display (LCD), two Light Emitting Diodes
(LEDs), and 6 control buttons (NOTE: the front panel control buttons are disabled when configured for
Approved mode of operation). Connection ports are at the rear, as shown in Figure 5 below.
Figure 2 ASG S400 (Front View)
The ASG S500 offers an affordable rack-mountable appliance solution for small enterprises and branch
offices that have direct access to the Internet.
The front panel of the S500 appliance has 1 Liquid Crystal Display (LCD), two Light Emitting Diodes
(LEDs), and 6 control buttons (NOTE: the front panel control buttons are disabled when configured for
Approved mode of operation). Connection ports are at the rear, as shown in Figure 7 below.
Figure 3 ASG S500 (Front View)
For the FIPS 140-2 validation, the module was tested on the following appliance configurations:
 ASG S400-20
 ASG S400-30
 ASG S400-40
 ASG S500-10
 ASG S500-20
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The Advanced Secure Gateway is a module with a Multi-chip Standalone embodiment. The overall
security level of the module is 2. The cryptographic boundary of the Advanced Secure Gateway is defined
by the appliance chassis, which surrounds all the hardware and firmware. The module firmware,
version6.7.2, contains the following cryptographic libraries:
 ASG Cryptographic Library version 4.1.4
 ASG UEFI OS Loader version 4.14
 ASG TLS Library version 4.1.4
 ASG SSH Library version 7.2_2
 ASG SNMP Library version 5.7.2_1
 ASG Firmware Load Library v1.0
2.3 Module Interfaces
The module’s physical ports can be categorized into the following logical interfaces defined by FIPS 140-
2:
 Data input
 Data output
 Control input
 Status output
2.3.1 Symantec ASG S400 Appliance
The front panel of the ASG S400 (as shown below in Figure 4) has a Liquid Crystal Display (LCD), two
Light Emitting Diodes (LEDs), and six control buttons. The control buttons on the front panel are disabled
once the module is configured for its Approved mode of operation.
Figure 4 Connection Ports at the Front of the ASG S400
The type and quantity of all ports present in the front panel of the ASG S400 are given in Table 3.
Table 3 FIPS 140-2 Logical Interface Mappings for the front of the ASG S400
Physical Port / Interface Quantity FIPS 140-2 Interface
LEDs 2 Status Output
LCD 1 Status Output
Control Buttons 6 N/A (buttons are disabled)
USB 2.0 Port 1 N/A (port is disabled)
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The status indications provided by the LEDs on the front of the ASG S400 is described in Table 4.
Table 4 Front Panel LED Status Indications for the ASG S400
LED Color Definition
Power LED
OFF The appliance is powered off
AMBER
The appliance is booting and the OS load
is not yet complete.
FLASHING GREEN TO AMBER
The OS has been loaded but has not been
configured.
GREEN
The OS has loaded and is properly
configured.
System LED
OFF
The appliance has not determined the
system status
GREEN Healthy
AMBER Warning
FLASHING AMBER Critical Warning
The rear of the ASG S400 is shown in Figure 5.
Figure 5 Connection Ports at the Rear of the ASG S400
The rear side of the ASG S400 (shown in Figure 5) contains all the connecting ports. Those ports are:
 Two AC power connectors
 A serial port to connect to a Personal Computer (PC) for management
 (2) Dual port, bypass-capable 10/100/1000 Base T Ethernet adapter ports
 One onboard, non-bypass 10/100/1000 Base T Ethernet adapter port for system management11
 One onboard, non-bypass 10/100/1000 Base T Ethernet adapter port
 One onboard 10/100 Base T BMC management port (disabled/for internal use only)
 Two expansion slots12
11
The port can be used to access all functionality provided by the module. However, it is the preferred port for management.
12
Optional NICs are not included in the validation.
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S500
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The type and quantity of all ports present in rear panel of the ASG S400 are given in Table 5.
Table 5 FIPS 140-2 Logical Interface Mappings for the rear of the ASG S400
Physical Port / Interface Quantity FIPS 140-2 Interface
Ethernet Ports 3
Data Input
Data Output
Control Input
Status Output
System Management port13
1
Data Input
Data Output
Control Input
Status Output
BMC14
Management Port 1 N/A (port is disabled)
Serial ports 1
Control Input
Status Output
Ethernet Interface – Speed LEDs 4 Status Output
Ethernet Interface – Activity LEDs 4 Status Output
AC Power 2 Power Input
Soft Power Switch 1 Control Input
The status indications provided by the LEDs on the rear of the ASG S400 are described in Table 6.
Table 6 Rear Panel LED Status Indications for the ASG S400
LED Color Definition
AC power
connection LED
OFF The module is not receiving power.
GREEN The module is receiving power.
Ethernet Interface –
Activity LEDs
OFF No link is present.
GREEN Link is present
FLASHING GREEN Link activity.
Ethernet Interface –
Speed LEDs
OFF 10 Mbps speed connection is present.
GREEN 100 Mbps speed connection is present.
AMBER 1000 Mbps speed connection is present.
ID LED OFF Not supported in ASG
2.3.2 Symantec ASG S500 Appliance
The front panel of the ASG S500 (as shown below in Figure 6) has a Liquid Crystal Display (LCD), two
Light Emitting Diodes (LEDs), and six control buttons. The control buttons on the front panel are disabled
once the module is configured for its Approved mode of operation.
13
The port can be used to access all functionality provided by the module. However, it is the preferred port for management.
14
BMC – Base Management Controller
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Figure 6 Connection Ports at the Front of the ASG S500
The type and quantity of all ports present in the front panel of the ASG S500 are given in Table 7.
Table 7 FIPS 140-2 Logical Interface Mappings for the front of the ASG S500
Physical Port / Interface Quantity FIPS 140-2 Interface
LEDs 2 Status Output
LCD 1 Status Output
Control Buttons 6 N/A (buttons are disabled)
USB 2.0 Port 1 N/A (port is disabled)
The status indications provided by the LEDs on the ASG S500 are described in Table 8.
Table 8 Front Panel LED Status Indications for the ASG S500
LED Color Definition
Power LED
OFF The appliance is powered off
AMBER
The appliance is booting and the OS load is not
yet complete.
FLASHING GREEN TO AMBER
The OS has been loaded but has not been
configured.
GREEN The OS has loaded and is properly configured.
System LED
OFF
The appliance has not determined the system
status
GREEN Healthy
AMBER Warning
FLASHING AMBER Critical Warning
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The rear of the ASG S500 is shown in Figure 7.
Figure 7 Connection Ports at the Rear of the ASG S500
The rear side of the ASG S500 (shown in Figure 7) contains all the connecting ports. Those ports are:
 Two AC power connectors.
 A serial port to connect to a Personal Computer (PC) for management.
 (2) dual port 10G Base T Ethernet NICs
 One onboard, non-bypass 10/100/1000 Base T Ethernet adapter port for system
management15
 One onboard 10/100/1000 Base T BMC management port (disabled/for internal use only)
 Five expansion slots16
 USB 2.0 port (disabled)
The type and quantity of all ports present in rear panel of the ASG S500 are given in Table 9.
Table 9 FIPS 140-2 Logical Interface Mappings for the rear of the ASG S500
Physical Port / Interface Quantity FIPS 140-2 Interface
Ethernet Ports 4
Data Input
Data Output
Control Input
Status Output
System Management port17
1
Data Input
Data Output
Control Input
Status Output
BMC18
Management Port 1 N/A (port is disabled)
Serial ports 1
Control Input
Status Output
Ethernet Interface – Speed LEDs 5 Status Output
Ethernet Interface – Activity LEDs 5 Status Output
AC Power 2 Power Input
Soft Power Switch 1 Control Input
USB 2.0 Port 1 N/A (port is disabled)
15
The port can be used to access all functionality provided by the module. However, it is the preferred port for management.
