© Copyright 1999 Algorithmic Research, Ltd.
This document may be freely reproduced and distributed whole and intact including this Copyright Notice.
PrivateWire Security Gateway &
PrivateWire Client
FIPS 140-1 Non-Proprietary
Security Policy
Level 1 Validation
April, 2000
2
Table of Contents
1 INTRODUCTION...................................................................................................... 3
1.1 PURPOSE................................................................................................................. 3
1.2 REFERENCES........................................................................................................... 3
1.3 DOCUMENT ORGANIZATION ................................................................................... 3
2 PRIVATEWIRE......................................................................................................... 3
3 THE PRIVATEWIRE COMPONENTS.................................................................. 4
3.1 MODULE INTERFACES............................................................................................. 5
3.2 ROLES AND SERVICES............................................................................................. 5
3.2.1 Gateway Crypto-Officer Role (Supervisor Role)............................................ 5
3.2.2 Gateway User Role ......................................................................................... 6
3.2.3 Client Crypto-Officer Role.............................................................................. 6
3.2.4 Client User Role.............................................................................................. 6
3.3 PHYSICAL AND SOFTWARE SECURITY..................................................................... 7
3.4 CRYPTOGRAPHIC ALGORITHMS .............................................................................. 7
3.5 CRYPTOGRAPHIC KEY MANAGEMENT.................................................................... 8
3.5.1 Generation of keys:......................................................................................... 8
3.5.2 Key Lifetime and Destruction ......................................................................... 9
3.6 SELF-TESTS ............................................................................................................ 9
3
1 INTRODUCTION
1.1 Purpose
This is a non-Proprietary FIPS 140-1 Security Policy for PrivateWire. It describes how both the
PrivateWire Client and Gateway meet all FIPS 140-1 Level 1 requirements. The Security Policy was
prepared as part of the Level 1 FIPS 140-1 certification of both the PrivateWire Security Gateway and
PrivateWire Client.
FIPS 140-1 (Federal Information Processing Standards Publication 140-1) is a U.S. Government standard
entitled “Security Requirements for Cryptographic Modules.” This standard mandates a set of strict design
and documentation requirements that hardware and software cryptographic module must meet in order to
be validated by the U.S. National Institute of Standards and Technology (NIST) and the Communications
Security Establishment (CSE).
1.2 References
This FIPS 140-1 Security Policy describes features and designs of the PrivateWire components using the
technical terms of FIPS 140-1.
• For more information on the FIPS 140-1 standard and validation program readers are referred to
the NIST web site at http://csrc.nist.gov/cryptval/.
• For more information on the PrivateWire product line, please visit the Algorithmic Research web
site at http://www.arx.com.
1.3 Document Organization
This section provides a general introduction to the Security Policy. Section 2 introduces the PrivateWire
software package. Section 3 discusses the PrivateWire Security Gateway and Client and how they meet
FIPS 140-1.
Corsec Security, Inc. under contract to Algorithmic Research prepared this document. This document may
be freely distributed whole and intact according to the copyright notice above.
2 PrivateWire
PrivateWire is a powerful software-based application, which employs the most advanced data security
technologies to form a multi-layered protection system. The PrivateWire system consists of two separate
modules: the Security Gateway Server (which can be run on Windows NT 3.51/4 and Sun-Solaris 2.6) and
the Security Client (which can be run on Windows 3.x, Windows 98, and Windows NT 3.51/4).
