550 220 130 - 00
Rosetta USB
Model Number: USB110-GBL
Security Policy, Level 3
Version 1.4
Date: 20 June 2001
SPYRUS, Inc.
2355 Oakland Road
San Jose, CA 95131
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Revision History
REV. # DATE DESCRIPTION
1.0 17 January 2001 Original (Firmware Version FUP03)
1.1 2 March 2001 Add in Load Key for Zeroize
1.2 8 March 2001 Edit Security Rules
1.3 18 April 2001 Edit Security Rules
1.4 20 June 2001 Addition of Model Number to Document
© 2001 SPYRUS. All Rights Reserved.
This document is provided only for informational purposes and is accurate as of the date of
publication. This document may not be distributed for profit. It may be copied subject to the
following conditions:
§ All text must be copied without modification and all pages must be included.
§ All copies must contain the SPYRUS copyright notices and any other notices
provided herein.
SPYRUS, the SPYRUS logos, Lynks Privacy Card, Security In A Box, and SPEX/ are registered
trademarks of SPYRUS. Algorithm Agile, CRYPTOCALCULATOR, Hydra Privacy Card, Lynks
Metering Device, Personal Access Reader, Rosetta, Signet, SPYCOS, Talisman/DS,
Talisman/SAM, WEBACCESS, WEBREG, WEBSAFE, and WEBWALLET are trademarks of
SPYRUS.
Terisa Systems is a registered trademark, and SecureWeb Toolkit and SecureWeb Payments are
trademarks of Terisa Systems, Inc., a wholly-owned subsidiary of SPYRUS.
All other trademarks are the property of their respective owners.
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Contents
1 INTRODUCTION.......................................................................................................... 1
1.1 Scope......................................................................................................................1
1.2 Rosetta USB Overview............................................................................................1
1.3 Rosetta USB Implementation....................................................................................2
1.4 Rosetta USB Cryptographic Boundary.....................................................................2
2 FIPS 140-1 SECURITY LEVELS................................................................................... 3
3 SECURITY RULES........................................................................................................ 4
2.1 FIPS 140-1 Related Security Rules..........................................................................4
2.2 SPYRUS Imposed Security Rules............................................................................6
4 ROLES AND SERVICES................................................................................................ 7
4.1 Rosetta USB Supported Roles.................................................................................7
4.2 Rosetta USB Services..............................................................................................8
5 IDENTIFICATION AND AUTHENTICATION .................................................................. 11
5.1 Identification..........................................................................................................11
5.2 Authentication........................................................................................................11
6 ACCESS CONTROL................................................................................................... 12
6.1 Security Relevant Data Items (SRDIs)....................................................................12
6.2 SRDI Access Types...............................................................................................12
6.3 Access Matrix........................................................................................................13
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1 Introduction
1.1 Scope
This Security Policy specifies the security rules under which the Rosetta USB
Cryptographic Module, herein identified as the Rosetta USB, must operate.
Included in these rules are those derived from the security requirements of FIPS
140-1 and additionally, those imposed by SPYRUS, Inc. These rules, in total, define
the interrelationship between the:
1. module operators,
2. module services, and
3. security related data items (SRDIs).
1.2 Rosetta USB Overview
The Rosetta USB (Figure 1-1) is a low cost cryptographic processor that can be
used in place of a standard ISO7816 smartcard token. The Rosetta USB (Model
Number USB110-GBL) provides the following features:
• Blue Over-molding (Visible LEDs)
• RSA Key Generation (non-deletable)
• FIPS 140-1, Level 3 Certification
The Rosetta USB is contained in a tamper resistant case and incorporates
microprocessors, Ram, and EEPROM technologies. Communication is
accomplished over a standard USB interface to a host computer running at 12M
bits/s. The intended use of this product is to provide Rosetta Smartcard
capabilities in an environment where existing SPYRUS smartcard technologies
could not be deployed.
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Figure 1-1
Rosetta USB
1.3 Rosetta USB Implementation
The Rosetta USB is implemented as a Multi-chip Stand-alone module as defined by
FIPS 140-1.