16
Optional NICs are not included in the validation.
17
The port can be used to access all functionality provided by the module. However, it is the preferred port for management.
18
BMC – Base Management Controller
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The status indications provided by the LEDs on the rear of the ASG S500 are described in Table 10.
Table 10 Rear Panel LED Status Indications for the ASG S500
LED Color Definition
AC power
connection LED
OFF The module is not receiving power.
GREEN The module is receiving power.
Ethernet Interface –
Activity LEDs
OFF No link is present.
GREEN Link is present
FLASHING GREEN Link activity.
Ethernet Interface –
Speed LEDs
OFF 10 Mbps speed connection is present.
GREEN 100 Mbps speed connection is present.
AMBER 1000 Mbps speed connection is present.
ID LED OFF Not supported in ASG
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2.4 Roles and Services
Before accessing the modules for any administrative services, COs and Users must authenticate to the
module according to the methods specified in Table 15. The modules offer two management interfaces:
 Command Line Interface (CLI): Accessible locally via the serial port (provides access to the Setup
Console portion of the CLI which requires the additional “Setup” password to gain access) or
remotely using SSH. This interface is used for management of the modules. This interface must be
accessed locally via the serial port to perform the initial module configurations (IP address, DNS
server, gateway, and subnet mask) and placing the modules into the Approved mode. When the
module has been properly configured, this interface can be accessed via SSH. Management of the
module may take place via SSH or locally via the serial port. Authentication is required before any
functionality will be available through the CLI.
 Management Console (MC): A graphical user interface accessible remotely with a web browser
that supports TLS. This interface is used for management of the modules. Authentication is required
before any functionality will be available through the Management Console
When managing the module over the CLI, COs and Users both log into the modules with administrator
accounts entering the “standard”, or “unprivileged” mode on the ASG. Unlike Users, COs have the ability
to enter the “enabled” or “privileged” mode after initial authentication to the CLI by supplying the “enabled”
mode password. Additionally, COs can only enter the “configuration” mode from the “enabled” mode via
the CLI, which grants privileges to make configuration level changes. Going from the “enabled” mode to
the “configuration” mode does not require additional credentials. The details of these modes of operation
are found below in Table 11.
Table 11 FIPS and ASG Roles
FIPS Roles ASG Roles and Privileges
CO  The CO is an administrator of the module that has been
granted “enabled” mode access while using the CLI and
“read/write” access while using the Management Console.
 When the CO is using the CLI, and while in the “enabled”
mode of operation, COs may put the module in its Approved
mode, reset to the factory state (local serial port only) and
query if the module is in Approved mode. In addition, COs
may do all the services available to Users while not in
“enabled” mode.
 Once the CO has entered the “enabled” mode, the CO may
then enter the “configuration” mode via the CLI. The
“configuration” mode provides the CO management
capabilities to perform tasks such as account management
and key management.
 When the CO is administering the module over the
Management Console, they can perform all the same
services available in CLI (equivalent to being in the
“configuration” mode in the CLI) except the CO is unable to
put the module into Approved mode.
User  The User is an administrator of the module that operates only in
the “standard” or “unprivileged” mode and has not been granted
access to the “enabled” mode in the CLI, and has been given
“read-only” privileges when using the Management Console.
 The User may access the CLI and Management Console for
management of the module. When the User is administering the
module over the Management Console, they perform all the
same services available in CLI (“standard” mode only services).
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Descriptions of the services available to a Crypto Officer (CO) and Users are described below in Table 12
and Table 13 respectively. For each service listed below, COs and Users are assumed to already have
authenticated prior to attempting to execute the service. Please note that the keys and CSPs listed in the
table indicate the type of access required using the following notation:
 R: The CSP is read
 W: The CSP is established, generated, modified, or zeroized
 X: Execute: The CSP is used within an Approved or Allowed security function or authentication
mechanism.
2.4.1 Crypto-Officer Role
Descriptions of the FIPS 140-2 relevant services available to the Crypto-Officer role are provided in Table
12 below. Additional services are that do not access CSPs can be found in the following documents:
 Symantec SGOS Proxy Administration Guide, Version 6.7.x
 Symantec SGOS Proxy Visual Policy Manager Reference, Version 6.7.x
 Symantec SGOS Proxy Content Policy Language Reference, Version 6.7.x
 Symantec SGOS Command Line Interface Reference, Version 6.7.x
 Symantec Advanced Secure Gateway Content Analysis Webguide
Table 12 Crypto Officer Role Services and CSP Access
SERVICE DESCRIPTION CSP AND ACCESS REQUIRED
Set up the module
(serial port only)
Set up the first-time network configuration,
CO username and password, and enable
the module in the Approved mode of
operation. For more information, see
section 3.3.1 in this Security Policy.
CO Password : W
“Enabled” mode password: W
“Setup” Password: W
Enter the “enabled” mode
(CLI)
Manage the module in the “enabled” mode
of operation, granting access to higher
privileged commands
“Enabled” mode password: RX
* Enter the “configuration”
mode (CLI)
Manage the module in the “configuration”
mode of operation, allowing permanent
system modifications to be made
None
* Disable FIPS mode
(serial port only)
Take the module out of the approved mode
of operation and restore it to a factory state
MEK: W
SSH Session Key: W
SSH Authentication Key: W
TLS Session Key: W
TLS Authentication Key: W
DRBG CSPs: W
Setup Password: R
** Firmware Load Loads new external firmware and performs
an integrity test using an RSA digital
signature.
Integrity Test public key: WRX
Create remote
management session
(CLI)
Manage the module through the CLI (SSH)
remotely via Ethernet port.
RSA public key: RX
RSA private key: RX
DH public key: WRX
DH private key: WRX
ECDH public key: WRX
ECDH private key: WRX
SSH Session Key: WRX
SSH Authentication Key: WRX
DRBG CSPs: WRX
MEK: RX
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SERVICE DESCRIPTION CSP AND ACCESS REQUIRED
Create remote
management session
(MC)
Manage the module through the
Management Console (TLS) remotely via
Ethernet port, with optional CAC
authentication enabled.
RSA public key: RX
RSA private key: RX
DH public key: WRX
DH private key: WRX
ECDH public key: WRX
ECDH private key: WRX
TLS Session Key: WRX
TLS Authentication Key: WRX
DRBG CSPs: WRX
MEK: RX
** Create, edit, and delete
operator groups
Create, edit and delete operator groups;
define common sets of operator
permissions.
None
** Create, edit, and delete
operators
Create, edit and delete operators (these
may be COs or Users); define operator’s
accounts, change password, and assign
permissions.
Crypto-Officer Password: W
User Password: W
MEK: RX
** Create filter rules (CLI) Create filters that are applied to user data
streams.
None
Create filter rules (MC) Create filters that are applied to user data
streams.
None
Modify Scan Parameters
(MC)
 Define File Type Policy
 Set Antivirus scanning options
 Configure static analysis for
malware
 Configure file reputation service
(whitelisting)
None
View Threat Analysis
Results (MC)
 Email reports based on threat
activity
 View Cache hits
 View Static Analysis Report
 View File Reputation Report
 View Whitelist/Blacklist Reports
 View system Logs
None
Show FIPS-mode status
(CLI)
The CO logs in to the module using the
CLI. Entering the command “show version”
will display if the module is configured in
Approved mode.
None
Show FIPS-mode status
(MC)
The CO logs in to the module using the
Management Console and navigates to the
“Configuration” tab that will display if the
module is configured in Approved mode.
None
** Manage module
configuration
Backup or restore the module configuration RSA public key: WRX
RSA private key: WRX
CO Password: WRX
User Password: WRX
“Enabled” mode password: WRX
MEK: RX
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SERVICE DESCRIPTION CSP AND ACCESS REQUIRED
* Zeroize keys
(serial port only)
Zeroize keys by taking the module out of
the Approved mode and restoring it to a
factory state. This will zeroize all CSPs.
