Alcatel-Lucent Alcatel-Lucent VPN Firewall Brick 50 Hardware Version: 50; Firmware Version: 9.1.299 FIPS 140-2 Non-Proprietary Security Policy Level 2 Validation Document Version 3.1 Prepared for: Prepared by: Alcatel-Lucent Corsec Security, Inc. 600-700 Mountain Avenue 10340 Democracy Lane, Suite 201 Murray Hill, NJ 07974 Fairfax, VA 22030 Phone: (908) 582-3000 Phone: (703) 267-6050 http://www.alcatel-lucent.com http://www.corsec.com © 2008 Alcatel-Lucent This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 3.1 July 11, 2008 Revision History Version Date Modified By Description of Changes 1.0 2007-05-01 Ben Greenberg Initial version 1.1 2007-06-15 Xiaoyu Ruan Revision 1.2 2007-07-19 Xiaoyu Ruan Added figure of temper-evidence label 1.3 2007-08-06 Xiaoyu Ruan Addressed Lab’s comments 1.4 2007-09-11 Xiaoyu Ruan Addressed Lab’s comments 1.5 2007-09-13 Xiaoyu Ruan Addressed Lab’s comments 1.6 2007-09-14 Xiaoyu Ruan Addressed Lab’s comments 1.7 2007-09-14 Xiaoyu Ruan Addressed Lab’s comments 1.8 2007-10-01 Xiaoyu Ruan Addressed Lab’s comments 1.9 2007-10-17 Darryl Johnson Added instructions for tamper-evident label placement in Section 2.6. 2.0 2007-10-18 Xiaoyu Ruan 2.5.1 2.1 2007-10-19 Darryl Johnson Added more instructions for tamper-evident label placement in Xiaoyu Ruan Section 2.6. 2.2 2007-10-22 Xiaoyu Ruan Addressed Lab’s comments 2.3 2007-10-23 Xiaoyu Ruan Authentication strength 2.4 2007-10-23 Darryl Johnson Tamper-evident label placement 2.5 2007-11-13 Xiaoyu Ruan Addressed Lab’s comments 2.6 2007-12-20 Xiaoyu Ruan Addressed Lab’s comments 2.7 2008-01-04 Xiaoyu Ruan Algorithm certificate numbers 2.8 2008-01-18 Xiaoyu Ruan Version 9.1.299 2.9 2008-06-03 Xiaoyu Ruan Document version number skipped intentionally 3.0 2008-06-09 Xiaoyu Ruan Addressed CMVP comments 3.1 2008-07-11 Xiaoyu Ruan Added Sections 3.6 and 3.7 Alcatel-Lucent VPN Firewall Brick 50 Page 2 of 26 © 2008 Alcatel-Lucent This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 3.1 July 11, 2008 Table of Contents 1 INTRODUCTION...............................................................................................................................................6 1.1 PURPOSE.........................................................................................................................................................6 1.2 REFERENCES...................................................................................................................................................6 1.3 DOCUMENT ORGANIZATION...........................................................................................................................6 2 ALCATEL-LUCENT VPN FIREWALL BRICK 50.......................................................................................7 2.1 OVERVIEW......................................................................................................................................................7 2.2 LUCENT SECURITY MANAGEMENT SERVER....................................................................................................8 2.3 CRYPTOGRAPHIC MODULE SPECIFICATION....................................................................................................8 2.4 MODULE INTERFACES.....................................................................................................................................9 2.5 ROLES AND SERVICES...................................................................................................................................10 2.5.1 Crypto Officer Role..............................................................................................................................10 2.5.2 User Role.............................................................................................................................................12 2.5.3 Authentication......................................................................................................................................13 2.5.4 Bypass Mode........................................................................................................................................14 2.6 PHYSICAL SECURITY....................................................................................................................................14 2.6.1 Factory-Installed Labels......................................................................................................................14 2.6.2 Crypto Officer-Installed Labels...........................................................................................................14 2.7 OPERATIONAL ENVIRONMENT......................................................................................................................15 2.8 CRYPTOGRAPHIC KEY MANAGEMENT..........................................................................................................16 2.8.1 Cryptographic Algorithms...................................................................................................................16 2.8.2 