Dell EMC VNX 6 Gb/s SAS I/O Module with Encryption Hardware Versions: 1.1.1-303-161-103B-04 and 1.2.1-303-224-000C-03 Firmware Version: 2.13.46 FIPS 140-2 Non-Proprietary Security Policy FIPS Security Level: 1 Document Version: 0.8 Prepared for: Prepared by: Dell EMC Corsec Security, Inc. 176 South Street 13921 Park Center Road, Suite 460 Hopkinton, MA 01748 Herndon, VA 20171 United States of America United States of America Phone: +1 806 438 3622 Phone: +1 703 267 6050 www.dellemc.com www.corsec.com FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 2 of 20 Table of Contents 1. Introduction ..........................................................................................................................................4 1.1 Purpose.....................................................................................................................................................4 1.2 References................................................................................................................................................4 1.3 Document Organization ...........................................................................................................................4 2. VNX 6 Gb/s SAS I/O Module with Encryption..........................................................................................5 2.1 Overview...................................................................................................................................................5 2.2 Module Specification................................................................................................................................7 2.3 Module Interfaces ....................................................................................................................................9 2.4 Roles and Services ................................................................................................................................. 10 2.5 Physical Security.................................................................................................................................... 11 2.6 Operational Environment...................................................................................................................... 12 2.7 Cryptographic Key Management........................................................................................................... 12 2.8 EMI / EMC.............................................................................................................................................. 13 2.9 Self-Tests ............................................................................................................................................... 13 2.9.1 Power-Up Self-Tests ................................................................................................................. 13 2.9.2 Conditional Self-Tests............................................................................................................... 13 2.9.3 Critical Functions Self-Tests...................................................................................................... 13 2.10 Mitigation of Other Attacks................................................................................................................... 14 3. Secure Operation.................................................................................................................................15 3.1 Initial Setup............................................................................................................................................ 15 3.2 Secure Management ............................................................................................................................. 16 3.2.1 Management ............................................................................................................................ 16 3.2.2 Monitoring Status..................................................................................................................... 16 3.2.3 Zeroization................................................................................................................................ 16 3.3 User Guidance ....................................................................................................................................... 17 3.4 Non-FIPS-Approved Mode..................................................................................................................... 17 4. Acronyms ............................................................................................................................................18 List of Tables Table 1 – Security Level per FIPS 140-2 Sections........................................................................................................7 Table 2 – Algorithm Certificate Numbers...................................................................................................................9 Table 3 – FIPS 140-2 Logical Interface Mappings.......................................................................................................9 Table 4 – CO and User Services ............................................................................................................................... 