PrivateWire is designed to allow secure access to the organization's resources to multiple users over an
untrusted TCP/IP network. The Gateway resides on a corporate server and secures connections to other
Gateways or Clients. Together they transparently perform all of required security functions and provide the
following high-level functionality:
• Screening of all incoming communications to ensure authorized user access
• Secure, authenticated and encrypted sessions between Client and Gateway
• Secure Virtual Private Network (VPN) between sub-systems
• Central security administration
4
Trusted Private
Network
PW
Gateway
PW
Gateway
PW
Client LAN
LAN
Internet
Internet
PW
Client
PW
Client
FTP
server
FTP
server
TELNET
server
TELNET
server
MAIL
server
MAIL
server
Trusted Private
Network
PW
Gateway
PW
Gateway
PW
Client LAN
LAN
Laptop
Figure 1: PrivateWire Creates an Enterprise-Wide VPN
A Virtual Private Network (VPN) provides a protected connection between two machines and sends private
data traffic over a shared or public network, the Internet. This technology lets an organization extend its
network service over the Internet to branch offices and remote users creating a private WAN (Wide Area
Network) over the Internet. As shown in Figure 1, PrivateWire establishes a VPN by allowing an
organization to secure communications between its different sub-systems.
The PrivateWire Client encrypts data being sent from a user’s machine and the Security Gateway then
decrypts data once it enters the organization’s private network. Similarly, all data destined for a remote
client is encrypted by the Gateway before it leaves the private network and is decrypted after it safely
reaches the client.
PrivateWire also supports a Gateway to Gateway solution that enables organizations to deploy PrivateWire
not only at the user level, but at the branch or office level as well. This option allows an organization to
secure channels between offices and create an organizational VPN complete with remote user access and
Intranet systems.
3 The PrivateWire Components
PrivateWire is a software cryptographic module, which secures all TCP/IP communications between an
organization and its customers and employees. The PrivateWire Security Gateway is the software
component installed in a server on the organization’s network. The PrivateWire Client is the software
component that is installed on a customer or employee’s computer to communicate with PrivateWire
Gateway. The PrivateWire components provide key generation, storage, digital signatures, dynamic
package filtering, and user certification. In addition, the PrivateWire Client provides high-level encryption,
with certificate-based two-way authentication, authorization, digital signatures and transparent
communication security to its customers. This allows organizations to build a high-level security
infrastructure for all TCP/IP applications including: WWW, FTP, Telnet, mail and any TCP/IP client/server
application based on a single integrated solution that can be easily managed and deployed. All
communications may be encrypted using DES, triple-DES or RC-4 symmetric encryption.
PrivateWire provides the following security services:
• Strong two-way authentication - using DSA and RSA 1024-bit keys.
• Powerful access control - using passwords or optional hardware tokens.
5
• Data confidentiality - using strong encryption e.g. DES, triple DES and RC-4.
• Data integrity - ensuring the accuracy and integrity of transactions.
• Digital signatures - to digitally sign transactions and ensure the highest level of security.
• Dynamic packet filtering - controlling all passing communications with full session monitoring.
• User Certification - providing foolproof digital identification using X509 certificates.
3.1 Module Interfaces
Both PrivateWire Client and PrivateWire Gateway are considered to be a multi-chip standalone modules
for FIPS 140-1. As such the modules requires a general-purpose operating system (OS) run on a computer.
The physical interfaces of the modules include the computer keyboard, CD-ROM drive, floppy drive,
mouse, screen, and ports. The PrivateWire Client software logically interfaces to the network through the
network-level after the information has been accessed through those physical interfaces.
The logical interfaces for the PW Client and PW Gateway (and the physical interfaces they cross) are:
• Data input interface: graphic user interface for the program (GUI), keyboard port, disk drive,
network ports
• Data output interface: disk drive, screen, network layer IP packets via the Winsock interface
(network ports), monitor port
• Control input interface: network layer IP packets via the Winsock interface (connection through
the PW Gateway, which are secured)
• Status output interface: screen, network layer IP packets via the Winsock interface.
The logical interfaces are separated by the GUI that distinguishes between data input, data output, control
input, and status output through its dialogues. Similarly, the module separates Network-layer traffic,
distinguishing between data, control and status packets based on IP address, and protocol.
3.2 Roles and Services
PrivateWire supports two distinct roles using digital signatures and PIN codes for authentication: User role
and Crypto-officer role. Both the Security Gateway and Client each support the User role and Crypto-
Officer role.