CSPs.....................................................................................................................................................16 2.8.3 CSP Zeroization...................................................................................................................................19 2.9 SELF-TESTS..................................................................................................................................................19 2.10 MITIGATION OF OTHER ATTACKS.................................................................................................................20 3 SECURE OPERATION....................................................................................................................................21 3.1 INITIAL SETUP..............................................................................................................................................21 3.1.1 Installing the Brick...............................................................................................................................21 3.1.2 Setting up LSMS...................................................................................................................................21 3.2 MODULE INITIALIZATION AND CONFIGURATION..........................................................................................21 3.2.1 Configuring LSMS-Brick Communication...........................................................................................21 3.2.2 Initializing the Brick............................................................................................................................21 3.2.3 Configuring the Brick Serial Port........................................................................................................22 3.3 IPSEC REQUIREMENTS AND CRYPTOGRAPHIC ALGORITHMS........................................................................22 3.3.1 IPsec/IKE Requirements......................................................................................................................22 3.3.2 External CA Requirements...................................................................................................................23 3.3.3 Configuring LAN-LAN Tunnels...........................................................................................................23 3.3.4 Configuring Client Tunnels.................................................................................................................23 3.4 ZEROIZING KEYS AND CSPS.........................................................................................................................23 3.5 IDENTIFYING THE ERROR STATE...................................................................................................................24 3.6 MAINTAINING PHYSICAL SECURITY.............................................................................................................24 3.7 DETERMINING THE FIPS MODE OF OPERATION............................................................................................24 4 ACRONYMS......................................................................................................................................................25 Alcatel-Lucent VPN Firewall Brick 50 Page 3 of 26 © 2008 Alcatel-Lucent This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 3.1 July 11, 2008 Table of Figures FIGURE 1 – ALCATEL-LUCENT VPN FIREWALL BRICK DEPLOYMENT...........................................................................7 FIGURE 2 – BRICK 50......................................................................................................................................................9 FIGURE 3 – CRYPTO OFFICER LABEL PLACEMENT FOR THE REAR OF THE BRICK 50....................................................14 FIGURE 4 – CRYPTO OFFICER LABEL PLACEMENT FOR THE LEFT SIDE OF THE BRICK 50.............................................15 Alcatel-Lucent VPN Firewall Brick 50 Page 4 of 26 © 2008 Alcatel-Lucent This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 3.1 July 11, 2008 List of Tables TABLE 1 – SECURITY LEVEL PER FIPS 140-2 SECTION...................................................................................................8 TABLE 2 – MAPPING OF FIPS 140-2 LOGICAL INTERFACES TO BRICK 50 INTERFACES...................................................9 TABLE 3 – CRYPTO OFFICER SERVICES........................................................................................................................10 TABLE 4 – USER SERVICES...........................................................................................................................................12 TABLE 5 – BRICK 50 LABEL PLACEMENT GUIDANCE...................................................................................................15 TABLE 6 – ACRONYMS.................................................................................................................................................25 Alcatel-Lucent VPN Firewall Brick 50 Page 5 of 26 © 2008 Alcatel-Lucent