Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Non-Proprietary Security Policy by Trend Micro Inc. Version 2.0.16 Document Version: 1.7 March 16, 2022 Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page2of 28 Acknowledgments The Deep Discovery Analyzer OpenSSL Cryptographic Module is a rebranding of the OpenSSL FIPS Object Module SE targeted and tested for specific Trend Micro platforms. This document was derived from the security policy associated with the OpenSSL FIPS 140-2 validation certificate number #2398. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page3of 28 Modification History 2018-11-14 Addition of new platform: #42 CentOS 7.1 on Intel(R) Xeon(R) CPU E5-2620 v2 @ 2.10GHz 24 cores #43 CentOS 7.1 on Intel(R) Xeon(R) CPU E5-2650 v3 @ 2.30GHz 40 cores #44 CentOS 7.1 on Intel(R) Xeon(R) Gold 5118 CPU @ 2.30GHz 48 cores 2019-07-24 Update the certificate number in Table 4 2019-12-03 Update as NIST CMVP’s comment#1. 2020-01-22 Update as NIST CMVP’s comment#3. 2020-04-29 Update as NIST CMVP’s comment#6. 2020-05-29 Transition of FIPS 186-4 RSA. 2022-02-08 Update as NIST CMVP’s comment. 2022-03-16 Update as NIST CMVP’s comment. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page4of 28 References Reference Full Specification Name [ANS X9.31] Digital Signatures Using Reversible Public Key Cryptography for the Financial Services Industry (rDSA) [FIPS 140-2] Security Requirements for Cryptographic modules, May 25, 2001 [FIPS 180-3] Secure Hash Standard [FIPS 186-4] Digital Signature Standard [FIPS 197] Advanced Encryption Standard [FIPS 198-1] The Keyed-Hash Message Authentication Code (HMAC) [SP 800-38B] Recommendation for Block Cipher Modes of Operation: The CMAC Mode for Authentication [SP 800-38C] Recommendation for Block Cipher Modes of Operation: The CCM Mode for Authentication and Confidentiality [SP 800-38D] Recommendation for Block Cipher Modes of Operation: Galois/Counter Mode (GCM) and GMAC [SP 800-56A] Recommendation for Pair-Wise Key Establishment Schemes Using Discrete Logarithm Cryptography [SP 800- 67R1] Recommendation for the Triple Data Encryption Algorithm (TDEA) Block Cipher [SP 800-89] Recommendation for Obtaining Assurances for Digital Signature Applications [SP 800-90] Recommendation for Random Number Generation Using Deterministic Random Bit Generators [SP 800- 131A] Transitions: Recommendation for Transitioning the Use of Cryptographic Algorithms and Key Lengths Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page5of 28 Table of Contents 1 Introduction.........................................................................................................................6 2 Tested Configurations .........................................................................................................8 3 Ports and Interfaces ............................................................................................................8 4 Modes of Operation and Cryptographic Functionality.......................................................9 4.1 Critical Security Parameters and Public Keys......................................................... 13 5 Roles, Authentication and Services................................................................................... 16 6 Self-test..............................................................................................................................18 7 Operational Environment ................................................................................................ 20 8 Mitigation of other Attacks ............................................................................................... 21 Appendix A Installation and Usage Guidance.................................................................22 Appendix B Controlled Distribution File Fingerprint.....................................................25 Appendix C Compilers .....................................................................................................28 Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page6of 28 1 Introduction This document is the non-proprietary security policy for the Deep Discovery Analyzer OpenSSL Cryptographic Module, hereafter referred to as the Module. The Deep Discovery Analyzer Module is a rebranding of the OpenSSL FIPS Object Module SE, tested and targeted for specific Trend Micro platforms. TheModuleisasoftwarelibraryprovidingaC-languageapplicationprograminterface(API)for usebyotherprocessesthatrequirecryptographicfunctionality.TheModuleisclassifiedbyFIPS 140-2 as a software module, multi-chip standalone module embodiment. The physical cryptographicboundaryisthegeneralpurposecomputeronwhichthemoduleisinstalled.The