An operator assuming the Gateway’s Crypto-Officer role performs the primary configuration of
PrivateWire. The PrivateWire Security Gateway administrator implicitly assumes the Crypto-Officer role
after authentication and uses a powerful set of management tools to configure the Gateway. The Client is
used to authenticate and connect securely to the Gateway. To connect, the operator assumes the Client
User role and then the Gateway’s User role while an authenticated, secure session is created. Thus, an
authorized administrator may access the Gateway management from any local or remote location.
3.2.1 Gateway Crypto-Officer Role
The role of the Crypto-Officer includes refinement of administrative permissions, generation and
destruction of keys, user access control, and creation of the information database. In addition, PrivateWire
provides management tools for user certification. Certification can be done locally or remotely as required,
in any hierarchical model. Only certain users authorized to administer the server are allowed to access the
information and use the sensitive management functions. The following are Crypto-Officer services:
• User certification: Facilitate loading new users into the system, certifying their identity, adding
and managing system users, and monitoring and generating reports.
• System Administration: By implementing criteria-based rules, PrivateWire enables system
managers to assign specific administrative activities and administrators’ extent of access.
• Access control: Assigning users to groups with pre-defined access privileges and control of user
access to organization’s network. These groups are defined according to the organization's
security policy
6
• Monitoring: Provides detailed information for both monitoring of connection activities and for
logging, alerting, and billing. Specific user information is logged and confirmed, activity reports
can be issued on demand.
• Database information management: Holds all the information needed to execute the organization’s
local security policy.
Administration is implemented with the following functions, which are accessed by the Crypto-Officer
through the gateway’s remote user interface:
• Rules Table – Define and edit the selectivity criteria and action to be applied in packet filtering.
• Users – View and edit the uses list and users parameters.
• Groups – Define and edit the groups list and each groups’ parameters. A group is a list of
permitted services/actions. Each user is assigned to one or more groups which together determine
his or her permitted services/actions.
• Auditing and Alerts – View logs based on definitions made by the security supervisor in the
packet filtering rules table and Groups rules tables.
• Setup – Define and set limits to various system parameters.
3.2.2 Gateway User Role
Secure connections to the Gateway, implicitly assume the User role as they authenticate, negotiate session
keys and create a secure tunnel. The only service available to the User role is the creation of these secure
sessions with the Gateway.
3.2.3 Client Crypto-Officer Role
Administrators of the PrivateWire Client software assume the role of Crypto-Officer, and install, configure,
and operate the Client. The Crypto-Officer role includes refinement of administrative permissions,
generation and destruction of keys, user access control, and creation of the information database. In the
PrivateWire Client, the role and services of the Crypto-Officer are limited, since the software module is
designed for easy, simplified use by an end-user. Available Crypto-Officer services include:
• Generation of keys: to create new public-private key pairs. The Crypto-Officer supplies a user ID,
name, type of key, and key size. The Crypto-Officer also enters random information via keystroke
inter-timings to seed the PrivateWire Client’s random number generation.
• Select Key Media: this is used to pick the location of the key for the current operator.
• Exporting keys: this service transfers the public keys to the organization for certification (here the
user can copy their key to a file) or to an appointed certifier.
• Importing keys: this service allows the import of a certified public key from a file created by the
certifying authority.
• Secure Sites Setup: specifies the sites that you can securely connect to (network configuration). In
the setup window, the server address, mask, port range, KX mode, media type, and key file can be
changed.
• User certification: facilitates loading new users into the system, certifying their identity, adding
and managing system users, and monitoring and generating reports.
3.2.4 Client User Role
The User role includes the storage, generation of keys and configuration of the PrivateWire Client
application. Client User services and configuration files include:
• TCP Configuration: For convenience, organizations can pre-define the applications/servers that
require security. This configuration file can be created and provided to the user on the distribution
media.