This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 3.1 July 11, 2008 1 Introduction 1.1 Purpose This is a non-proprietary Cryptographic Module Security Policy for the Alcatel-Lucent VPN Firewall Brick 50 (Hardware version: 50; Firmware version: 9.1.299) from Alcatel-Lucent. This Security Policy describes how the Alcatel-Lucent VPN Firewall Brick 50 meets the security requirements of FIPS 140-2 and how the module is run in a secure FIPS 140-2 mode. This policy was prepared as part of the Level 2 FIPS 140-2 validation of the module. FIPS 140-2 (Federal Information Processing Standards Publication 140-2 – Security Requirements for Cryptographic Modules) details the 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) Cryptographic Module Validation Program (CMVP) website at: http://csrc.nist.gov/groups/STM/index.html. The Alcatel-Lucent VPN Firewall Brick 50 is referred to in this document as the Brick, the cryptographic module, or the module. 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 Alcatel-Lucent website (http://www.alcatel-lucent.com) contains information on the full line of products from Alcatel-Lucent. • The CMVP website (http://csrc.nist.gov/groups/STM/index.html) contains contact information for answers to technical or sales-related questions for the module. 1.3 Document Organization The Security Policy document is one document in a FIPS 140-2 Submission Package. In addition to this document, the Submission Package contains: • Vendor Evidence document • Finite State Machine • Other supporting documentation as additional references This Security Policy and the other validation submission documentation were produced by Corsec Security, Inc. under contract to Alcatel-Lucent. With the exception of this Non-Proprietary Security Policy, the FIPS 140-2 Validation Documentation is proprietary to Alcatel-Lucent and is releasable only under appropriate non-disclosure agreements. For access to these documents, please contact Alcatel-Lucent. Alcatel-Lucent VPN Firewall Brick 50 Page 6 of 26 © 2008 Alcatel-Lucent This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 3.1 July 11, 2008 2 Alcatel-Lucent VPN Firewall Brick 50 2.1 Overview The Alcatel-Lucent Virtual Private Network (VPN) Firewall Brick product line offers a broad range of enterprise and carrier-class security solutions to protect corporate and service provider networks delivering mission-critical Internet Protocol (IP) applications to headquarter employees, branch offices, trading partners, road warriors and customers. Alcatel-Lucent VPN Firewall solutions can help stretch Information Technology (IT) budgets with superb price and performance and a low total cost of ownership. Leading-edge technology can simplify deployment and management of diverse applications including: • Advanced security services • VPN services for site-to-site and remote access • Bandwidth management capabilities • Secure data center, web and application hosting • Storage network secure solution • Mobile data security • Packet Data Gateway and Packet Data Interworking • Functions for Dual-Mode Wireless/WiFi VPN and VoIP/Data Security The Lucent VPN Firewall Bricks deliver the performance needed to provide vital security and VPN services for thousands of enterprise users. High-capacity packet processing capabilities help maximize user efficiency and productivity with up to 1.7 Gbps VPN throughput and a full 4.75 Gbps firewall throughput. A general deployment scenario for the Bricks is depicted in Figure 1 below. All administration of the Bricks is performed by the Lucent Security Management Server (LSMS) software which is described in Lucent Security Management Server 1.2. Figure 1 – Alcatel-Lucent VPN Firewall Brick Deployment Alcatel-Lucent VPN Firewall Brick 50 Page 7 of 26 © 2008 Alcatel-Lucent This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 3.1 July 11, 2008 2.2 Lucent Security Management Server The LSMS is a component to any VPN Firewall Brick deployment. All administration of the Brick is performed via the LSMS. The operators should identify the firmware version of the Brick and use a compatible version of LSMS. The LSMS software provides advanced carrier-grade IP services management at a low total ownership cost. Teaming with Lucent’s award-winning VPN Firewall Brick® portfolio, Lucent Security Management Server lets administrators rapidly provision and manage high-return services for thousands of users in a single console. It integrates firewall, VPN, Quality of Service (QoS), Virtual Local Area Network (VLAN) and virtual firewall policy management; provides industry-leading scalability and availability; delivers robust monitoring, logs and reports; and gives you flexible deployment options — all without the costly additional modules or recurring license fees that competitive products require. The LSMS provides the following features: • Fully integrates firewall, VPN, QoS, VLAN, and virtual firewall management • Comprehensive remote management capabilities with role-based administration • Flexible management model: controls policies at global, customer, device, interface, VLAN and IP address range levels • High scalability: supports 20,000 Lucent VPN Firewall Brick units and up to 500,000 simultaneously connected VPN users from one Lucent Security Management Server console. • Carrier-class reliability: distributable across up to four network operations centers (NOCs) for active/active network redundancy with no single point of failure • Real time monitoring, robust logging, and customized reporting • Multiple IP services deployment options: premises-based, network-based, tiered, and data-center architectures Note that the LSMS software is not included as part of this FIPS 140-2 validation. 