logical cryptographic boundary ofthe Module isthe fipscanister object module, a single object module file named fipscanister.o (Linux® 1 /Unix® 2 and Vxworks® 3 ) or fipscanister.lib (Microsoft Windows® 4 ). TheModuleperformsnocommunications otherthanwiththecallingapplication (the process that invokes the Moduleservices). The Module’s software version for this validation is 2.0.16, rebranded and based on the OpenSSL FIPS Object Module SE (certificate #2398) of the same version. The v2.0.16 Module incorporates changes from earlier revisions of the Module to support additional platforms. The v2.0.16 Module can be used in all the environments supported by the earlier v2.0.9, v2.0.10, v2.0.11, v2.0.12, v2.0.13, v2.0.14, and v2.0.15 revisions of the Module. The FIPS 140-2 security levels for the Module are as follows: Security Requirement Security Level Cryptographic Module Specification 1 Cryptographic Module Ports and Interfaces 1 Roles, Services, and Authentication 2 Finite State Model 1 Physical Security NA Operational Environment 1 Cryptographic Key Management 1 EMI/EMC 1 Self-Tests 1 Design Assurance 3 Mitigation of Other Attacks NA Table 1 – Security Level of Security Requirements 1 Linux is the registered trademark of Linus Torvalds in the U.S. and other countries. 2 UNIX is a registered trademark of The Open Group 3 Vxworks is a registered trademark owned by Wind River Systems, Inc 4 WindowsisaregisteredtrademarkofMicrosoft CorporationintheUnitedStatesandothercountries. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page7of 28 The Module’s softwareversion forthis validation is2.0.16. The v2.0.16 Module incorporates changes from earlier revisions of the Module to support additional platforms. The v2.0.16 Module can beused inall the environments supported bythe earlier v2.0.9, v2.0.10, v2.0.11, v2.0.12, v2.0.13, v2.0.14, and v2.0.15 revisions of the Module. Figure 1 -Module Block Diagram Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page8 of 28 2 Tested Configurations # Operating System Platform Processor Optimizations (Target) EC B 1 CentOS 7.1 DDAN 1200v1 (Dell OEMR R740XL) Intel® Xeon® Gold 5118 None BKP U2 2 CentOS 7.1 DDAN 1100v1 (Dell OEMR R730XL) Intel® Xeon® E5-2650 v3 None BKP U2 3 CentOS 7.1 DDAN 1000v1 (Dell OEMR R720) Intel® Xeon® E5-2620 v2 None BKP U2 Table 2 -Tested Configurations (B = Build Method; EC = Elliptic Curve Support). The EC column indicates support for prime curve only (P), or all NIST defined B, K, and P curves (BKP). SeeAppendixAforadditional informationonbuildmethod andoptimizations. SeeAppendixC foralistofthespecificcompilersusedtogeneratetheModulefortherespectiveoperational environments. 3 Ports and Interfaces Thephysical portsofthe Moduleare thesame asthe computer system on which itisexecuting. The logical interface is a C-language application program interface (API). Logical interface type Description Control input API entry point and corresponding stack parameters Data input API entry point data input stack parameters Status output API entry point return values and status stack parameters Data output API entry point data output stack parameters Table 3 -Logical interfaces Asasoftware module,control ofthe physical portsisoutsidemodule scope.However,when the moduleisperformingself-tests,orisinanerrorstate,alloutputonthelogicaldataoutput interfaceisinhibited.Themoduleissingle-threadedandinerrorscenariosreturnsonlyanerror value (no data output is returned). Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page9of 28 4 Modes of Operation and Cryptographic Functionality Tables 4a and 4b list the Approved and Non-approved but Allowed algorithms, respectively. Despite additional algorithms/modes being tested by the CAVP, only those algorithms/modes listed below are utilized by the module. Function Algorithm Options Cert # Random Number Generation; Symmetric key generation [SP 800-90] DRBG5 Prediction resistance supported for all variations Hash DRBG HMAC DRBG, no reseed CTR DRBG (AES), no derivation function C874 Encryption, Decryption and CMAC [SP 800-67] 3-Key TDES TECB, TCBC, TCFB, TOFB; CMAC generate and verify C874 [FIPS 197] AES 128/192/256 ECB, CBC,OFB,CFB1,CFB8, CFB 128, CTR, XTS; CCM; GCM; CMAC generate and verify C874 [SP 800-38B] CMAC [SP 800-38C] CCM [SP 800-38D] GCM [SP 800-38E] XTS Message Digests [FIPS 180-3] SHA-1, SHA-2 (224, 256, 384, 512) C874 5 For all DRBGs the "supported security strengths" is just the highest supported security strength per [SP800-90] and [SP800-57]. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page10of 28 Keyed Hash [FIPS 198] HMAC SHA-1, SHA-2 (224, 256, 384, 512) C874 Digital Signature and Asymmetric Key Generation [FIPS 186-2] RSA SigVer9.31, SigVerPKCS1.5, SigVerPSS (1024/1536/2048/3072/4096 with all SHA sizes) C874 [FIPS 186-4] RSA Key Gen, SigGen9.31, SigGenPKCS1.5, SigGenPSS (2048/3072 with all SHA2 sizes); SigVer9.31, SigVerPKCS1.5, SigVerPSS (1024/2048/3072 with all SHA sizes) C874 [FIPS 186-4] DSA PQG Gen, Key Pair Gen, Sig Gen (2048/3072withallSHA-2sizes); PQG Ver, SigVer(1024/2048/3072withall SHA sizes) C874 [FIPS 186-2] ECDSA PKG:CURVES(P-224P-384P-521K-233K- 283K-409K-571B-233B-283B-409B-571) PKV:CURVES(P-192P-224P-256P-384P- 521K-163K-233K-283K-409K-571B-163 B- 233 B-283 B-409 B-571 ) C874 PKG: CURVES( P-224 P-384 P-521 ) PKV: CURVES( P-192 P-224 P-256 P-384 P- 521 ) Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page11of 28 [FIPS 186-4] ECDSA PKG: CURVES( P-224 P-256 P-384 P-521 K- C874 224K-256K-384K-521B-224B-256B-384B- 521 ExtraRandomBits TestingCandidates ) PKV: CURVES( ALL-P ALL-K ALL-B ) SigGen: CURVES( P-224: (SHA-224, 256, 384, 512) P-256: (SHA-224, 256, 384, 512) P-384: (SHA-224, 256, 384, 512) P-521: (SHA-224, 256, 384, 512) K-233: (SHA-224, 256, 384, 512) K-283: (SHA-224, 256, 384, 512) K-409: (SHA-224, 256, 384, 512) K-571: (SHA-224, 256,384,512)B-233:(SHA-224,256,384,512) B-283: (SHA-224, 256, 384, 512) B-409: (SHA- 224,256,384,512)B-571:(SHA-224,256,384, 512) ) SigVer: CURVES( P-192: (SHA-1, 224, 256, 384,512)P-224:(SHA-1,224,256,384,512)P- 256:(SHA-1,224,256,384,512)P-384:(SHA- 1,224,256,384,512)P-521:(SHA-1,224,256, 384, 512) K-163: (SHA-1, 224, 256, 384, 512) K-233: (SHA-1, 224, 256, 384, 512) K-283: (SHA-1, 224, 256, 384, 512) K-409: (SHA-1, 224, 256, 384, 512) K-571: (SHA-1, 224, 256, 384,512B-163:(SHA-1,224,256,384,512) B- 233:(SHA-1,224,256,384,512)B-283:(SHA- 1,224,256,384,512)B-409:(SHA-1,224,256, 384, 512) B-571: (SHA-1, 224, 256,384, 512) ) PKG: CURVES( P-224 P-256 P-384 P-521 ) PKV: CURVES( ALL-P ) SigGen: CURVES( P-224: (SHA-224, 256, 384, 512) P-256: (SHA-224, 256, 384, 512) P-384: (SHA-224, 256, 384, 512) P-521: (SHA-224, 256, 384, 512) ) SigVer: CURVES( P-192: (SHA-1, 224, 256, 384,512)P-224:(SHA-1,224,256,384,512)P- 256:(SHA-1,224,256,384,512)P-384:(SHA- 1,224,256,384,512)P-521:(SHA-1,224,256, 384, 512) ) [SP 800-56A] (§5.7.1.2) AllNISTdefinedB,KandPcurvesexceptsizes C874 163 and 192 ECC CDH (KAS) All NIST defined P curves Table 4a – FIPS Approved Cryptographic Functions The Module supports only NIST defined curves for use with ECDSA and ECC CDH. The Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page12of 28 Module supports two operational environment configurations for elliptic curve; NIST prime curve only (listed in Table 2 with the EC column marked "P") and all NIST defined curves (listed in Table 2 with the EC column marked"BKP"). Category Algorithm Description Key Agreement EC DH Non-compliant (untested) DH scheme using elliptic curve, supporting all NISTdefinedB,KandPcurves. Keyagreementisaserviceprovided forcalling process use,butisnotused to establishkeysintotheModule. Key Encryption, Decryption RSA The RSA algorithm may be used by the calling application for encryption or decryption ofkeys.No claimismadeforSP800-56B compliance,andnoCSPsareestablishedintoorexportedoutofthe module using these services. Table 4b – Non-FIPS Approved But Allowed Cryptographic Functions TheModule implements thefollowing serviceswhich areNon-Approved perthe SP800-131A transition: Function Algorithm Options Random Number Generation; Symmetric key generation [ANS X9.31] RNG AES 128/192/256 Random Number Generation; Symmetric key generation [SP 800-90] DRBG Dual EC DRBG (notethe Dual EC DRBG algorithm shall not be used in theFIPS Approved modeof operation) Digital Signature and Asymmetric Key Generation [FIPS 186-2] RSA GenKey9.31, SigGen9.31, SigGenPKCS1.5, SigGenPSS (1024/1536/2048/3072/4096 with all SHA sizes, 2048/3072/4096 with SHA-1) [FIPS 186-2] DSA PQGGen,KeyPairGen,Sig Gen(1024withall SHA sizes, 2048/3072 with SHA-1) [FIPS 186-4] DSA PQGGen,KeyPairGen,Sig Gen(1024withall SHA sizes, 2048/3072 with SHA-1) [FIPS 186-2] ECDSA PKG: CURVES( P-192 K-163 B-163 ) SIG(gen): CURVES( P-192 P-224 P-256 P-384 P-521K-163K-233 K-283K-409K-571B-163 B-233 B-283 B-409 B-571 ) [FIPS 186-4] ECDSA PKG: CURVES( P-192 K-163 B-163 ) SigGen: CURVES( P-192: (SHA-1, 224, 256, 384, 512) P-224:(SHA-1) P-256:(SHA-1) P-384: (SHA-1) P-521:(SHA-1) K-163: (SHA-1, 224, 256, 384, 512) K-233:(SHA-1) K-283:(SHA-1) K-409:(SHA-1)K-571:(SHA-1)B-163:(SHA-1, 224, 256, 384, 512) B-233:(SHA-1) B-283: (SHA-1) B-409:(SHA-1) B-571:(SHA-1) ) Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page13of 28 ECC CDH (CVL) [SP 800-56A] (§5.7.1.2) All NIST Recommended B, K and P curves sizes 163 and 192 Table 4c – FIPS Non-Approved Cryptographic Functions