The zeroization occurs while the module is
still in Approved-mode.
MEK: W
SSH Session Key: W
SSH Authentication Key: W
TLS Session Key: W
TLS Authentication Key: W
RSA private key: W
DH private key: W
ECDH private key: W
CO and User Passwords: W
Setup Password: W
Enabled Mode Password: W
** Change password Change Crypto-Officer password Crypto-Officer Password: W
MEK: RX
* Perform self-test Perform self-test on demand by rebooting
the machine
SSH Session Key: W
SSH Authentication Key: W
TLS Session Key: W
TLS Authentication Key: W
MEK: RX
* Reboot the module Reboot the module. DH public key: W
DH private key: W
ECDH public key: W
ECDH private key: W
SSH Session Key: W
SSH Authentication Key: W
TLS Session Key: W
TLS Authentication Key: W
DRBG CSPs: W
MEK: RX
* - Indicates services that are only available once the CO has entered the “enabled” mode of operation.
** - Indicates services that are only available once the CO has entered the “enabled” mode followed by the
“configuration” mode of operation.
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2.4.2 User Role
Descriptions of the FIPS 140-2 relevant services available to the User role are provided in Table 13
below. Additional services are that do not access CSPs can be found in the following documents:
 Symantec SGOS Proxy Administration Guide, Version 6.7.x
 Symantec SGOS Proxy Visual Policy Manager Reference, Version 6.7.x
 Symantec SGOS Proxy Content Policy Language Reference, Version 6.7.x
 Symantec SGOS Command Line Interface Reference, Version 6.7.x
 Symantec Advanced Secure Gateway Content Analysis Webguide
Table 13 User Services and CSP Access
SERVICE DESCRIPTION CSP AND ACCESS REQUIRED
Create remote
management session
(CLI)
Manage the module through the CLI (SSH)
remotely via Ethernet port.
RSA public key: RX
RSA private key: RX
DH public key: RX
DH private key: RX
ECDH public key: RX
ECDH private key: RX
SSH Session Key: WRX
SSH Authentication Key: WRX
DRBG CSPs: WRX
MEK: RX
Create remote
management session
(MC)
Manage the module through the
Management Console (TLS) remotely via
Ethernet port, with optional CAC
authentication enabled.
RSA public key: RX
RSA private key: RX
DH public key: RX
DH private key: RX
ECDH public key: RX
ECDH private key: RX
TLS Session Key: WRX
TLS Authentication Key: WRX
DRBG CSPs: WRX
MEK: RX
Show FIPS-mode status
(MC)
The User logs in to the module using the
Management Console and navigates to the
“Configuration” which will display if the
module is configured in Approved mode.
None
Show FIPS-mode status
(CLI)
The User logs in to the module using the
CLI. Entering the command “show version”
will display if the module is configured in
Approved mode.
None
The CO and User roles may monitor the health and status of the modules using SNMPv3. SNMPv3 privacy
and authentication keys must be generated by an external application as the module is not capable of
generating the keys internally. The keys are not tied to the CO’s CLI and Management Console credentials.
No security is claimed from the use of the SNMPv3 protocol in the module. Keys and CSPs encrypted using
a SNMP are considered in plaintext form.
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Table 14 Non-Approved Services and Description
SERVICE DESCRIPTION
Import, replace, and delete
SNMP keys
Create, edit and delete operators (these may be COs or Users); define
operator’s accounts, change password, and assign permissions.
Create SNMPv3 session CO/User monitor the module using SNMPv3
2.4.3 Authentication Mechanism
The module supports role-based authentication. COs and Users must authenticate using a user ID and
password, SSH client key (SSH only), or certificates associated with the correct protocol in order to set up
the secure session. Secure sessions that authenticate Users have no interface available to access other
services (such as Crypto Officer services). Each CO or User SSH session remains active (logged in) and
secured until the operator logs out. Each CO and User Management Console session remains active until
the operator logs out or inactivity for a configurable amount of time has elapsed.
Modules used by the United States Department of Defense (DoD) must meet Homeland Security
Presidential Directive (HSPD)-12 requirements regarding the use of FIPS 201 validated Common Access
Card (CAC) authentication for COs and Users connecting to management functionality of the module.
Additionally, other agencies may require FIPS 201 validated PIV19
II card authentication.
When the module is configured to use CAC authentication, it will implement specially configured CPL during
administrator authentication in order to facilitate TLS mutual authentication. This is accomplished by
modifying the HTTPS-Console service so that it can be configured to validate a client certificate against a
chosen certificate authority (CA) list. CAC authentication will take place against a Certificate realm, and CO
and User authorization takes place against an LDAP realm.
The authentication procedure leverages 3rd
party middleware on the management workstation in order to
facilitate two factor authentication of the user to their CAC using a Personal Identification Number (PIN).
This process enables the module to retrieve the X.509 certificate from the microprocessor smart card. The
process is as follows:
1. On the management workstation the CO or User opens a browser and establishes a clear-text
HTTP connection with the module.
2. Using CPL similar to the VPM NotifyUser action, the CO or User is presented with a DoD
warning banner which they must positively acknowledge and accept.
3. NotifyUser redirects the browser to an HTTPS connection with the module that requires mutual
authentication. This is made possible by CPL that puts the module in reverse-proxy mode at this
point.
4. The TLS handshakes begin. The reverse-proxy service on the module requires a certificate to
complete the handshake (i.e. the verify-peer setting has been enabled in the reverse-proxy
service).
5. The browser presents the CO or User with a dialog box prompting which certificate to select.
6. The CO or User selects the X.509 certificate on the CAC.
7. The middleware on the management workstation prompts the CO or User for the PIN to unlock
the certificate. The CO or User enters the PIN and the certificate is transmitted to the module.
8. The module authenticates the certificate against the CA list that has been configured on the
reverse proxy service using local CRLs and OCSP to check for certificate revocation.
9. The CO or User reviews and accepts the certificate issued to the web browser by the module. A
mutually authenticated TLS session is now in use.
10. The module extracts the subject name (of the CO or User) from the subjectAltNames
extension of the X.509 certificate according to configuration of the certificate realms, Within the
subjectAltNames extension is the CO or User’s userPrincipleName (UPN) (when PIV
cards are used in place of CACs, the CommonName (CN) field is extracted from the certificate
19
PIV – Personal Identity Verification II
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instead). The UPN/CN is what ties the CAC identity to the Principle Name (PN) field of a CO or
User record in Active Directory (AD), the LDAP server.
11. The certificate realm is configured to use an LDAP realm for authorization. The LDAP user is
determined by LDAP search using the following filter: (userPrincipleName=$(user.name)).
The CO or User is granted access to the Management Console if the UPN/CN is found in the LDAP
directory. The exchanges with the LDAP server are secured using TLS. Conditions like group= and
ldap.attribute <name> may also be used to authorize the CO or User and to specify if the CO or User
should have read-only or read-write access.
The authentication mechanisms used in the module are listed in Table 15.
Table 15 Authentication Mechanisms Used by the Module
Role Type of
Authentication
Authentication Strength
Crypto-Officer Password The modules support password authentication internally. For
password authentication done by the modules, passwords are
required to be at minimum 8 characters in length, and at
maximum 64 bytes (number of characters is dependent on the
character set used by system). An 8-character password
allowing all printable American Standard Code for Information
Interchange (ASCII) characters (95) with repetition equates to
a 1:(958
), or 1:6,634,204,312,890,625 chance of false
acceptance. The Crypto-Officer may connect locally using the
serial port or remotely after establishing a TLS or SSH
session.
