4 SECURITY REQUIREMENTS
All changes in this version
Title changed
Before · FIPS 140-2
SECURITY REQUIREMENTS
After · FIPS 140-3
SECURITY REQUIREMENTS
Control changed
Before · FIPS 140-2
This section specifies the security requirements that shall be satisfied by cryptographic modules conforming to this standard. The security requirements cover areas related to the design and implementation of a cryptographic module. These areas include cryptographic module specification; module ports and interfaces; roles, services, and authentication; finite state model; physical security; operational environment; cryptographic key management; electromagnetic interference/electromagnetic compatibility (EMI/EMC); self-tests; and design assurance. An additional area concerned with the mitigation of other attacks is currently not tested but the vendor is required to document implemented controls (e.g., differential power analysis, and TEMPEST). Table 1 summarizes the security requirements in each of these areas.
Security Level 1 Security Level 2 Security Level 3 Security Level 4 Cryptographic Module Specification Specification of cryptographic module, cryptographic boundary, Approved algorithms, and Approved modes of operation. Description of cryptographic module, including all hardware, software, and firmware components. Statement of module security policy.
Cryptographic Module Ports and Interfaces Required and optional interfaces. Specification of all interfaces and of all input and output data paths. Data ports for unprotected critical security parameters logically or physically separated from other data ports.
Roles, Services, and Authentication Logical separation of required and optional roles and services. Role-based or identity-based operator authentication. Identity-based operator authentication.
Finite State Model Specification of finite state model. Required states and optional states. State transition diagram and specification of state transitions.
Physical Security Production grade equipment. Locks or tamper evidence. Tamper detection and response for covers and doors. Tamper detection and response envelope. EFP or EFT. Operational Environment Single operator. Executable code. Approved integrity technique. Referenced PPs evaluated at EAL2 with specified discretionary access control mechanisms and auditing. Referenced PPs plus trusted path evaluated at EAL3 plus security policy modeling. Referenced PPs plus trusted path evaluated at EAL4.
Key management mechanisms: random number and key generation, key establishment, key distribution, key entry/output, key storage, and key zeroization. Cryptographic Key Management Secret and private keys established using manual methods may be entered or output in plaintext form. Secret and private keys established using manual methods shall be entered or output encrypted or with split knowledge procedures. EMI/EMC 47 CFR FCC Part 15. Subpart B, Class A (Business use). Applicable FCC requirements (for radio). 47 CFR FCC Part 15. Subpart B, Class B (Home use).
Self-Tests Power-up tests: cryptographic algorithm tests, software/firmware integrity tests, critical functions tests. Conditional tests.
Design Assurance Configuration management (CM). Secure installation and generation. Design and policy correspondence. Guidance documents. CM system. Secure distribution. Functional specification. High-level language implementation. Formal model. Detailed explanations (informal proofs). Preconditions and postconditions.
Mitigation of Other Attacks Specification of mitigation of attacks for which no testable requirements are currently available.
Table 1: Summary of security requirements
A cryptographic module shall be tested against the requirements of each area addressed in this section. The cryptographic module shall be independently rated in each area. Several areas provide for increasing levels of security with cumulative security requirements for each security level. In these areas, the cryptographic module will receive a rating that reflects the maximum security level for which the module fulfills all of the requirements of that area. In areas that do not provide for different levels of security (i.e., standard set of requirements), the cryptographic module will receive a rating commensurate with the overall level of security.
In addition to receiving independent ratings for each of the security areas, a cryptographic module will also receive an overall rating. The overall rating will indicate the minimum of the independent ratings received in the areas.
Many of the security requirements of this standard include specific documentation requirements that are summarized in Appendices A and C. All documentation, including copies of the user and installation manuals, shall be provided to the testing laboratory by the vendor.
After · FIPS 140-3
This section specifies the security requirements that shall be satisfied by cryptographic modules conforming to this standard. The security requirements cover areas related to the design and implementation of a cryptographic module. These areas include cryptographic module specification; module ports and interfaces; roles, services, and authentication; finite state model; physical security; operational environment; cryptographic key management; electromagnetic interference/electromagnetic compatibility (EMI/EMC); self-tests; and design assurance. An additional area concerned with the mitigation of other attacks is currently not tested but the vendor is required to document implemented controls (e.g., differential power analysis, and TEMPEST). Table 1 summarizes the security requirements in each of these areas.
Security Level 1 Security Level 2 Security Level 3 Security Level 4 Cryptographic Module Specification Specification of cryptographic module, cryptographic boundary, Approved algorithms, and Approved modes of operation. Description of cryptographic module, including all hardware, software, and firmware components. Statement of module security policy.
Cryptographic Module Ports and Interfaces Required and optional interfaces. Specification of all interfaces and of all input and output data paths. Data ports for unprotected critical security parameters logically or physically separated from other data ports.
Roles, Services, and Authentication Logical separation of required and optional roles and services. Role-based or identity-based operator authentication. Identity-based operator authentication.
Finite State Model Specification of finite state model. Required states and optional states. State transition diagram and specification of state transitions.
Physical Security Production grade equipment. Locks or tamper evidence. Tamper detection and response for covers and doors. Tamper detection and response envelope. EFP or EFT. Operational Environment Single operator. Executable code. Approved integrity technique. Referenced PPs evaluated at EAL2 with specified discretionary access control mechanisms and auditing. Referenced PPs plus trusted path evaluated at EAL3 plus security policy modeling. Referenced PPs plus trusted path evaluated at EAL4.
Key management mechanisms: random number and key generation, key establishment, key distribution, key entry/output, key storage, and key zeroization. Cryptographic Key Management Secret and private keys established using manual methods may be entered or output in plaintext form. Secret and private keys established using manual methods shall be entered or output encrypted or with split knowledge procedures. EMI/EMC 47 CFR FCC Part 15. Subpart B, Class A (Business use). Applicable FCC requirements (for radio). 47 CFR FCC Part 15. Subpart B, Class B (Home use).
Self-Tests Power-up tests: cryptographic algorithm tests, software/firmware integrity tests, critical functions tests. Conditional tests.
Design Assurance Configuration management (CM). Secure installation and generation. Design and policy correspondence. Guidance documents. CM system. Secure distribution. Functional specification. High-level language implementation. Formal model. Detailed explanations (informal proofs). Preconditions and postconditions.
Mitigation of Other Attacks Specification of mitigation of attacks for which no testable requirements are currently available.
Table 1: Summary of security requirements
A cryptographic module shall be tested against the requirements of each area addressed in this section. The cryptographic module shall be independently rated in each area. Several areas provide for increasing levels of security with cumulative security requirements for each security level. In these areas, the cryptographic module will receive a rating that reflects the maximum security level for which the module fulfills all of the requirements of that area. In areas that do not provide for different levels of security (i.e., standard set of requirements), the cryptographic module will receive a rating commensurate with the overall level of security.
In addition to receiving independent ratings for each of the security areas, a cryptographic module will also receive an overall rating. The overall rating will indicate the minimum of the independent ratings received in the areas.
Many of the security requirements of this standard include specific documentation requirements that are summarized in Appendices A and C. All documentation, including copies of the user and installation manuals, shall be provided to the testing laboratory by the vendor.