These algorithms shall not be used when operating in the FIPS Approved mode of operation. Use of the non-conformant algorithms listed in Table 4c will place the module in a non-Approved mode of operation. EC DH Key Agreement provides a maximum of 256 bits of security strength. RSA Key Wrapping provides a maximum of 256 bits of security strength. The Module requires aninitialization sequence(see IG9.5): the calling application invokes FIPS_mode_set()6 , which returns a “1” for success and “0” for failure. If FIPS_mode_set() fails then all cryptographic services fail from then on. The application can test to see if FIPS mode has been successfully performed. TheModuleisacryptographicenginelibrary,whichcanbeusedonlyinconjunctionwith additionalsoftware. AsidefromtheuseoftheNISTdefined ellipticcurvesastrusted thirdparty domainparameters,allotherFIPS186-4assurancesareoutsidethescopeoftheModule,andare the responsibility of the calling process. 4.1 Critical Security Parameters and Public Keys AllCSPsusedbytheModulearedescribedinthissection.AllaccesstotheseCSPsbyModule servicesaredescribedinSection4. TheCSPnamesaregeneric,correspondingtoAPIparameter data structures. CSP Name Description RSA SGK RSA (2048 to 15360 bits) signature generation key RSA KDK RSA (2048 to 16384 bits) key decryption (private key transport) key DSA SGK DSA (2048/3072) signature generation key ECDSA SGK ECDSA (All NIST defined B, K, and P curves) signature generation key EC DH Private EC DH (All NIST defined B, K, and P curves) private key agreement key. AES EDK AES (128/192/256) encrypt / decrypt key AES CMAC AES (128/192/256) CMAC generate / verify key AES GCM AES (128/192/256) encrypt / decrypt / generate / verify key AES XTS AES (256/512) XTS encrypt / decrypt key TDES EDK TDES (3-Key) encrypt / decrypt key TDES CMAC TDES (3-Key) CMAC generate / verify key HMAC Key Keyed hash key (160/224/256/384/512) 6 ThefunctioncallintheModuleisFIPS_module_mode_set() whichistypicallyusedbyanapplicationviathe FIPS_mode_set() wrapper function. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page14of 28 Hash_DRBG CSPs V (440/888 bits) and C (440/888 bits), entropy input (length dependent on security strength) HMAC_DRBG CSPs V (160/224/256/384/512 bits) and Key (160/224/256/384/512 bits), entropy input (length dependent on security strength) CTR_DRBG CSPs V(128 bits) and Key (AES 128/192/256), entropy input(length dependent on security strength) CO-AD-Digest Pre-calculated HMAC-SHA-1 digest used for Crypto Officer role authentication User-AD-Digest Pre-calculated HMAC-SHA-1 digest used for User role authentication Table 4.1a – Critical Security Parameters Authenticationdataisloadedintothemoduleduringthemodulebuildprocess,performedbyan authorized operator (Crypto Officer), and otherwise cannot be accessed. The module does not output intermediate key generation values. CSP Name Description RSA SVK RSA (1024 to 16384 bits) signature verification public key RSA KEK RSA (2048 to 16384 bits) key encryption (public key transport) key DSA SVK DSA (1024/2048/3072) signature verification key ECDSA SVK ECDSA (All NIST defined B, K and P curves) signature verification key EC DH Public EC DH (All NIST defined B, K and P curves) public key agreement key. Table 4.1b – Public Keys For all CSPs and Public Keys: Storage: RAM, associated to entities by memory location. The Module stores DRBG state values for the lifetime of the DRBG instance. The module uses CSPs passed in by the calling applicationonthestack.TheModule doesnotstoreanyCSPpersistently(beyondthe lifetimeofanAPIcall),withtheexceptionofDRBGstatevaluesusedfortheModules' default key generation service. Generation: The Module implements SP 800-90 compliant DRBG services for creation of symmetric keys, and for generation of DSA, elliptic curve, and RSA keys as shown in Table 4a. Thecallingapplicationisresponsibleforstorageofgeneratedkeysreturnedbythe module. Entry: All CSPs enter the Module’s logical boundary in plaintext as API parameters, associatedbymemorylocation.However,nonecrossthephysicalboundary. Output: The Module does not output CSPs, other than asexplicit results ofkey generation services. However, none cross the physicalboundary. Destruction: Zeroization of sensitive data is performed automatically by API function calls fortemporarilystoredCSPs.Inaddition,themoduleprovidesfunctionstoexplicitlydestroy CSPsrelatedtorandomnumbergenerationservices.Thecallingapplicationisresponsible Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page15of 28 for parameters passed in and out of the module. PrivateandsecretkeysaswellasseedsandentropyinputareprovidedtotheModulebythe callingapplication,andaredestroyedwhenreleasedbytheappropriateAPIfunctioncalls. Keys