Password
(“Enabled” Mode)
The modules support password authentication internally. For
password authentication done by the modules, passwords are
required to be at least 8 characters in length and maximum of
64 bytes (number of characters is dependent on the character
set used by system). An 8-character password allowing all
printable American Standard Code for Information Interchange
(ASCII) characters (95) with repetition equates to a 1: (958
), or
1:6,634,204,312,890,625 chance of false acceptance. This
password is entered by the Crypto-Officer to enter the
“enabled” mode; this is entered locally through the serial port
or remotely after establishing an SSH session.
Password
(“Setup”)
The modules support password authentication internally. For
password authentication done by the modules, passwords are
required to be at least 4 characters in length and maximum of
64 bytes (number of characters is dependent on the character
set used by system). A 4-character password allowing all
printable American Standard Code for Information Interchange
(ASCII) characters (95) with repetition equates to a 1:(954
), or
1:81,450,625 chance of false acceptance. This password is
entered by the Crypto-Officer and is required when using the
serial port to access the Setup Console portion of the CLI.
Public keys The module supports using RSA keys for authentication of
Crypto-Officers during TLS (when CAC authentication is
configured with a local Certificate Realm) or SSH. Using
conservative estimates and equating a 2048-bit RSA key to a
112-bit symmetric key, the probability for a random attempt to
succeed is 1:2112
or 1: 5.19 x 1033
.
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Role Type of
Authentication
Authentication Strength
User Password The modules support password authentication internally. For
password authentication done by the modules, passwords are
required to be at least 8 characters in length and maximum of
64 bytes (number of characters is dependent on the character
set used by system). An 8-character password allowing all
printable American Standard Code for Information Interchange
(ASCII) characters (95) with repetition equates to a 1:(958
), or
1: 6,634,204,312,890,625 chance of false acceptance. The
User may connect remotely after establishing a TLS or SSH
session.
Public keys The module supports using RSA keys for authentication of
Users during TLS (when CAC authentication is configured with
a local Certificate Realm) or SSH. Using conservative
estimates and equating a 2048-bit RSA key to a 112-bit
symmetric key, the probability for a random attempt to succeed
is 1:2112
or 1: 5.19 x 1033
.
2.5 Physical Security
The Advanced Secure Gateway is a Multi-chip Standalone cryptographic module. It is enclosed in a hard,
opaque metal case that completely encloses all of its internal components. There are only a limited set of
vent holes provided in the case, and these holes obscure the view of the internal components of the module.
Tamper-evident labels are applied to the case to provide physical evidence of attempts to remove the case
of the module. The Crypto-Officer is responsible for the placement of tamper-evident labels and baffles,
and guidance and instructions can be found in section 3.1.1.2 for the S400 models and section 3.2.1.2 for
the S500 models. The labels and baffles are part of the FIPS Security Kit for the S400 models (Part Number
085-02891: HW-KIT-FIPS-400) and S500 models (Part Number 085-02870: HW-KIT-FIPS-500).
All of the module’s components are production grade. The Advanced Secure Gateway was tested and
found conformant to the EMI/EMC requirements specified by 47 Code of Federal Regulations, Part 15,
Subpart B, Unintentional Radiators, Digital Devices, Class A (i.e., for business use).
2.6 Non-Modifiable Operational Environment
The operational environment requirements do not apply to the Advanced Secure Gateway. The module
does not provide a general purpose operating system nor does it allow operators the ability to load
untrusted firmware.
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2.7 Cryptographic Key Management
The module implements the FIPS-Approved algorithms listed in the tables below.
Table 16 FIPS-Approved Algorithm Implementations for Crypto Library version 4.1.1
CAVP Cert Algorithm Standard Mode/Method Key Lengths, Curves, or Moduli Use
4552 AES SP 800-38A, SP
800-38D
CBC, CTR, GCM 128, 192, 256 Data Encryption / Decryption
4552 KTS SP 800-38F AES 128, 192, 256 Key Transport
2423 Triple-DES SP 800-67 TCBC, ECB 192 Data Encryption / Decryption
2423 KTS SP 800-38F Triple-DES 112 Key Transport
3730 SHS FIPS 180-4 SHA-1, SHA-224,
SHA-256, SHA-384,
SHA-512
Message Digest
3006 HMAC FIPS 198-1 HMAC-SHA-1,
HMAC-SHA1-96,
HMAC-SHA-22420
,
HMAC-SHA-256,
HMAC-SHA-384
HMAC-SHA-512
128,
192,
256,
256,
512
Message Authentication
2479 RSA FIPS 186-4 SHA-1, SHA-224,
SHA-256, SHA-384,
SHA-512;
PKCS1 v1.5
2048, 3072, 4096 for Signature
Generation; and 1024, 2048, 3072,
4096 for Signature Verification
KeyPair Generation
Digital Signature Generation,
Digital Signature Verification
1502 DRBG SP 800-90A CTR-based 256 Deterministic Random Bit
Generation
123121
CVL
FFC
SP 800-56A FFC (2048, 224) Key Agreement
1231 CVL
ECDH
SP 800-56A ECC P-256, P-384, P-521 Key Agreement
20
HMAC-SHA-224 has been tested; however it is not used by any service.
21
P-256 and P-521 has been tested for CVL ECDH; however it is not used by any service
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CAVP Cert Algorithm Standard Mode/Method Key Lengths, Curves, or Moduli Use
Vendor
Affirmed
CKG SP 800-133 Key Generation
Table 17 FIPS-Approved Algorithm Implementations for UEFI OS Loader version 4.14
CAVP Cert Algorithm Standard Mode/Method Key Lengths, Curves, or Moduli Use
3729 SHS FIPS 180-4 SHA-1, SHA-256 Message Digest as part of
Integrity Check
2478 RSA FIPS 186-4 SHA-256;
PKCS1 v1.5
2048 Digital Signature Verification as
part of Integrity Check
3005 HMAC FIPS 198-1 HMAC-SHA-1 128 Integrity Check
Table 18 FIPS-Approved Algorithm Implementations for TLS Library version 4.1.1
CAVP Cert Algorithm Standard Mode/Method Key Lengths, Curves, or Moduli Use
1237 CVL
TLS 1.0, TLS
1.1,
TLS 1.2
SP 800-135rev1 TLS 1.2 SHA Sizes
= SHA-256, SHA384
Key Derivation
Table 19 FIPS-Approved Algorithm Implementations for SSH Library version 7.2_2
CAVP Cert Algorithm Standard Mode/Method Key Lengths, Curves, or Moduli Use
1233 CVL
SSH
SP 800-135rev1 AES-128 CBC,
AES-256 CBC
SHA-1, SHA-224, SHA-256, SHA-
384, SHA-512
Key Derivation
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Table 20 FIPS-Approved Algorithm Implementations for SNMP Library version 5.7.2_1
CAVP Cert Algorithm Standard Mode/Method Key Lengths, Curves, or Moduli Use
123522
CVL
SNMP
SP 800-135rev1 Key Derivation
Table 21 FIPS-Approved Algorithm Implementations for Firmware Load Library v1.0
CAVP Cert Algorithm Standard Mode/Method Key Lengths, Curves, or Moduli Use
3735 SHS FIPS 180-4 SHA-256 Message Digest in Firmware
Load
2484 RSA FIPS 186-4 SHA-256;
PKCS1 v1.5
2048 Digital Signature Verification for
Firmware Load
Table 22 FIPS-Allowed Algorithms
Algorithm Caveat Use
RSA Key Wrapping
(PKCS#1)
Provides between 112 and 150 bits of
encryption strength
Key Wrapping
RSA Signature Verification 1536 bits Signature Verification
Diffie-Hellman Provides 112 bits of encryption strength Key Agreement
Elliptic Curve Diffie-Hellman Provides 192 bits of encryption strength Key Agreement
MD5 TLS 1.1 sessions
Non-Deterministic Random
Number generator (NDRNG)23
Seeding for the FIPS-Approved
DRBG
(SP 800-90 CTR_DRBG)
22
SNMP KDF was tested; however, it is not used by any service
23
NDRNG is listed on the certificate
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Table 23 Non-Approved Algorithms
Algorithm Use
AES CFB mode (non-
conformant)
SNMPv3 Privacy Key
NOTE: No parts of the TLS, SSH, and SNMP protocols, other than the KDF, have been reviewed or tested by the CAVP and CMVP.