10 Table 5 – Services Not Requiring Role Assumption................................................................................................. 11 Table 6 – Cryptographic Keys, Cryptographic Key Components, and CSPs............................................................. 12 Table 7 – Zeroization Commands............................................................................................................................ 16 Table 8 – Acronyms ................................................................................................................................................. 18 FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 3 of 20 List of Figures Figure 1 – UltraFlex Form Factor (Top View)..............................................................................................................5 Figure 2 – UltraFlex Form Factor (Bottom View)........................................................................................................6 Figure 3 – Base Module Form Factor (Top View) .......................................................................................................6 Figure 4 – Base Module Form Factor (Bottom View).................................................................................................7 Figure 5 – VNX 6 Gb/s SAS I/O Module with Encryption Block Diagram....................................................................8 FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 4 of 20 1. Introduction 1.1 Purpose This is a non-proprietary Cryptographic Module Security Policy for Dell EMC’s VNX 6 Gb/s1 SAS2,3 I/O4 Module with Encryption (firmware version: 2.13.46). This Security Policy describes how the VNX 6 Gb/s SAS I/O Module with Encryption meets the security requirements of Federal Information Processing Standards (FIPS) Publication 140- 2, which details the United States (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 Canadian Centre for Cyber Security (CCCS) Cryptographic Module Validation Program (CMVP) website at https://csrc.nist.gov/groups/STM/cmvp. This document also describes how to operate the module in a secure FIPS-Approved mode of operation. This policy was prepared as part of the Level 1 FIPS 140-2 validation of the module. In this document, the VNX 6 Gb/s SAS I/O Module with Encryption is also referred to as the module. This Security Policy and the other validation submission documentation were produced by Corsec Security, Inc. under contract to Dell EMC. 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 Dell EMC website (www.dellemc.com) contains information on the full line of products from Dell EMC. • The search page on the CMVP website (https://csrc.nist.gov/Projects/cryptographic-module-validation- program/Validated-Modules/Search) can be used to locate and obtain vendor contact information for technical or sales-related questions about the module. 1.3 Document Organization The Security Policy document is organized into two (2) primary sections. Section 2 provides an overview of the validated module. This includes a general description of the capabilities and the use of cryptography, as well as a presentation of the validation level achieved in each applicable functional area of the FIPS standard. It also provides high-level descriptions of how the module meets FIPS requirements in each functional area. Section 3 documents the guidance needed for the secure use of the module, including initial setup instructions and management methods and policies. 1 Gb/s – Gigabit per second 2 SAS – Serial Attached SCSI 3 SCSI – Small Computer System Interface 4 I/O – Input/Output FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 5 of 20 2. VNX 6 Gb/s SAS I/O Module with Encryption 2.1 Overview The Dell EMC VNX 6 Gb/s SAS I/O Module with Encryption is a high-density SAS controller executing specialized firmware that provides Data At Rest Encryption (D@RE) for Dell EMC VNX Storage Arrays. D@RE provides data security and offers a convenient means to decommission all drives in the system at once. Information is protected from unauthorized access even when drives are physically removed from the system. The VNX 6 Gb/s SAS I/O Module with Encryption is an optimized solution for native SAS/SATA5 HBA6 applications. The VNX 6 Gb/s SAS I/O Module with Encryption implements 256-bit XTS7,8,9 -AES10 encryption on all SAS drives in the host array. The module, powered by a Microchip SAS controller (PM8009 or PM8019), encrypts and decrypts data as it is being written to or read from a SAS drive. D@RE utilizes hardware embedded in the SAS controller for encryption. The module is currently deployed in two form factors: • The first form factor includes the PM8019 SAS controller variant (version 1.1.1-303-161-103B-04), and is embedded in a pluggable hardware module, the UltraFlex SAS I/O Module. The PM8019 is a sixteen-lane SAS controller configured to provide four quad-lane SAS interfaces or two eight-lane SAS interfaces. Figure 1 and Figure 