residing in internally allocated data structures (during the lifetime of an API call) can only be accessed using the Module defined API. The operating system protects memory and process space from unauthorized access. Only the calling application that creates orimports keys can use or export such keys. All API functions are executed by the invoking calling application in a non-overlapping sequence such that no two API functions will execute concurrently. An authorized application as user (Crypto-Officer and User) has access to all key data generated during the operation of the Module. IntheeventModulepowerislostandrestoredthecallingapplicationmustensurethatany AES-GCM keys used for encryption or decryption are re-distributed. Module users (the calling applications) shall use entropy sources that meet the security strength required for the random number generation mechanism as shown in [SP 800-90] Table 2 (Hash_DRBG, HMAC_DRBG), Table 3 (CTR_DRBG) and Table 4 (Dual_EC_DRBG). This entropyissupplied bymeansofcallbackfunctions. Thosefunctionsmustreturnanerrorifthe minimum entropy strength cannot be met. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page16of 28 5 Roles, Authentication and Services TheModuleimplementstherequiredUserandCryptoOfficerrolesandrequiresauthentication for those roles. Only one role may be active at a time and the Module does not allow concurrent operators. The User or Crypto Officer role isassumed by passing the appropriate password to theFIPS_module_mode_set()function. Thepasswordvaluesmaybespecifiedatbuildtime andmusthaveaminimumlengthof16characters. Anyattempttoauthenticate withaninvalid password willresultinanimmediate andpermanentfailureconditionrenderingthe Module unable to enter the FIPS mode of operation, even with subsequent use of a correct password. AuthenticationdataisloadedintotheModuleduringtheModulebuildprocess,performedbythe Crypto Officer, and otherwise cannot be accessed. Sinceminimumpasswordlengthis16characters,theprobabilityofarandomsuccessful authentication attempt in one try is a maximum of 1/25616 , or less than 1/1038 . The Module permanently disables further authentication attempts after a single failure, so this probability is independent of time. Both roles have access to all of the services provided by the Module.  User Role (User): Loading the Module and calling any of the API functions.  CryptoOfficerRole(CO):Installationofthe Moduleonthehostcomputer systemand calling of any API functions. All services implemented by the Module are listed below, alongwith a description ofservice CSP access. Service Role Description Initialize User, CO Module initialization. Does not access CSPs. Self-test User, CO Perform self tests (FIPS_selftest). Does not access CSPs. Show status User, CO Functions that provide module status information:  Version (as unsigned long or const char *)  FIPSMode(Boolean) Does not accessCSPs. Zeroize User, CO Functions that destroy CSPs:  fips_drbg_uninstantiate: for a given DRBG context, overwrites DRBG CSPs (Hash_DRBG CSPs, HMAC_DRBG CSPs, CTR_DRBG CSPs) All other services automatically overwrite CSPs stored in allocated memory. Stack cleanup is the responsibility of the calling application. Random number generation User, CO Used for random number and symmetric key generation.  Seed or reseed a DRBG instance  Determine security strength of a DRBGinstance  Obtain random data UsesandupdatesHash_DRBGCSPs,HMAC_DRBGCSPs,CTR_DRBGCSPs. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page17of 28 Service Role Description Asymmetric key generation User, CO Used to generate DSA, ECDSA and RSA keys: RSA SGK, RSA SVK; DSA SGK, DSA SVK; ECDSA SGK, ECDSA SVK Thereisonesupportedentropystrengthforeachmechanismandalgorithmtype,the maximum specified in SP800-90 Symmetric encrypt/decrypt User, CO Used to encrypt or decrypt data. Executes using AES EDK, TDES EDK (passed in by the calling process). Symmetric digest User, CO Used to generate or verify data integrity with CMAC. Executes using AES CMAC, TDES, CMAC (passed in by the calling process). Message digest User, CO Used to generate a SHA-1 or SHA-2 message digest. Does not access CSPs. Keyed Hash User, CO Used to generate or verify data integrity with HMAC. Executes using HMAC Key (passed in by the calling process). Key transport7 User, CO Used to encrypt or decrypt a key value on behalf of the calling process (does not establish keys into the module). Executes using RSA KDK, RSA KEK (passed in by the calling process). Key agreement User, CO Used to perform key agreementprimitives on behalf of thecalling process (doesnot establish keys into the module). ExecutesusingECDHPrivate,ECDHPublic(passedinbythecallingprocess). Digital signature User, CO Used to generate or verify RSA, DSA or ECDSA digital signatures. Executes using RSA SGK, RSA SVK; DSA SGK, DSA SVK; ECDSA SGK, ECDSA SVK (passed in by the calling process). Utility User, CO Miscellaneous helper functions. Does not access CSPs. Table 5 -Services and CSP Access 7 "Key transport" can refer to a) moving keys in and out of the module or b) the use of keys by an external application. The latter definition is the one that applies to the OpenSSL FIPS Object Module SE. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page18of 28 6 Self-test The Module performs the self-tests listed below on invocation of Initialize or Self-test. Algorithm Type Test Attributes Software integrity KAT HMAC-SHA1 HMAC KAT One KAT per SHA1, SHA224, SHA256, SHA384 and SHA512 Per IG 9.3, this testing covers SHA POST requirements. AES KAT Separate encrypt and decrypt, ECB mode, 128 bit key length AES CCM KAT Separate encrypt and decrypt, 192 key length AES GCM KAT Separate encrypt and decrypt, 256 key length XTS-AES KAT 128, 256 bit key sizes to support either the 256-bit key size (for XTS-AES-128) or the 512-bit key size (for XTS-AES-256) AES CMAC KAT Sign and verify CBC mode, 128, 192, 256 key lengths TDES KAT Separate encrypt and decrypt, ECB mode, 3-Key TDES CMAC KAT CMAC generate and verify, CBC mode, 3-Key RSA KAT Sign and verify using 2048 bit key, SHA-256, PKCS#1 DSA PCT Sign and verify using 2048 bit key, SHA-384 DRBG KAT CTR_DRBG:AES,256bitwithandwithoutderivationfunction HASH_DRBG: SHA256 HMAC_DRBG: SHA256 Dual_EC_DRBG: P-256 and SHA256 ECDSA PCT Keygen, sign, verify using P-224, K-233 and SHA512. The K-233 self-test is not performed for operational environments that support prime curve only (see Table 2). ECC CDH KAT Shared secret calculation per SP 800-56A §5.7.1.2, IG 9.6 Table 6a -Power On Self Tests (KAT = Known answer test; PCT = Pairwise consistency test) TheModule isinstalled using one ofthe setofinstructions inAppendix A,asappropriate forthe target system. The HMAC-SHA-1 of the Module distribution file as tested by the CMT Laboratory and listed in Appendix A is verified during installation of the Module file as described in Appendix A. TheFIPS_mode_set()8 function performs all power-up self-tests listed above with no operator interventionrequired,returninga“1”ifallpower-upself-testssucceed,anda“0”otherwise. If anycomponentofthepower-upself-testfailsaninternalflagissettopreventsubsequent invocation ofany cryptographic function calls. The module will only enter the FIPS Approved mode if the module is reloaded and the call to FIPS_mode_set()8 succeeds. The power-up self-tests may also be performed on-demand by calling FIPS_selftest(), which 8 FIPS_mode_set() calls Module function FIPS_module_mode_set() Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page19of 28 returnsa“1”forsuccessand“0”forfailure.Interpretation ofthisreturncodeistheresponsibility of the calling application. The Module also implements the following conditional tests: Algorithm Test DRBG Tested as required by [SP800-90] Section 11 DRBG FIPS 140-2 continuous test for stuck fault DSA Pairwise consistency test on each generation of a key pair ECDSA Pairwise consistency test on each generation of a key pair RSA Pairwise consistency test on each generation of a key pair Table 6b -Conditional Tests IntheeventofaDRBGself-testfailurethecallingapplicationmustuninstantiateandre- instantiatetheDRBGpertherequirementsof[SP800-90];thisisnotsomethingtheModulecan do itself. Pairwiseconsistencytestsareperformedforbothpossiblemodesofuse,e.g.Sign/Verifyand Encrypt/Decrypt. The Module supports two operational environment configurations for elliptic curve: NIST prime curvesonly(listedinTable2withtheECcolumnmarked"P")andallNISTdefinedcurves (listed in Table 2 with the EC column marked"BKP"). Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page20 of 28 7 Operational Environment Thetestedoperatingsystemssegregateuserprocessesintoseparateprocessspaces. Each process space is logically separated from all other processes by the operating system software andhardware. TheModulefunctionsentirelywithintheprocessspaceofthecallingapplication, andimplicitlysatisfiestheFIPS140-2requirementforasingleusermodeofoperation. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page21of 28 8 Mitigation of other Attacks Themoduleisnot designed tomitigate againstattacks which areoutsideofthescopeofFIPS 140-2. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page22of 28 Appendix A Installation and Usage Guidance Thetestplatformsrepresentdifferentcombinationsofinstallationinstructions. Foreach platform there is a build system, the host providing the build environment in which the installationinstructionsareexecuted,andatargetsystemonwhichthegeneratedobjectcodeis executed. The build and target systems may bethe same type of system or even the same device, ormaybedifferentsystems–theModulesupportscross-compilation environments. Eachofthesecommandsetsarerelativetothetopofthedirectorycontainingtheuncompressed andexpandedcontentsofthedistributionfilesopenssl-fips-2.0.16.tar.gz(allNISTdefined curves as listed in Table 2 with the EC column marked "BKP") oropenssl-fips-ecp-2.0.16.tar.gz (NIST prime curves only as listed in Table 2 with the EC column marked "P"). The command sets are: U1: ./config no-asm make make install U2: ./config make make install W1: ms\do_fips no-asm W2: ms\do_fips C1: c6x/do_fips Installation instructions 1. Downloadandcopythedistributionfiletothebuildsystem. These files can be downloaded from http://www.openssl.org/source/. 2. Verify the HMAC-SHA-1 digest of the distribution file; see Appendix B. An independentlyacquiredFIPS140-2validatedimplementionofSHA-1HMACmustbe used for this digest verification. Note that this verification can be performed on any convenientsystemandnotnecessarilyonthespecificbuildortargetsystem. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page23of 28 Alternatively,acopyofthedistributiononphysicalmediacanbeobtainedfromOVS9 . 3. Unpack the distribution gunzip -c openssl-fips-2.0.16.tar.gz | tar xf - cd openssl-fips-2.0.16 or gunzip -c openssl-fips-ecp-2.0.16.tar.gz | tar xf - cd openssl-fips-ecp-2.0.16 4. Execute one of the installation command sets U1, W1, U2, W2 as shown above. No other command sets shall be used. 5. The resulting fipscanister.o or fipscanister.lib file is now available for use. 6. ThecallingapplicationenablesFIPSmodebycallingtheFIPS_mode_set()10 function. Note that failure touse one of the specified commands sets exactly asshown will result ina module that cannot be considered compliant with FIPS 140-2. Linking the Runtime Executable Application NotethatapplicationsinterfacingwiththeFIPSObjectModuleareoutsideofthecryptographic boundary. WhenlinkingtheapplicationwiththeFIPSObjectModuletwostepsarenecessary: 1. The HMAC-SHA-1 digest of the FIPS Object Module file must be calculated and verified against the installed digest to ensuretheintegrity of the FIPSobject module. 2. A HMAC-SHA1 digest of the FIPS Object Module must be generated and embedded in the FIPS Object Module for use by the FIPS_mode_set()10 function at runtime initialization. The fips_standalone_sha1 command can be used to perform the verification of the FIPS Object Module and to generate the new HMAC-SHA-1 digest for the runtime executable application. Failuretoembedthedigestintheexecutableobjectwillpreventinitializationof FIPS mode. At runtime the FIPS_mode_set()10 function compares the embedded HMAC-SHA-1 digest with a digest generated from the FIPS Object Module object code. This digest is the final link in the chainofvalidationfromtheoriginalsourcetotheruntimeexecutableapplicationfile. 9 Forsomeprospectiveuserstheacquisition,installation,andconfigurationofasuitableFIPS140-2validated productmay notbeconvenient.OVS willon requestmail aCD containing thesource codedistribution, via USPS or international post. A distribution filereceived bythatmeans need notbe verified by aFIPS 140-2 validated implementation of HMAC-SHA-1. For instructions on requesting this CD see http://openssl.com/fips/verify.html. 10 FIPS_mode_set() calls the Module function FIPS_module_mode_set() Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page24 of 28 Optimization The “asm” designation means that assembler language optimizations were enabled when the binary code was built, “no­asm” means that only C language code was compiled. For OpenSSL with x86 there are three possible optimization levels: 1. No optimization (plain C) 2. SSE2 optimization 3. AES-NI+PCLMULQDQ+SSSE3 optimization Othertheoreticallypossiblecombinations(e.g.AES-NIonly,orSSE3only)arenotaddressed individually, so that a processor which does not support all three of AES-NI, PCLMULQDQ, and SSSE3 will fall back to SSE2 optimization. For more information, see:  http://www.intel.com/support/processors/sb/CS-030123.htm?wapkw=sse2  http://software.intel.com/en-us/articles/intel-advanced-encryption-standard-instructions- aes-ni/?wapkw=aes-ni For OpenSSL with ARM there are two possible optimization levels: 1. Without NEON 2. With NEON (ARM7 only) For more information, see http://www.arm.com/products/processors/technologies/neon.php Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page25 of 28 Appendix B Controlled Distribution File Fingerprint TheOpenSSLFIPSObject ModuleSEv2.0.16consistsoftheFIPSObjectModule(the