The vendor affirms generated seeds for private keys are generated per SP 800-133 (unmodified output from a DRBG)
Per SP800-67 rev1, the user is responsible for ensuring the module’s limit to 232
encryptions with the same Triple-DES key while being
used in SSH and/or TLS protocols
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The module supports the CSPs listed below in Table 24.
Table 24 List of Cryptographic Keys, Cryptographic Key Components, and CSPs
Key Key Type Generation / Input Output Storage Zeroization Use
Master Appliance
Key (MEK)
AES CBC 256-
bit key
Internally generated
via FIPS-Approved
DRBG
Never exits the
module
Stored in
plaintext on
non-volatile
memory
By disabling the
FIPS-Approved
mode of operation
Encrypting Crypto-
Officer password,
RSA private key
Integrity Test
Public Key
RSA public key
2048 bits
Externally generated,
Imported in encrypted
form via a secure TLS
or SSH session
Never exits the
module
Stored in
plaintext on
non-volatile
memory
Overwritten after
upgrade by the
key in the newly
signed image
Verifying the
integrity of the
system image
during upgrade or
downgrade
RSA Public Keys 2048-, 3072-,
and 4096-bits
Modules’ public key is
internally generated
via FIPS-Approved
DRBG
Modules’ public key
can be imported from
a back-up
configuration
Output during
TLS/SSH24
negotiation in
plaintext.
Output during TLS
negotiation for CAC
authentication
Exits in encrypted
format when
performing a module
configuration backup
Stored in
encrypted
form on non-
volatile
memory
Module’s public
key is deleted by
command
Negotiating TLS or
SSH sessions
24
SSH session negotiation only uses RSA key pairs of 2048-bits. RSA key pairs of 3072-bits and 4096-bits are only used for TLS session negotiation.
Security Policy Symantec Advanced Secure Gateway S400 and S500
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Key Key Type Generation / Input Output Storage Zeroization Use
RSA Public Key 1024, 1536,
2048, 3072,
and 4096-bits
Other entities’ public
keys are sent to the
module in plaintext
Can be sent to the
module as part of an
X.509 certificate
during CAC
authentication
Never output Other
entities’
public keys
reside on
volatile
memory
Other entities’
public keys are
cleared by power
cycle
Negotiating TLS or
SSH sessions
RSA Private Keys 2048-, 3072-,
and 4096-bits
Internally generated
via FIPS-Approved
DRBG
Imported in encrypted
form via a secure TLS
or SSH session
Imported in plaintext
via a directly attached
cable to the serial port
Exits in encrypted
format when
performing a module
configuration backup
Stored in
encrypted
form on non-
volatile
memory
Inaccessible by
zeroizing
encrypting MEK
Negotiating TLS or
SSH sessions
DH public key 2048-bits Module’s public key is
internally generated
via FIPS-Approved
DRBG
Public key of a peer
enters the module in
plaintext
The module’s Public
key exits the module
in plaintext
Stored in
plaintext on
volatile
memory
Inaccessible by
disabling FIPS-
mode
Rebooting the
modules
Removing power
Negotiating TLS or
SSH sessions
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Key Key Type Generation / Input Output Storage Zeroization Use
DH private key 224-bits Internally generated
via FIPS-Approved
DRBG
Never exits the
module
Stored in
plaintext on
volatile
memory
Inaccessible by
disabling FIPS-
mode
Rebooting the
modules
Removing power
Negotiating TLS or
SSH sessions
ECDH private key P-256 key Internally generated
via FIPS-Approved
DRBG
Never exits the
module
Stored in
plaintext on
volatile
memory
Inaccessible by
disabling FIPS-
mode
Rebooting the
modules
Removing power
Negotiating TLS or
SSH sessions
ECDH public key P-256 key Module’s public key is
internally generated
via FIPS-Approved
DRBG
Public key of a peer
enters the module in
plaintext
The module’s Public
key exits the module
in plaintext
Stored in
plaintext on
volatile
memory
Inaccessible by
disabling FIPS-
mode
Rebooting the
modules
Removing power
Negotiating TLS or
SSH sessions
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Key Key Type Generation / Input Output Storage Zeroization Use
TLS or SSH
Session key
AES CBC,
CTR, or GCM25
128-, 192, or
256-bit key
Triple-DES
CBC keying
option 1 (3
different keys)
Internally generated
via FIPS-Approved
DRBG
Output in encrypted
form during TLS or
SSH protocol
handshake
Stored in
plaintext on
volatile
memory
Inaccessible by
disabling FIPS-
mode
Rebooting the
modules
Removing power
Encrypting TLS or
SSH data
TLS or SSH
Session
Authentication
key
HMAC SHA-1-,
256-, 384- or
512-bit key
Internally generated Never exits the
module
Resides in
volatile
memory in
plaintext
Inaccessible by
disabling FIPS-
mode
Rebooting the
modules
Removing power
Data authentication
for TLS or SSH
sessions
Crypto Officer
Password
User Password
Minimum of
eight (8) and
maximum of 64
bytes long
printable
character string
Externally generated.
Enters the module in
encrypted form via a
secure TLS or SSH
session.
Enters the module in
plaintext via a directly
attached cable to the
serial port
Exits in encrypted
form via a secure
TLS session for
external
authentication
Exits in encrypted
format when
performing a module
configuration backup
Stored in
encrypted
form on non-
volatile
memory
Inaccessible by
zeroizing the
encrypted MEK
Locally
authenticating a CO
or User for
Management
Console or CLI
25
AES-GCM - AES GCM is only used as part of TLS 1.2 cipher suites conformant to IG A.5, RFC 5288 and SP 800-52 which are listed in Table 24 of this document
Security Policy Symantec Advanced Secure Gateway S400 and S500
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Key Key Type Generation / Input Output Storage Zeroization Use
“Enabled” mode
password
Minimum of
eight (8) and
maximum of 64
bytes long
printable
character string
Enters the module in
encrypted form via a
secure SSH session
Enters the module in
plaintext via a directly
attached cable to the
serial port
Exits in encrypted
form via a secure
TLS session for
external
authentication
Exits in encrypted
format when
performing a module
configuration backup
Stored in
encrypted
form on non-
volatile
memory
Inaccessible by
zeroizing the
encrypting MEK
Used by the CO to
enter the
“privileged” or
“enabled” mode
when using the CLI
“Setup” Password Minimum of
four (4) and
maximum of 64
bytes long
printable
character string
Enters the module in
plaintext via a directly
attached cable to the
serial port
Never exits the
module
Stored in
encrypted
form on non-
volatile
memory
Inaccessible by
zeroizing the
encrypting MEK
Used by the CO to
secure access to
the CLI when
accessed over the
serial port
SP 800-90A
CTR_DRBG
Seed
384-bit random
number
Internally generated Never exits the
module
Plaintext in
volatile
memory
Inaccessible by
disabling FIPS-
mode
Rebooting the
modules
Removing power
Seeding material
for the SP800-90A
CTR_DRBG
SP 800-90A
CTR_DRBG
Entropy26
256-bit random
number with
derivation
function
384-bit random
number without
derivation
function
Internally generated Never exits the
module
Plaintext in
volatile
memory
Inaccessible by
disabling FIPS-
mode
Rebooting the
modules
Removing power
Entropy material for
the SP800-90A
CTR_DRBG
26
The Entropy required by the FIPS-Approved SP 800-90 CTR_DRBG (with AES-256) is supplied by the NDRNG
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Key Key Type Generation / Input Output Storage Zeroization Use
SP 800-90A
CTR_DRBG key
value
Internal state
value
Internally generated Never Plaintext in
volatile
memory
Inaccessible by
disabling FIPS-
mode
Rebooting the
modules
Removing power
Used for the SP
800-90A
CTR_DRBG
SP 800-90A
CTR_DRBG V
value
Internal state
value
Internally generated Never exits the
module
Plaintext in
volatile
memory
Inaccessible by
disabling FIPS-
mode
Rebooting the
modules
Removing power
Used for the SP
800-90A
CTR_DRBG
NOTE: The Approved DRBG is seeded with a minimum of 384-bits from an entropy-generating NDRNG inside the module’s cryptographic
boundary.