1.4 Rosetta USB Cryptographic Boundary
The Cryptographic Boundary is defined to be the edge of the Rosetta USB. The
cryptographic components are protected by a hard, opaque material compliant to
the requirements of FIPS 140-1, Level 3 and over-molded with the USB case. The
over-molding forms a non-removable case. Non-cryptographic H/W components
are excluded from the requirements of FIPS 140-1. See Table 4.1 for F/W
components that are excluded from the requirements of FIPS 140-1.
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2 FIPS 140-1 Security Levels
The Rosetta USB cryptographic module passes FIPS 140-1 certification to the
levels defined in Table 2.1. The FIPS 140-1 overall rating of the Rosetta USB is
Level 3.
Table 2.1
Rosetta USB Security Levels
FIPS 140-1 Security Requirements Section Level
1. Cryptographic Module 3
2. Module Interfaces 3
3. Roles and Services 3
4. Finite State Machine Model 3
5. Physical Security 3
6. Software Security 3
7. Operating System Security N/A
8. Key Management 3
9. Cryptographic Algorithms 3
10. EMI / EMC 3
11. Self Tests 3
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3 Security Rules
The Rosetta USB enforces the following security rules. These rules are separated
into two categories, 1) those imposed by FIPS 140-1 and, 2) those imposed by
SPYRUS, Inc.
3.1 FIPS 140-1 Related Security Rules
1. The Rosetta USB supports the following interfaces:
• Data input interface.
• Data output interface.
• Control input interface.
• Status output interface.
2. The Rosetta USB interfaces are logically distinct from each other.
3. The Rosetta USB inhibits all data output via the data output interface whenever
an error state exists and during self-tests.
4. The Rosetta USB logically disconnects the output data path from the circuitry
and processes performing the following key functions:
• key generation, and
• zeroization
5. The Rosetta USB enforces Identity-Based authentication.
6. The Rosetta USB supports a User role and a Cryptographic Officer role.
7. The Rosetta USB re-authenticates an identity when it is powered-up after being
powered-off.
8. The Rosetta USB provides the following services:
• Reference Table 4.1.
9. A hard, opaque material protects the non-excluded components within the
cryptographic boundary.
10.The Rosetta USB contains production quality ICs with standard passivation.
11.The Rosetta USB is implemented as a production-grade multi-chip
embodiment.
12.The Rosetta USB software is implemented using a high-level language except
that limited use of a low-level language is used to enhance the performance of
the module.
13.The Rosetta USB protects the following keys from unauthorized disclosure,
modification and substitution:
• secret keys.
• private keys.
14.The Rosetta USB protects public keys against unauthorized modification and
substitution.
15.The Rosetta USB generates keys using an approved FIPS 140-1 random
number generator.
16.The Rosetta USB provides that:
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• a key entered into,
• stored within, or
• output from
the Rosetta USB is associated with the correct entities to which the key is
assigned.
17.The Rosetta USB provides the capability to zeroize all plaintext cryptographic
keys and other unprotected critical security parameters within the Rosetta USB.
18.The Rosetta USB supports the following algorithms:
Encryption & Decryption
DES (ECB64, CBC64)
Triple DES (2 Key and 3 Key CBC)
Skipjack (ECB64) (internal use only)
Key Wrap & Unwrap
DES (ECB64, CBC64)
Triple DES (2 Key and 3 Key CBC)
Digital Signatures
DSA
RSA (512-1024 bit)
Digital Signature Verification
RSA (512-1024 bit)
Key Transport / Key Agreement
RSA (512-1024 bit)
KEA (Primitives only)
19.The Rosetta USB conforms to the EMI/EMC requirements specified in FCC Part
15, Subpart J, Class B.
20.The Rosetta USB performs the following self-tests:
Power-up and on-demand tests:
• Cryptographic algorithm known answer tests (KAT).
• Software/firmware test.
• Statistical random number generator tests (on-demand only).
Conditional tests:
• Pairwise consistency test (RSA key generation).
• KAT (DSA key generation).
• Continuous random number generator test.
21.The power-up tests do not require operator intervention in order to run.
22.The Rosetta USB provides an indication via the "status output" interface if all of
the power-up tests are passed successfully.