fipscanister.o or fipscanister.lib contiguous unit of binary object code) generated from the specific source files. For all NIST defined curves (listed in Table 2 with the EC column marked "BKP") the source files are in the specific special OpenSSL distribution openssl-fips-2.0.16.tar.gz withHMAC- SHA-1 digest of e8dbfa6cb9e22a049ec625ffb7ccaf33e6116598 located at http://www.openssl.org/source/openssl-fips-2.0.16.tar.gz. Theopenssl command from aversion ofOpenSSL thatincorporates apreviously validated version of the module may be used: openssl sha1 -hmac etaonrishdlcupfm openssl-fips-2.0.16.tar.gz For NIST prime curves only (listed in Table 2 with the EC column marked "P") the source files are in the specific special OpenSSL distribution openssl-fips-ecp-2.0.16.tar.gz with HMAC-SHA-1 digest of 205ce773d4d6a7abbcee2cf6ca9e923a0d120f1a located at http://www.openssl.org/source/openssl-fips-ecp-2.0.16.tar.gz. Note this is from the previousrevisionoftheFIPSObject Module asnomodifications relevant toNIST prime curves only were introduced in revision 2.0.16. The set of files specified in this tar file constitutes the complete set of source files of this module. Thereshallbenoadditions,deletions,oralterationsofthissetasusedduringmodulebuild. The OpenSSL distribution tar file (and patch file if used) shall be verified using the above HMAC- SHA-1 digest(s). The arbitrary 16 byte key of: 65 74 61 6f 6e 72 69 73 68 64 6c 63 75 70 66 6d (equivalent to the ASCII string "etaonrishdlcupfm") is used to generate the HMAC-SHA-1 value for the FIPS Object Module integrity check. Thefunctionality ofall earlier revisions ofthe FIPS Object Module are subsumed bythis latest revision, sothere isnoreason touse older revisions for any newdeployments. However, older revisionsremainvalid. The sourcedistributionfilesandcorrespondingHMAC-SHA-1digests are listed below: openssl-fips-2.0.15.tar.gz Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page26 of 28 URL: http://www.openssl.org/source/old/fips/openssl-fips-2.0.15.tar.gz Digest: b4967baaff637dda636224fdc732992dc5a5dd77 openssl-fips-ecp-2.0.15.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-ecp-2.0.15.tar.gz Digest: 79038b02ac9ea08a63ce3fc60e493e3a0a728ebd openssl-fips-2.0.14.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-2.0.14.tar.gz Digest: fa4eea2c159885c896f4760dccb73efe59244f1d openssl-fips-ecp-2.0.14.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-ecp-2.0.14.tar.gz Digest: bf676ee9f52b30e9f7348d19d5e6bf5b244ccf52 openssl-fips-2.0.13.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-2.0.13.tar.gz Digest: 26f923491458df77a1f4c6ce39fef2f5bea88cd5 openssl-fips-ecp-2.0.13.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-ecp-2.0.13.tar.gz Digest: bd935902af260cceb29d30708c7ed5461698280d openssl-fips-2.0.12.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-2.0.12.tar.gz Digest: 86ec30179f1bfb2edde4ababf0fb519ba7380b69 openssl-fips-ecp-2.0.12.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-ecp-2.0.12.tar.gz Digest: 3da3e6d610378ad4b6ee2638a141c17cb3a2aabf openssl-fips-2.0.11.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-2.0.11.tar.gz Digest: b9d2a466c66841fcbf65a3cbe21abf81fe140bcf openssl-fips-ecp-2.0.11.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-ecp-2.0.11.tar.gz Digest: 571662bb0e413bd42f612c695c0b76deb2e9b33e openssl-fips-2.0.10.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-2.0.10.tar.gz Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page27of 28 Digest: af8bda4bb9739e35b4ef00a9bc40d21a6a97a780 openssl-fips-ecp-2.0.10.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-ecp-2.0.10.tar.gz Digest: 02cc9ddfffb2e917d1cdc9ebc97a9731c40f6394 openssl-fips-2.0.9.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-2.0.9.tar.gz Digest: 54552e9a3ed8d1561341e8945fcdec55af961322 openssl-fips-ecp-2.0.9.tar.gz URL: http://www.openssl.org/source/old/fips/openssl-fips-ecp-2.0.9.tar.gz Digest: 91d267688713c920f85bc5e69c8b5d34e1112672 Note that older versions of the FIPS module are migrated from http://www.openssl.org/source/ to http://www.openssl.org/source/old/fips/,sodependingonthetimeatwhichthisdocumentis referenced the URLs above may need to be adjusted accordingly. Deep Discovery Analyzer OpenSSL Cryptographic Module FIPS 140-2 Security Policy Page28of 28 Appendix C Compilers ThisappendixliststhespecificcompilersusedtogeneratetheModulefortherespective OperationalEnvironments.NotethislistdoesnotimplythatuseoftheModuleisrestrictedto onlythelistedcompilerversions,onlythattheuseofotherversionshasnotbeenconfirmedto produce a correct result. # Operational Environment Compiler 1 CentOS 7.1(Linux 3.10) gcc 4.8.5 Table C -Compilers