Keys and passwords that exit the module during a configuration backup are encrypted using a FIPS-Approved encryption algorithm. During the
backup process, the CO must select the encryption algorithm to use: AES-128 CBC mode, or AES-256 CBC mode. The CO must choose a key
strength that is greater than or equal to the strength of the key being encrypted.
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2.8 Self-Tests
If the module fails the POST Integrity Test, the following error is printed to the CLI (when being accessed
via the serial port):
PKCS7 Signature verification failed, signature does not match.
If any other firmware self-tests fail, the following error is printed to the CLI (when being accessed via the
serial port):
********************** SYSTEM ERROR ***********************
The SG Appliance has failed the FIPS Self test.
System startup cannot continue.
****************** SYSTEM STARTUP HALTED *****************
E)xit FIPS mode and reinitialize system
R)estart and retry FIPS self-test
Selection:
When either of these errors occurs, the modules halt operation and provide no functionality. The only way
to clear the error and resume normal operation is for the Crypto-Officer to reboot the modules. The status
output provided below is shown only over the CLI (when being accessed via the serial port).
The sections below describe the self-tests performed by the module.
2.8.1 Power-Up Self-Tests
The module performs the following self-tests using the UEFI OS Loader:
 Known Answer Tests
o SHA KAT using each of SHA-1 and SHA-256;
o HMAC KAT using each of SHA-1; and
o RSA Sign/Verify KAT with SHA-256.
 Firmware integrity check
The module performs the following self-tests using the SGOS Cryptographic Library software
implementation at power-up:
 Known Answer Tests
o AES KAT for encryption and decryption
o AES-GCM KAT for decryption and decryption
o TDES KAT for encryption and decryption
o SHA KAT using each of SHA-1, SHA-224, SHA-256, SHA-384, SHA-512
o HMAC KAT using each of SHA-1, SHA-224, SHA-256, SHA-384, SHA-512
o RSA Sign/Verify KAT with SHA-256
o RSA wrap/unwrap KAT
o SP800-90A DRBG KAT
o DH “Primitive Z” KAT
o ECDH “Primitive Z” KAT
The module performs the following self-tests using the Firmware Load Library software implementation at
power-up:
 Known Answer Tests
o SHA KAT using SHA-256
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o RSA Verify KAT with SHA-256
No data output occurs via the data output interface until all power-up self tests have completed.
2.8.2 Conditional Self-Tests
The module performs the conditional self-tests in its SGOS Cryptographic Library.
 RSA pairwise consistency check upon generation of an RSA keypair
 Continuous RNG test (CRNGT) for the SP800-90A DRBG
 Continuous RNG test (CRNGT) for the Non-Deterministic Random Number Generator (NDRNG)
The module performs the conditional self-tests in its Firmware Load Library.
 Firmware Load Test using RSA Signature Verification
2.8.3 Critical Function Tests
The Advanced Secure Gateway performs the following critical function tests:
 DRBG Instantiate Critical Function Test
 DRBG Reseed Critical Function Test
 DRBG Generate Critical Function Test
 DRBG Uninstantiate Critical Function Test
The module also performs a validity check on the installed license. If the license is not vaild, the module
will not operate.
2.9 Mitigation of Other Attacks
This section is not applicable. The module does not claim to mitigate any attacks beyond the FIPS 140-2
Level 2 requirements for this validation.
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S500
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3. Secure Operation
The Symantec Advanced Secure Gateway meets FIPS-140-2 Level 2 requirements. The sections below
describe how to place and keep the module in FIPS-Approved mode of operation. The tamper seals and
FIPS kit shall be installed for the module to operate in a FIPS Approved mode of operation
3.1 Initial Setup for Symantec ASG S400 Appliance
Before powering-up the module, the CO must ensure that the required tamper-evident labels (included in
the FIPS security kit) are correctly applied to the enclosure. The FIPS security kit (Part Number: HW-KIT-
FIPS-400) for the modules consists of the following items as shown below in Figure 8.
Figure 8 ASG S400 FIPS Security Kit Contents
The FIPS security kit may include either red or blue labels.
Note: Included in the S400 FIPS Kit, there are (25) ‘Short Labels’ and (10) ‘Long labels’; however, only (5)
short labels and (2) long labels are required for FIPS compliance. Additional labels are provided for
reapplication purposes.
3.1.1 Symantec ASG S400 Label and Baffle Installation Instructions
The Crypto-Officer is responsible for installing the baffle (security panel) and applying the tamper evident
labels at the client’s deployment site to ensure full FIPS 140-2 compliance. Once the seals have been
applied, the Crypto Officer must develop an inspection schedule to verify that the external enclosure of the
module and the tamper seals have not been damaged or tampered with in any way. The Crypto-Officer is
responsible for securing and having control at all times of any unused labels. The Crypto-Officer is
responsible for the direct control and observation of any changes to the module such as reconfigurations
where the tamper-evident labels or security appliances are removed or installed to ensure the security of
the module is maintained during such changes and the module is returned to a FIPS Approved state.
Security Policy Symantec Advanced Secure Gateway S400 and
S500
© 2017 Symantec Corporation Page 39 of 58
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Crypto-Officers must adhere to the following when applying the tamper-evident labels (red or blue):
• The minimum temperature of the environment must be 35-degrees Fahrenheit. After application,
the labels’ acceptable temperature in the operational environment is -5-degrees to 158-degrees
Fahrenheit.
• Do not touch the adhesive side of the label. This disrupts the integrity of the adhesive. If a label is
removed from a surface, the image is destroyed and the label shows tamper-evident text as
evidence. If you accidently touch the adhesive side, discard that label and apply another one.
Label application tips (for red or blue labels):
• Apply skin moisturizer on your fingers before handling.
• Use a rubber fingertip to partially remove the label from its backing.
• After applying the labels, allow at least 24 hours for the label adhesive to cure.
Security Policy Symantec Advanced Secure Gateway S400 and
S500
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3.1.1.1 ASG S400 Shutter Installation
The two piece rear shutter (S400 Series Shutter as shown in Figure 8) is designed to prevent unauthorized
access to key system components by shielding the rear ventilation outlets, option cards, interfaces, and the
soft power switch.
1. Remove the top shutter from the bottom shutter by removing two (2) screws and pulling directly
rearward. Set the top shutter aside in a safe location.
Figure 9 ASG S400 Shutter Disassembly
2. Align the bottom shutter mounting points against the screw locations and the alignment pins on the
chassis and secure with three (3) flat-head screws. Be aware the FIPS kit includes (7) additional
screws, in case some are misplaced or lost during installation.
Figure 10 ASG S400 Lower Shutter Installation
3. Rack mount the appliance. Refer to the S400 Series Maintenance and Upgrade Guide for instructions
and safety information on rack-mounting the appliance.
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S500
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4. Reinstall the appliance network and other interconnect cables to their respective locations
Note: All network and interconnect cables must installed at this time to prevent reopening of the shutters
and subsequent reapplication of the security labels.