23.The Rosetta USB outputs an error indicator via the status interface whenever an
error state is entered due to a failed self-test.
24.The Rosetta USB does not perform any cryptographic functions while in an Error
State.
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3.2 SPYRUS Imposed Security Rules
1. The Rosetta USB does not input/output plaintext private/secret keys or other
critical security parameters.
2. The Rosetta USB does not support a multiple concurrent operators.
3. The Rosetta USB does not support a bypass mode.
4. The Rosetta USB does not provide a maintenance role/interface.
5. The Rosetta USB requires the re-authentication of identity when changing roles.
6. The Rosetta USB does not support the loading of Software/Firmware.
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4 Roles and Services
4.1 Rosetta USB Supported Roles
The Rosetta USB supports two roles, Crypto-officer (also called Site Security
Officer (SSO)) and User, and enforces the separation of these roles by restricting
the services available to each one.
Crypto-officer Role: The Crypto-officer is responsible for initializing the Rosetta
USB. Initialization is typically performed using a Certificate Authority Workstation
(CAW) that is secured according to the site security policy of the deploying
organization.
Before issuing a Rosetta USB to an end user, the Crypto-officer initializes the
Rosetta USB with private keying material and certificate information. The Rosetta
USB validates the Crypto-officer identity & split key before accepting any
initialization commands.
User Role: The User role is available after the Rosetta USB has been loaded with
a User personality & split key.
The Rosetta USB validates the User identity & split key before access is granted.
Each personality corresponds to a separate public/private key pair plus other
information. The Crypto-officer may set up these User personalities during the
initialization process.
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4.2 Rosetta USB Services
The following table describes the services provided by the Rosetta USB.
Table 4.1
Rosetta USB Services
Service Name Service Description
Get Public The GET PUBLIC command returns header information / file size on a private
key file.
Get Challenge The GET CHALLENGE command returns a fixed length random number to be
used in authentication schemes between the USB and applications. This
command is excluded from FIPS operation.
Execute The EXECUTE command runs executable code loaded by SPYRUS in
EEPROM during USB F/W installation.
Generate Fast Random The GENERATE FAST RANDOM generates random numbers without
employing entropy managing F/W on the input of the FIPS RNG. The random
number is provided in the Data Out-Block. This command is excluded from
FIPS operation.
Self-test The SELF TEST command initiates the power-on self tests and the Statistical
Random Number Generator self-test.
Read Binary The READ BINARY command allows the content of a file to be read by the
application based on access conditions.
Update Binary The UPDATE BINARY command updates the data in the selected file with the
data provided based on access conditions.
Secure Update Binary The SECURE UPDATE BINARY command is used to load an encrypted
private key into a selected key file based on access conditions.
File Status The FILE STATUS command retrieves the status information for the file
currently selected.
Select File The SELECT FILE command sets a current file within a logical channel based
on access conditions.
Create File The CREATE FILE command creates a file providing the parent directory
access conditions for the create command have been fulfilled.
Delete File The DELETE FILE command deletes a file/ directory based on access
conditions. This command is also used to delete the contents of an encrypted
private key file.
Extend The EXTEND command extends the length of a file or directory based on
access conditions.
Directory The DIRECTORY command retrieves a directory listing from the current
directory and sub-directories if the recursive mode is used providing appropriate
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access conditions have been fulfilled.
Get Response The GET RESPONSE command provides a generic method for transmitting
APDU(s), or part of APDU(s) from the USB to the application when the
available protocols cannot be used.
Rehabilitate (Enable) The REHABILITATE command enables a previously disabled file based on
access conditions. If executed on a file that is not disabled, no change is made
to the file state and the command returns a success response code.
Invalidate (Disable) The INVALIDATE command disables all operations on a file based on access
conditions.
Block PIN The BLOCK PIN command allows a PIN to be blocked.
Unblock PIN The UNBLOCK PIN command allows a PIN that has been blocked using the
BLOCK PIN command or after too many unsuccessful CHECK PIN attempts
to be unblocked.
Check PIN The CHECK PIN command inputs a split key to be used to decrypt an
internally stored encrypted Pin Phrase to authenticate an operator to the USB.