2 below provide top and bottom views of the UltraFlex form factor. SAS Controller SEEPROM Reference Clock Figure 1 – UltraFlex Form Factor (Top View) 5 SATA – Serial Advanced Technology Advancement 6 HBA – Host Bus Adapter 7 XTS – XEX-based tweaked-codebook mode with ciphertext stealing 8 XEX – XOR-Encrypt-XOR 9 XOR – Exclusive Or 10 AES – Advanced Encryption Standard FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 6 of 20 Flash Memory Figure 2 – UltraFlex Form Factor (Bottom View) • The second form factor includes the PM8009 SAS controller variant (version 1.2.1-303-224-000C-03) and is embedded within the Base Module of a storage processor of the VNX Storage Arrays. The PM8009 is an eight-lane SAS controller configured to provide two quad-lane SAS interfaces. Figure 3 and Figure 4 below provide top and bottom views of the Base Module form factor. SAS Controller SEEPROM Reference Clock Figure 3 – Base Module Form Factor (Top View) FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 7 of 20 Flash Memory Figure 4 – Base Module Form Factor (Bottom View) The VNX 6 Gb/s SAS I/O Module with Encryption is validated at the FIPS 140-2 Section levels shown in Table 1 below. Table 1 – Security Level per FIPS 140-2 Sections Section Section Title Level 1 Cryptographic Module Specification 1 2 Cryptographic Module Ports and Interfaces 1 3 Roles, Services, and Authentication 1 4 Finite State Model 1 5 Physical Security 1 6 Operational Environment N/A11 7 Cryptographic Key Management 1 8 EMI/EMC12 1 9 Self-tests 1 10 Design Assurance 1 11 Mitigation of Other Attacks N/A 2.2 Module Specification The VNX 6 Gb/s SAS I/O Module with Encryption is a hardware module with a multiple-chip embedded embodiment. The overall security level of the module is 1. 11 N/A – Not Applicable 12 EMI/EMC – Electromagnetic Interference / Electromagnetic Compatibility FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 8 of 20 The cryptographic boundary of the VNX 6 Gb/s SAS I/O Module with Encryption includes the following components: • SAS Controller (either PM8009 or PM8019) • Flash Memory • SEEPROM13 • Reference Clock The cryptographic module includes 64 MB14 of Flash memory for firmware storage and error logging and 32 KB15 SEEPROM for boot block, errata storage, and initialization of the module. The module also includes an on-board 75 MHz16 reference clock. The module uses SAS ports to interface with the attached storage, and PCIe17 to interface with the host server. Figure 5 below presents the block diagram of the module. Figure 5 – VNX 6 Gb/s SAS I/O Module with Encryption Block Diagram The module implements the FIPS-Approved cryptographic algorithms listed in Table 2 below. 13 SEEPROM – Serial Electrically Erasable Programmable Read Only Memory 14 MB – Megabyte 15 KB – Kilobyte 16 MHz – Megahertz 17 PCIe – Peripheral Component Interconnect Express FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 9 of 20 Table 2 – Algorithm Certificate Numbers Certificate Number Algorithm Standard Mode / Method Key Lengths / Curves / Moduli Use PM8009 PM8019 3502 3512 AES FIPS PUB18 197 ECB19 256 encryption/decryption FIPS PUB 197 NIST SP 800-38E XTS 256 encryption/decryption FIPS PUB 197 NIST SP20 800-38F KW21 256 key unwrapping Note: XTS-AES is only approved for storage applications. 2.3 Module Interfaces The module’s design separates the physical connections into four logically distinct and isolated categories. They are as follows: • Data Input Interface • Data Output Interface • Control Input Interface • Status Output Interface In addition, the module supports a Power input interface. Physical interfaces for the VNX 6 Gb/s SAS I/O Module with Encryption are described in Table 3 below. Table 3 – FIPS 140-2 Logical Interface Mappings Physical Port/Interface Quantity FIPS 140-2 Interface PCIe interface 1 • Data input • Data output • Control input • Status output • Power input SAS interface PM8009: 2 x 4 (8 x 6G) ports • Data input • Data output PM8019: 4 x 4 (16 x 6G) ports • Data input • Data output 18 PUB – Publication 19 ECB – Electronic Code Book 20 SP – Special Publication 21 KW – Key Wrap FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 10 of 20 2.4 Roles and Services There are two roles in the module that operators may assume: Crypto Officer (CO) role and User role. Roles are assumed implicitly based on the service accessed. Descriptions of the services available to a CO and a User are described below in Table 4. Please note that the keys and Critical Security Parameters (CSPs) listed in the Table 4 indicate the type of access required using the following notation: • R – Read: The CSP is read. • W – Write: The CSP is established, generated, modified, or zeroized. • X – Execute: The CSP is used within an Approved or Allowed security function or authentication mechanism. Table 4 – CO and User Services Service Operator Description Input Output CSP and Type of Access CO User Configure encryption control parameters ✓ Initialize the module by configuring module’s encryption control parameters Command Status output None Show Status ✓ Show module’s status Command Status output None Perform self-tests ✓ Invoke self-tests Reboot or power- cycling Status output None Manage KEK22 ✓ Deliver the wrapped KEK to the module to update or invalidate (zeroize) Command Status output KEK-KEK23 – RX KEK – W Manage DEK24 ✓ Update or invalidate (zeroize) DEK Command Status output DEK – W Rekey ✓ Change the DEK for all or a subset of drives Command Status output DEK – RW 22 KEK – Key Encryption Key 23 KEK-KEK – Key Encryption Key-Key Encryption Key 24 DEK – Data Encryption Key FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 11 of 20 Service Operator Description Input Output CSP and Type of Access CO User Perform Encryption and Decryption I/Os25 ✓ Perform encryption/ decryption I/Os when the host server initiates an SSP26 I/O operation with an optional DIF27 and/or encryption function Command Status output KEK – RX DEK – WRX The module also offers services that do not require the assumption of an authorized role. While several of these services do access CSPs, that access is limited to zeroization, which is allowed to be performed without requiring assumption of an authorized role (per the “Additional Comments” section in FIPS Implementation Guidance item 3.1). Services that do not require role assumption are shown in Table 5 below. Table 5 – Services Not Requiring Role Assumption Service Description Input Output CSP and Type of Access Power down Power down the module using command Command Status output KEK – W DEK – W Decommission Zeroize DEK, KEK, and KEK-KEK Command Command response DEK – W KEK – W KEK-KEK – W Remove RAID28 group Zeroize DEK Command Command response DEK – W Remove physical drive Zeroize DEK Command Command response DEK – W 2.5 Physical Security The VNX 6 Gb/s SAS I/O Module with Encryption is a multiple-chip embedded cryptographic module. The module consists of production-grade29 components that include standard passivation techniques. 25 The wrapped DEK is imported to the module, unwrapped using the KEK, and stored within the controller as part of the encryption/decryption I/O command if the DEK does not already exist within the controller. 26 SSP – Serial SCSI Protocol 27 DIF – Data Integrity Function 28 RAID – Redundant Array of Independent Disks 29 Production grade is robust/rugged metal and plastic designed for intensive computing environments (i.e., server rooms) with standard passivation applied to the metal that is designed to meet requirements for power, temperature, reliability, shock, and vibrations. FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 12 of 20 2.6 Operational Environment The cryptographic module employs a non-modifiable operating environment. The cryptographic module does not provide a general-purpose operating system (OS) to the operator. The operational environment of the cryptographic module consists of the module’s firmware. The module only loads and executes the FIPS-validated firmware that successfully passes the 32-bit CRC30 verification method. 2.7 Cryptographic Key Management The module supports the CSPs listed below in Table 6 below. Table 6 – Cryptographic Keys, Cryptographic Key Components, and CSPs CSP CSP Type Generation / Input Output Storage Zeroization Use DEK 256-bit XTS-AES key Generated externally and entered electronically in ciphertext Never exits the module Stored in plaintext in RAM31 32 Power-cycling, RAID group removal, physical drive removal, or decommission procedure Encryption and decryption of volumes KEK 256-bit AES-ECB key Generated externally and entered electronically in ciphertext Never exits the module Stored in plaintext in RAM Power-cycling or decommission procedure Unwrapping of DEK KEK-KEK 256-bit AES-ECB key Preloaded OR Generated externally and entered electronically in plaintext Never exits the module Stored in plaintext in Flash memory Decommission procedure Unwrapping of KEK The KEK-KEK is generated externally and loaded into the module when encryption is activated during the module’s initial configuration into the Approved mode. The KEK-KEK is loaded into the module in plaintext form from the direct-attached host device over the PCIe connection. Activation of encryption can be performed prior to delivery or by the CO upon receipt of the module. The KEK is generated outside the module on the host platform, wrapped with the KEK-KEK, then entered electronically from the host platform of the module. The module uses the KEK-KEK to unwrap the KEK using AES in KW mode (Cert. #3502 or #3512). 30 CRC – Cyclic Redundancy Check 31 RAM – Random Access Memory 32 RAM here refers to any PM8009/PM8019 internal memory such as registers, or GSM (Global Shared Memory) FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 13 of 20 The DEK is generated outside the module on the host platform, wrapped with the KEK, then entered electronically from the host platform of the module. The module then uses the KEK to unwrap the DEK using AES in KW mode (Cert. #3502 or #3512). 2.8 EMI / EMC The VNX 6 Gb/s SAS I/O Module with Encryption 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 (business use). 