5. Route the network cables through the cable management anchors to prevent cables from obstructing
airflow.
6. Install the top shutter by aligning the notches with the raised pins on the appliance and secure with two
(2) flat-head screws. Be aware the FIPS kit includes (7) additional screws, in case some are misplaced
or lost during installation.
Figure 11 ASG S400 Upper Shutter Installation
Security Policy Symantec Advanced Secure Gateway S400 and
S500
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3.1.1.2 ASG S400 Label Application
The FIPS compliant labels are applied over key areas of the chassis to provide tamper-evident security. If
the labels are removed after being affixed to a surface, the image self-destructs and leaves a pattern of
VOID markings on the label. The image below illustrates the tamper-evident features of the label. Figure
12 below illustrates the tamper-evident features of the label.
Figure 12 ASG S400 Labels Showing Tamper Evidence
Use alcohol swabs to clean the label location surface using Isopropyl Alcohol (99%); this ensures complete
adhesion. Verify that all the surfaces are dry before applying the labels.
Security Policy Symantec Advanced Secure Gateway S400 and
S500
© 2017 Symantec Corporation Page 43 of 58
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1. Set the appliance on a flat, slip-proof work space and make sure you have access to all sides of
the appliance.
2. Apply two (2) short labels (short labels 1 and 2) over the exposed shutter screw heads. These
labels extend slightly over the left and right edges of the shutter when properly applied.
Figure 13 ASG S400 Rear Edge Label Installation
Security Policy Symantec Advanced Secure Gateway S400 and
S500
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3. Apply one (1) long label through each power supply unit (long labels 1 and 2) and/or dummy
cover in a U-shape, making sure to route the label through the handle and to apply the ends of
the label on the chassis top and bottom, as illustrated below. When applying the labels, make
sure there is enough material on both ends to properly secure the power supply. When you are
applying these labels, it is imperative that you do no cover any of the vent holes.
Figure 14 ASG S400 Power Supply Label Installation
Security Policy Symantec Advanced Secure Gateway S400 and
S500
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4. Apply two (2) short labels (short labels 3 and 4) over the opposite ends of the bezel and one (1)
short label (short label 5) over the center cover panel curvature to prevent unauthorized access to
the system components. Each label should be placed on the opposite ends of the appliance, as
shown below.
Figure 15 ASG S400 Top Bezel and Cover Label Installation
Note: The chassis-center cover labels are destroyed each time the center cover is opened. Be sure to
re-secure the appliance after servicing!
5. Power-on the appliance by plugging in the power cords.
Security Policy Symantec Advanced Secure Gateway S400 and
S500
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3.2 Initial Setup for Symantec ASG S500 Appliance
Before powering-up the module, the CO must ensure that the required tamper-evident labels (included in
the FIPS security kit) are correctly applied to the enclosure. The FIPS security kit (HW-KIT-FIPS-500) for
the modules consists of the following items as shown below in Figure 16.
Figure 16 ASG S500 FIPS Security Kit Contents
Note: Included in the S500 FIPS Kit, there are (30) ‘Short Labels’ and (10) ‘Long labels’; however, only (8)
short labels and (2) long labels are required for FIPS compliance. Additional labels are provided for
reapplication purposes.
Security Policy Symantec Advanced Secure Gateway S400 and
S500
© 2017 Symantec Corporation Page 47 of 58
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3.2.1 Symantec ASG S500 Label and Baffle Installation Instructions
The Crypto-Officer is responsible for installing the baffle (security panel) and applying the tamper evident
labels at the client’s deployment site to ensure full FIPS 140-2 compliance. Once the seals have been
applied, the Crypto Officer must develop an inspection schedule to verify that the external enclosure of the
module and the tamper seals have not been damaged or tampered with in any way. The Crypto-Officer is
responsible for securing and having control at all times of any unused labels. The Crypto-Officer is
responsible for the direct control and observation of any changes to the module such as reconfigurations
where the tamper-evident labels or security appliances are removed or installed to ensure the security of
the module is maintained during such changes and the module is returned to a FIPS Approved state.
Crypto-Officers must adhere to the following when applying the tamper-evident labels (red or blue):
• The minimum temperature of the environment must be 35-degrees Fahrenheit. After application,
the labels’ acceptable temperature in the operational environment is -5-degrees to 158-degrees
Fahrenheit.
• Do not touch the adhesive side of the label. This disrupts the integrity of the adhesive. If a label is
removed from a surface, the image is destroyed and the label shows tamper-evident text as
evidence. If you accidently touch the adhesive side, discard that label and apply another one.
Label application tips (for red or blue labels):
• Apply skin moisturizer on your fingers before handling.
• Use a rubber fingertip to partially remove the label from its backing.
• After applying the labels, allow at least 24 hours for the label adhesive to cure.
Security Policy Symantec Advanced Secure Gateway S400 and
S500
© 2017 Symantec Corporation Page 48 of 58
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3.2.1.1 ASG S500 Shutter Installation
The two piece rear shutter (S500 Series Shutter as shown in Figure 16) is designed to prevent unauthorized
access to key system components by shielding the rear ventilation outlets, option cards, interfaces, and the
soft power switch.
1. Remove the top shutter from the bottom shutter by removing two (2) screws and pulling directly
rearward. Set the top shutter aside in a safe location.
Figure 17 ASG S500 Shutter Disassembly
2. Align the bottom shutter mounting points against the screw locations and the alignment pins on the
chassis and secure with three (3) flat-head screws. Be aware the FIPS kit includes (7) additional
screws, in case some are misplaced or lost during installation.
Figure 18 ASG S500 Lower Shutter Installation
3. Rack mount the appliance. Refer to the S500 Series Maintenance and Upgrade Guide for instructions
and safety information on rack-mounting the appliance.
Security Policy Symantec Advanced Secure Gateway S400 and
S500
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4. Reinstall the appliance network and other interconnect cables to their respective locations
Note: All network and interconnect cables must installed at this time to prevent reopening of the shutters
and subsequent reapplication of the security labels.
5. Route the network cables through the cable management anchors to prevent cables from obstructing
airflow.
6. Install the top shutter by aligning the notches with the raised pins on the appliance and secure with two
(2) flat-head screws. Be aware the FIPS kit includes (7) additional screws, in case some are misplaced
or lost during installation.
Figure 19 ASG S500 Upper Shutter Installation
Security Policy Symantec Advanced Secure Gateway S400 and
S500
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3.2.1.2 ASG S500 Label Application
The FIPS compliant labels are applied over key areas of the chassis to provide tamper-evident security. If
the labels are removed after being affixed to a surface, the image self-destructs and leaves a pattern of
VOID markings on the label. The image below illustrates the tamper-evident features of the label. Figure
12 below illustrates the tamper-evident features of the label.
Figure 20 ASG S500 Labels Showing Tamper Evidence
Use alcohol swabs to clean the label location surface using Isopropyl Alcohol (99%); this ensures complete
adhesion. Verify that all the surfaces are dry before applying the labels.
Security Policy Symantec Advanced Secure Gateway S400 and
S500
© 2017 Symantec Corporation Page 51 of 58
This document may be freely reproduced and distributed whole and intact including this copyright notice.
1. Set the appliance on a flat, slip-proof work space and make sure you have access to all sides of
the appliance.
2. Apply two (2) short labels (short labels 1 and 2) over the exposed shutter screw heads. These
labels extend slightly over the left and right edges of the shutter when properly applied.
Figure 21 ASG S500 Rear Edge Label Installation
Security Policy Symantec Advanced Secure Gateway S400 and
S500
© 2017 Symantec Corporation Page 52 of 58
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3. Apply one (1) long label through each power supply unit (long labels 1 and 2) and/or dummy
cover in a U-shape, making sure to route the label through the handle and to apply the ends of
the label on the chassis top and bottom, as illustrated below. When applying the labels, make
sure there is enough material on both ends to properly secure the power supply. When you are
applying these labels, it is imperative that you do no cover any of the vent holes.