• Registry Parameters: These parameters can be configured to ensure easier installation and use of
the Client application. Some of these parameters include disabling key-generation menu options,
disabling window pop-ups in certain situations (anonymous), installation for software only.
7
• Authentication of user ID: To authenticate a User to the Client.
• Secure Session: The Client software creates secure sessions with the Gateway, and automatically
prompts the user to enter his password. The user performs a local logon process using a personal
password and a key media, after which a secure session is negotiated using the users private key
for authentication.
• Logout: This ends the current session and enforces full authentication for later connections.
• Exit: Closes the PrivateWire client, and leaves all sessions unsecured.
• Refresh Module: update the secured site packet statistics for current connections.
• Key Info: used to view information on the currently selected key media.
• Change password: function to change the user’s password. This service requires the valid
password of the user and then once entered, prompts for the new password to be entered.
3.3 Physical and Software Security
The PrivateWire Gateway and Client consist entirely of software, and are tested for FIPS 140-1 compliance
on a standard Personal Computer (PC). This PC has been tested and meets applicable Federal
Communication Commission (FCC) Electromagnetic Interference (EMI) and electromagnetic
Compatibility (EMC) requirements for business use as defined in Subpart B of FCC part 15.
PrivateWire Client is a software module and is available for users on multiple platforms including
Windows 3.x, Windows 95, Windows 98, Windows NT 3.51, and Windows NT 4.0 operating systems. The
PrivateWire Security Gateway is a software module and is available for users on multiple platforms
including in Sun Solaris 2.5, Sun Solaris 2.51, Sun Solaris 2.6, Windows NT 3.51, and Windows NT 4.0
operating systems. PrivateWire is being tested for Level 1 physical security, which requires the use of
commercial grade equipment.
The PrivateWire Client program optionally supports the use of Smartcard devices where hardware security
is desired. Combining cryptographic session security, firewall technology and optional Smartcards and
security hardware, PrivateWire provides the highest level of security available for organizations
communicating with thousands of remote users.
PrivateWire software is written in the C and Visual C++ languages. As part of the FIPS 140-1 evaluation
Algorithmic Research’s Proprietary source code was tested by an independent testing laboratory to ensure
correct design, implementation and conformance. The PrivateWire software is installed as executable code
to discourage scrutiny and modification as required from FIPS, and is a single-user software module.
The Finite State Machine models for the PrivateWire Client and Gateway were independently evaluated
and are described in the FIPS 140-1 Proprietary Finite State Machine model document.
3.4 Cryptographic Algorithms
Algorithmic Research’s efficient implementation of standard cryptographic algorithms ensures the highest
level of interoperability for both Client and Server. In addition, Algorithmic Research’s implementations
provide some of the fastest system performance available in software.
The PrivateWire Client implements the following FIPS-approved algorithms:
• Data Encryption Standard (DES) (in Output Feedback (OFB) mode) (FIPS 46-2)
• Triple DES (3DES) (in OFB and Cipher Block Chaining (CBC) modes) (FIPS 46-2)
• Secure Hash Algorithm (SHA-1) (FIPS 180-1)
• Digital Signature Standard (DSS) with SHA-1 (FIPS 186-1)
In addition, the PrivateWire Client provides the following non FIPS-approved algorithms
• RSA Digital Signatures (with ISO9796)
• Rivest Code 4 (RC4) with 128 bit-keys
8
• Message Digest 5 (MD5)
• Diffie-Hellman (DH) key exchange
3.5 Cryptographic Key Management
PrivateWire uses symmetric keys for encryption of session traffic and public-private key pairs for digital
signature and key exchange. In addition, passwords are used to create password-based encryption keys for
secure storage of private key information.