2.9 Self-Tests Cryptographic self-tests are performed by the module when the module is first powered up and loaded into memory. These power-up self-tests can be initiated on-demand at any time by rebooting or power-cycling the module. The following sections list the self-tests performed by the module, their expected error status, and the error resolutions. 2.9.1 Power-Up Self-Tests Once the module is initialized, self-tests are automatically invoked during power-up. When the power-up self- tests complete successfully, the module is in a fully operational state. The VNX 6 Gb/s SAS I/O Module with Encryption performs the following self-tests: • Firmware Integrity Test on the Image Loader Agent firmware using an Error Detection Code (32-bit CRC) • Firmware Integrity Test on the module’s operational firmware using an Error Detection Code (32-bit CRC) • Known Answer Tests (KATs) o AES-ECB Encrypt KAT o AES-ECB Decrypt KAT o XTS-AES Encrypt KAT o XTS-AES Decrypt KAT If the module fails a power-up self-test, then a critical error occurs. The error is logged in Scratchpad Register 1 and Scratchpad Register 3. When the module enters critical error state, no cryptographic processing takes place and all data output is inhibited. To clear the critical error state, the module must be power-cycled or rebooted. If the condition persists, the module must be serviced by Dell EMC. 2.9.2 Conditional Self-Tests The module does not perform any FIPS-required conditional self-tests. 2.9.3 Critical Functions Self-Tests The VNX 6 Gb/s SAS I/O Module with Encryption performs the following critical functions self-tests: FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 14 of 20 • AES Key Unwrap KAT • XTS-AES Duplicate Key Test The VNX 6 Gb/s SAS I/O Module with Encryption performs the AES Key Unwrap KAT at power-up or reboot. The XTS-AES Duplicate Key Test is performed conditionally, when the DEK is imported into the module during the encryption/decryption I/O service. If the XTS-AES Duplicate Key Test fails, the module enters a soft-error state, generating an error and outputting the failure via the status output interface. Once the status is output, the error state is automatically cleared, and the module transitions back to normal operations. If the module fails the AES Key Unwrap KAT, then the module enters a critical error state. The error is logged in a register internally and output from the module over the PCIe interface. Once the module has entered the critical error state, all cryptographic processing and data output is inhibited. To clear the critical error state, the module must be power cycled or rebooted. If the condition persists, the module must be serviced by Dell EMC. 2.10 Mitigation of Other Attacks This section is not applicable. The module does not claim to mitigate any attacks beyond the FIPS 140-2 Level 1 requirements for this validation. FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 15 of 20 3. Secure Operation The VNX 6 Gb/s SAS I/O Module with Encryption meets Level 1 requirements for FIPS 140-2. The sections below describe how to operate the module in the FIPS-Approved mode of operation. 3.1 Initial Setup The module is available pre-installed on a Dell EMC VNX2 array. The CO is responsible for performing all initialization, configuration, and encryption state verification activities necessary to place the module in its FIPS- Approved mode of operation. The module can be managed through the following host server interfaces: • Unisphere Command Line Interface (CLI) • Unisphere Graphical User Interface (GUI) The commands and buttons used in these interfaces translate to commands that enter the module over the control input interface (PCIe bus). During initial setup, the CO must perform the following steps to determine if the module is configured for its FIPS- Approved mode of operation: 1. The CO shall verify the part number of the module hardware with the following part numbers: o 1.1.1-303-161-103B-04 (for the PM8019 variant) o 1.2.1-303-224-000C-03 (for the PM8009 variant) 2. The CO shall verify the version of the Dell EMC firmware running on the module using the naviseccli getresume -io command: o The Dell EMC firmware v2.40 corresponds to v2.13.46 of the Microchip firmware. 3. The CO shall determine if encryption is activated. The CO shall determine if the encryption mode is set to “Controller Based Encryption” by using the securedata -feature -info command via the Unisphere CLI or navigating to System -> System Properties -> Encryption via the Unisphere GUI. If the CO determines that the module’s encryption mode is not set, then the CO shall install and activate the “Data at Rest Encryption Enabler/License” feature on the host array. Once the license is committed, the CO shall enable encryption using the “activate” operation. The CO can use the securedata -feature - activate command via the Unisphere CLI or the “Data at Rest Encryption Activation Wizard” via the Unisphere GUI for activating encryption. Once these steps are completed, the CO shall verify that the encryption mode is updated to “Controller Based Encryption” to ensure that encryption has been properly activated. For more information on activating encryption and verifying the encryption mode, refer to the EMC VNX2: Data at Rest Encryption white paper. FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 16 of 20 Upon successful verification, the module can be confirmed to be running in its FIPS-Approved mode of operation. If any of the verification steps fails, the CO shall contact Dell EMC Customer Support for assistance. Access to the module via the JTAG33 and UART34 headers is prohibited in the FIPS-Approved mode of operation. 