Change PIN The CHANGE PIN command allows the old split key to be changed to a new
split key providing the old split key is correct.
Set Key The SET KEY command facilitates setting an MEK to be the first, second or
third key for use with the DES engine.
Load Key The LOAD KEY command is used to overwrite (with FFs) a selected volatile
key register to zeroize a session MEK.
RSA Key Generate The RSA KEY GENERATE command generates an RSA public/private
keypair.
RSA Wrap Key The RSA WRAP KEY command facilitates public key wrapping of an MEK.
This command will create a PKCS#1 compatible key object.
Generate Random The GENERATE RANDOM command will cause the USB to generate a
random number and return the value in the Data Out-Block.
Generate RA The GENERATE RA command creates an RA for use in applications. User
must load the required cryptographic variables prior to key generation.
Generate TEK The GENERATE TEK command creates a pairwise bit pool for use in
symmetric wrapping and unwrapping operations.
Generate X The GENERATE X command creates DSA and/or KEA Public and Private
Keying material. The required cryptographic variables must be loaded prior to
key generation.
Load Cryptographic
Data
The LOAD CRYPTOGRAPHIC DATA command supports the loading of
cryptographic variables required by other commands.
Encrypt The ENCRYPT command performs the encryption process on the input data,
and returns the ciphertext data.
Decrypt The DECRYPT command performs a decryption process on the input data and
sets up the plaintext data for retrieval.
DSA Sign The DSA SIGN command computes a digital signature on the input data using
the DSA algorithm.
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RSA Sign The RSA SIGN command computes a digital signature on the input data using
the RSA algorithm.
RSA Verify Signature The RSA VERIFY SIGNATURE command verifies the RSA signature on the
input data.
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5 Identification and Authentication
5.1 Identification
The Crypto-officer installs personalities into the Rosetta USB during initialization.
These personalities are used to define the identity and privileges of the Users.
5.2 Authentication
During initialization, the Crypto-officer loads the PIN file that contains the encrypted
information required by the authentication process. The Crypto-officer provides the
User with a split key required by the authentication process.
During login, a User selects a desired personality and provides the appropriate split
key. If authentication is verified, the User is granted access to services defined by
the assumed personality.
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6 Access Control
6.1 Security Relevant Data Items (SRDIs)
Table 6.1
Rosetta USB SRDIs
SRDI Description
Private keys (Asymmetric) Cryptographic keys used in public key (asymmetric) algorithms.
These keys are used in digital signature and decryption (during key
exchange) operations.
Secret keys (Symmetric) Cryptographic keys used in secret key (symmetric) algorithms. These
keys are used in data encryption/decryption operations.
6.2 SRDI Access Type
Table 6.2
Rosetta USB Access Types
Access Type Description
Generate (G) “Generate” is defined as the creation of a private or secret key.
Delete (D) “Delete” is defined as the zeroization of a private or secret key.
Use (U) “Use” is defined as the process in which a private or secret key is
employed. This can be in the form of encryption, decryption, signature
verification, or key wrapping.
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6.3 Access Matrix
Table 6.3
Rosetta USB Access Matrix
Service Name Roles SRDI’s
CO User Private Keys Secret Keys
Get Public X X
Get Challenge Excluded
Execute X X
Generate Fast
Random
Excluded
Self-test X X U U
Read Binary X X
Update Binary X X
Secure Update
Binary
X X U U
File Status X X
Select File X X
Create File X X
Delete File X X Note: Can be used to delete a file
containing an encrypted private key.
Extend X X
Directory X X
Get Response X X
Rehabilitate (Enable) X X
Invalidate (Disable) X X
Block PIN X
Unblock PIN X U
Check PIN X X U
Change PIN X X U
Set Key X X
Load Key X X D
RSA Key Generate X X G U
RSA Wrap Key X X U U
Generate Random X X
Generate RA X X
Generate TEK X X G
Generate X X X G U
Load Cryptographic
Data
X X
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Encrypt X X U
Decrypt X X U
DSA Sign X U
RSA Sign X U
RSA Verify Signature X X