Figure 22 ASG S500 Power Supply Label Installation
Security Policy Symantec Advanced Secure Gateway S400 and
S500
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4. Apply six (6) short red or blue labels (short labels 3, 4, 5, 6, 7, and 8) over the opposite ends of the
bezel, center cover, and the rear cover panel to prevent unauthorized access to the system
components. Each label should be placed on the opposite ends of the appliance, as shown below.
Figure 23 ASG S500 Top Bezel and Cover Label Installation
Note: The chassis-center cover labels are destroyed each time the center cover is opened. Be sure to
re-secure the appliance after servicing!
5. Power-on the appliance by plugging in the power cords.
Security Policy Symantec Advanced Secure Gateway S400 and
S500
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3.3 Secure Management
3.3.1 Initialization
The module is delivered in an uninitialized factory state, and requires minimal first-time configuration to
operate in FIPS-Approved mode and be accessed by a web browser. Physical access to the module shall
be limited to the Crypto-Officer (CO), and the CO shall be responsible for putting the module into the
Approved mode. Note, these same steps in this section shall be followed after the zeroization command is
entered.
The process of establishing the initial configuration via a secure serial port is described below.
1. Connect a serial cable to a PC and to the module’s serial port. Open a terminal emulator (such as
HyperTerminal) on the PC, and connect to the serial port to which you attached the cable. Create
and name a new connection (either a COM or TCP/IP), using the port parameters provided in
Table 25.
Table 25 RS-232 Parameters
RS-232C Parameter Parameter Setting
Baud rate 9600 bps
Data bits 8
Parity None
Stop bits 1
Flow control None
2. Power up the module and wait for the system to finish booting.
3. Press Enter three times.
When the system displays Welcome to the ASG Appliance Setup Console, it is ready for the
first-time network configuration.
4. Enter the properties for the following:
a. Interface number
b. IP address
c. IP subnet mask
d. IP gateway
e. DNS server parameters
5. The module will prompt for the console account credentials:
You must configure the console user account now.
Enter console username:
Enter console password:
Enter enable password:
6. When the system displays Successful Configuration Setup, press Enter to confirm the
configuration.
7. Press Enter three times.
8. Select option #1 for the Command Line Interface.
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S500
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9. Type enable and press Enter.
10. Enter the enable mode password.
11. Enter the following command: fips-mode enable.
When prompted for confirmation, select Y to confirm. Once the reinitialization is complete, the module
displays the prompt The system is in FIPS mode.
 NOTE 1: The fips-mode enable command causes the device to power cycle, zeroing the Master
Appliance Key and returning the configuration values set in steps 1 and 2 to their factory state.
 NOTE 2: This command is only accepted via the CLI when accessed over the serial port.
12. After the system has finished rebooting, press Enter three times.
13. Enter the properties for the following:
a. Interface number
b. IP address
c. IP subnet mask
d. IP gateway
e. DNS server parameters
14. The module will prompt for the console account credentials:
You must configure the console user account now.
Enter console username:
Enter console password:
Enter enable password:
15. Configure the setup password to secure the serial port which must be configured while in FIPS mode.
The system displays the following:
The serial port must be secured and a setup password must be configured.
Enter setup password:
16. Choose Yes or No to restrict workstation access.
17. Access the Web interface at the IP address configured in step 13b above (https://<IP Address>:8082).
18. Login with the credentials created in step 14.
19. Navigate to the Configuration tab. Then expand the Authentication->SSH Inbound Connections menu
in the left hand column.
20. Select the Ciphers tab. Deselect the aes256-gcm@openssh.com and the aes128-gcm@openssh.com
ciphers. Select the aes256-ctr, aes192-ctr, aes128-ctr, aes256-, and aes128-cbc ciphers.
21. Press Apply and the changes will be saved to the appliance.
Upon completion of these initialization steps, the module is considered to be operating in its Approved mode
of operation.
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3.3.2 Management
The Crypto-Officer is able to monitor and configure the module via the Management Console (HTTPS over
TLS) and the CLI (serial port or SSH).
The Crypto-Officer should monitor the module’s status regularly. If any irregular activity is noticed or the
module is consistently reporting errors, customers should consult Symantec’s Product Documentation
portal and the administrative guidance documents to resolve the issues. If the problems cannot be resolved
through these resources, Symantec customer support should be contacted.
The CO password and “enabled” mode password must be at least 8 characters in length. The “Setup”
password must be at least 8 characters in length.
When creating or importing key pairs, such as during the restoration of an archived backup configuration,
the CO must ensure that the “Do not show key pair” option is selected in the Management Console as
shown in Figure 24, or the “no-show” argument is passed over the CLI as shown in Figure 25 Please see
Section E: Preparing Archives for Restoration on New Devices in the Symantec Systems SGOS
Administration Guide, Version 6.7.x for further reference.
Figure 24 Keyring Creation Management Console Dialogue Box
Figure 25 Keyring Creation CLI Commands
3.3.3 Zeroization
The CO can return the module to its factory state by entering the “enabled” mode on the CLI, followed by
the “fips-mode disable” command. This command will automatically reboot the module and zeroize the
MEK. The RSA private key, Crypto-Officer password, User password, “Enabled” mode password, “Setup”
password, SNMP Privacy key, and the SNMP Authentication key are all stored encrypted by the MEK.
Once the MEK is zeroized, decryption involving the MEK becomes impossible, making these CSPs
unobtainable by an attacker.
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In addition, rebooting the module causes all temporary keys stored in volatile memory (SSH Session key,
TLS session key, DRBG entropy values, and NDRNG entropy values) to be zeroized. The Crypto-Officer
must wait until the module has successfully rebooted in order to verify that zeroization has completed.
3.4 User Guidance
The User is only able to access the module remotely via SSH (CLI) or HTTPS (Management Console). The
User must change his or her password at the initial login. The User must be diligent to pick strong passwords
(alphanumeric with minimum 8 characters) that will not be easily guessed, and must not reveal their
password to anyone. Additionally, the User should be careful to protect any secret/private keys in their
possession, such as TLS or SSH session keys. The User should report to the Crypto-Officer if any irregular
activity is noticed.
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4. Acronyms
This section describes the acronyms used throughout this document.
Table 26 Acronyms
Acronym Definition
AC Alternating Current
AES Advanced Encryption Standard
BMC Baseboard Management Controller
CBC Cipher Block Chaining
CFB Cipher Feedback
CLI Command Line Interface
CMVP Cryptographic Module Validation Program
CO Crypto-Officer
CRNGT Continuous Random Number Generator Test
CSE Communications Security Establishment
CSP Critical Security Parameter
DH Diffie Hellman
DHE Diffie Hellman Ephemeral
DNS Domain Name System
DRBG Deterministic Random Bit Generator
ECB Electronic Codebook
ECDH Elliptic Curve Diffie Hellman
ECDHE Elliptic Curve Diffie Hellman Ephemeral
ECDSA Elliptic Curve Digital Signature Algorithm
EMC Electromagnetic Compatibility
EMI Electromagnetic Interference
FIPS Federal Information Processing Standard
GCM Galois/Counter-Mode
HMAC Hash-Based Message Authentication Code
HTTP Hypertext Transfer Protocol
HTTPS Secure Hypertext Transfer Protocol
IP Internet Protocol
KAT Known Answer Test
LCD Liquid Crystal Display
LED Light Emitting Diode
MAC Message Authentication Code
NIC Network Interface Card
NIST National Institute of Standards and Technology
RSA Rivest Shamir Adleman
SHA Secure Hash Algorithm
SNMP Simple Network Management Protocol
SSH Secure Shell
TLS Transport Layer Security
USB Universal Serial Bus