3.2 Secure Management The CO is responsible for ensuring that the module is operating in its FIPS-Approved mode of operation. 3.2.1 Management When configured according to the CO guidance in this Security Policy, the module only runs in a FIPS-Approved mode of operation. The CO shall manage the module via the host server’s Unisphere CLI and Unisphere GUI interfaces. Once the module is in the FIPS-Approved mode of operation, for any data-at-rest conversion operations, the CO will ensure that the host array has no network connectivity until all the existing data on the host array is encrypted. For recommendations on data-at-rest conversion operations, refer to the Security Configuration Guide for VNX. 3.2.2 Monitoring Status The CO should monitor the module status regularly for the FIPS-Approved mode of operation. When configured correctly, the module only operates in the FIPS-Approved mode. Thus, when operational, the current status is always in the FIPS-Approved mode. The module indicates the current status of the module via the Unisphere CLI and Unisphere GUI interfaces. The encryption mode of the array (N/A, Unencrypted, or Controller Based Encryption)35 is also reported on the Unisphere CLI and Unisphere GUI host interfaces. Detailed instructions for monitoring and troubleshooting the systems are provided in the Unisphere Online Help. 3.2.3 Zeroization The DEK, KEK, and KEK-KEK can be zeroized via the decommission procedure. Additionally, KEKs and DEKs may also be zeroized on power down of the module. DEKs may be zeroized through the RAID group removal procedure as well as when a physical drive is removed from the array. The commands processed during these operations are detailed in Table 7 below. Table 7 – Zeroization Commands CSP Command Input DEK DEK_MANAGEMENT Initiated via System Operation (RAID group removal, physical drive removal, decommission procedure, power down) 33 JTAG – Joint Test Action Group 34 UART – Universal Asynchronous Receiver/Transmitter 35 In the FIPS-Approved mode of operation, encryption mode of the array is always set to “Controller Based Encryption”. FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 17 of 20 CSP Command Input KEK KEK_MANAGEMENT Initiated via System Operation (Decommission procedure, power down) KEK-KEK KEK_MANAGEMENT Initiated via System Operation (Decommission procedure) 3.3 User Guidance No additional guidance for Users is required to maintain the FIPS-Approved mode of operation. 3.4 Non-FIPS-Approved Mode When initialized and configured as documented this Security Policy, the module does not support a non-FIPS- Approved mode of operation. FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 18 of 20 4. Acronyms Table 8 below provides definitions for the acronyms used in this document. Table 8 – Acronyms Acronym Definition AES Advanced Encryption Standard CCCS Canadian Centre for Cyber Security CLI Command Line Interface CMVP Cryptographic Module Validation Program CO Crypto Officer CRC Cyclic Redundancy Check CSP Critical Security Parameter D@RE Data at Rest Encryption DEK Data Encryption Key DIF Data Integrity Function ECB Electronic Code Book EEPROM Electrically Erasable Programmable Read Only Encryption EMI/EMC Electromagnetic Interference/Electromagnetic Compatibility FIPS Federal Information Processing Standard Gb/s Gigabit per second GUI Graphical User Interface HBA Host Bus Adapter I/O Input/Output JTAG Joint Test Action Group KAT Known Answer Test KEK Key Encryption Key KEK-KEK Key Encryption Key-Key Encryption Key KB Kilobyte KTS Key Transport Scheme KW Key Wrap MB Megabyte MHz Megahertz N/A Not Applicable NIST National Institute of Standards and Technology FIPS 140-2 Non-Proprietary Security Policy, Version 0.8 November 17, 2020 VNX 6 Gb/s SAS I/O Module with Encryption © 2020 Dell Inc. or its subsidiaries. All Rights Reserved. This document may be freely reproduced and distributed whole and intact including this copyright notice. Page 19 of 20 Acronym Definition OS Operating System PCIe Peripheral Component Interconnect Express P/N Part Number PUB Publication RAID Redundant Array of Independent Disks RAM Random Access Memory SAS Serial Attached SCSI SATA Serial Advanced Technology Attachment SCSI Small Computer System Interface SEEPROM Serial Electrically Erasable Programmable Read Only Encryption SP Special Publication SSP Serial SCSI Protocol UART Universal Asynchronous Receiver/Transmitter U.S. United States XEX XOR-Encrypt-XOR XOR Exclusive Or XTS XEX-Based Tweaked-Codebook Mode with Ciphertext Stealing Prepared by: Corsec Security, Inc. 13921 Park Center Road, Suite 460 Herndon, VA 20171 United States of America Phone: +1 703 267 6050 Email: info@corsec.com http://www.corsec.com