Session keys are established through a key agreement protocol that employs DH or RSA key exchange
depending on the user’s selected algorithm (RSA or DSS). Messages passing between a Client and security
Gateway are encrypted using these session keys. Data integrity and authenticity is also ensured with a
cryptographic checksum using the SHA-1 algorithm (or MD5 for RSA users) Each message includes a
fingerprint protected with the session key. This provides each connection with confidentiality and data
integrity, encrypting all TCP/IP data streams while ensuring that communications remain fully routable.
Public-private key pairs are created for users, crypto-officers and each Gateway. Public keys are certified
and stored in certificates. The Security Gateway may have up to two private keys: an RSA private key
whose public key is certified by the vendor’s RSA certifying authority and another DSA, certified by the
DSA certifying authority. Each user creates an RSA or DSS key pair, with the public key certified by the
appropriate certifying authority. To operate in a FIPS 140-1 compliant mode, users must select DSS keys.
DSS and RSA keys are used for authentication (digital signatures) and key exchange using Diffie Hellman
and RSA respectively. The protocol variant is automatically selected according to the user’s private key
type.
3.5.1 Generation of keys:
Public and private keys are generated locally on the user’s machine using the PrivateWire Client. Private
keys are not transferred over the network or exported by the module, and are stored locally on the hard
drive to reduce exposure. Furthermore, private keys are stored in Ciphertext, encrypted with a user’s
password. Key files have the extensions “.pri” (private) and “.pub” (public). User IDs are included in
plaintext in these files for identification and differentiation by PrivateWire software. These files can be
deleted in case the need arises for manual destruction of keys.
Keys are internally generated; however, PrivateWire optionally offers the use of three types of key media
for the storage of keys.
• KeyFile: PrivateWire encrypts the private keys and stores them in a KeyFile that resides on the
user’s hard drive.
• KeyDiskette: With this option, keying information is encrypted and stored on a specially-
formatted diskette, allowing a user to separately secure private keys.
• PrivateCard: Keying information is encrypted and stored in a smartcard’s embedded chip, adding
hardware protection to PrivateWire.
Symmetric keys are generated for each session as a DES, triple DES, or RC4 session key. These keys are
generated using a key exchange protocol, and then used to encrypt any further communication within the
session as follows:
For a new connection, after a successful authentication, the Client and Gateway construct a 128-bit master
session key using either, a hash of a 1024 bit shared DH session key, or a hash of partial keys created by
Client and Gateway in an RSA key exchange protocol. A session key is then derived from this master
session key using triple DES and connection information.
9
3.5.2 Key Lifetime and Destruction
The PrivateWire module does not use key archiving, automatically destroys session keys, and stores private
keys in encrypted format.
Session keys are ephemeral, and are deleted once the session key lifetime has expired, or the session is
terminated by the user or administrator. Subsequent connections require generation of a new session key
from the master session key. The security gateway maintains a cache where the master session key is
mapped to the user’s certifier public key. The Crypto-Officer can define the lifetime of this master session
key. The security gateway automatically deletes expired master session keys from the cache, forcing
establishment of new master session keys. The Client also has a cache of recently accessed servers and
master session keys which are destroyed if the Client Software is reloaded or the user logs out of a session.
Private keys are stored in encrypted form, and never as plaintext critical security parameters and hence do
not need to be destroyed. However, the user has the option of manually destroying their public and private
keys by locating the file on their local directory and physically destroying the file.
3.6 Self-Tests
The client application includes several tests to ensure the integrity and correct operation of the module as
required by FIPS. These include the following:
The PrivateWire software module includes the following self-tests to ensure the integrity and correct
operation of the module. These include the following:
• PrivateWire module Software/firmware test
• DES Encrypt Cryptographic Algorithms Known Answer Test
• DES Decrypt Cryptographic Algorithms Known Answer Test
• 3-DES Encrypt Cryptographic Algorithms Known Answer Test
• 3-DES Decrypt Cryptographic Algorithms Known Answer Test
• Continuous Random Number Generator
• Software/firmware test
• Pair-wise consistency test
• Critical functions test (client only)