2.3 Cryptographic Module Specification The Alcatel-Lucent VPN Firewall Brick 50 is considered to be a multi-chip standalone cryptographic module and is validated at the following levels for each FIPS 140-2 section: Table 1 – Security Level per FIPS 140-2 Section Section Section Title Level 1 Cryptographic Module Specification 2 2 Cryptographic Module Ports and Interfaces 2 3 Roles, Services, and Authentication 2 4 Finite State Model 2 5 Physical Security 2 6 Operational Environment N/A 7 Cryptographic Key Management 2 8 Electromagnetic Interference (EMI) / Electromagnetic Compatibility (EMC) 2 9 Self-tests 2 10 Design Assurance 2 Alcatel-Lucent VPN Firewall Brick 50 Page 8 of 26 © 2008 Alcatel-Lucent This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 3.1 July 11, 2008 Section Section Title Level 11 Mitigation of Other Attacks N/A The Brick comes in a desktop systems form factor. A Brick 50 device measures 8.50" (W) x 5.90" (D) x 1.10" (H) and can be positioned on a desktop or other flat surface. The Brick 50 is pictured below: Figure 2 – Brick 50 2.4 Module Interfaces The Alcatel-Lucent VPN Firewall Brick 50 is a multi-chip standalone module that meet overall level 2 FIPS 140-2 requirements. The cryptographic boundary of the Alcatel-Lucent VPN Firewall Brick 50 is defined by the hard metal chassis of the Brick. The following is a list of the physical ports and interfaces of the Brick 50. • Ethernet ports (x3) • Serial port (console) • Universal Serial Bus (USB) port • Light Emitting Diodes (LED) • Power connector The front of Brick 50 device contains a number of LEDs. There is a power LED indicator which is solid green as long as power is being provided, a hard drive (HD) activity LED which flashes green upon HD activity, and a single LED for each 10/100baseTX Ethernet port (Eth0, Eth1, and Eth2) supported by the Brick that reflects combined link/activity. The Ethernet port LEDs flash green when activity is detected on the port and remain solid green as long as a link is established. If there is no link, the light is off. The rear of the device contains a barrel-style connector for the power cord (identified as 5V with the DC symbol), a USB connector, a DB9 serial port, and three 10/100baseTX Ethernet ports with RJ-45 connectors, labeled Eth2, Eth1, and Eth0, respectively. Note that the USB connector is covered by a tamper-evident label. The use of the USB connector is not allowed when in FIPS-Approved mode of operation. The following table maps the Brick 50 interfaces with the FIPS 140-2 logical interfaces. Table 2 – Mapping of FIPS 140-2 Logical Interfaces to Brick 50 Interfaces FIPS 140-2 Logical Interface Brick 50 Port/Interface Data Input Ethernet ports Data Output Ethernet ports Control Input Ethernet ports, serial port Status Output Ethernet ports, serial port, LEDs Power Power connector Alcatel-Lucent VPN Firewall Brick 50 Page 9 of 26 © 2008 Alcatel-Lucent This document may be freely reproduced and distributed whole and intact including this copyright notice. Non-Proprietary Security Policy, Version 3.1 July 11, 2008 2.5 Roles and Services The Brick supports role-based authentication. There are two roles in the module (as required by FIPS 140-2) that operators may assume: a Crypto Officer role and a User role. 2.5.1 Crypto Officer Role Whenever a Crypto Officer makes a change to information in the LSMS that affects a configured Brick, that change has to be applied to the affected Brick. Although the changes may be saved in the LSMS database, they will not take effect until they are applied to the device. As a general rule, a Crypto Officer has to apply any updated information that has been downloaded to a Brick. For example, Brick zone rulesets are assigned to Brick ports; if a Crypto Officer assigns a new ruleset to a port, then that change has to be applied to the Brick. Similarly, if a Crypto Officer adds a new rule to a ruleset, or changes an existing rule, then that change has to be applied to every Brick to which the ruleset has been assigned. If a Crypto Officer creates a new Brick zone ruleset, then it is applied automatically when the Crypto Officer applies the ruleset assignment. Similarly, if a Crypto Officer adds a new user account or create a new user group, the Crypto Officer does not have to perform an apply. However, when the Crypto Officer creates a rule that uses the new user group, then the Crypto Officer has apply the ruleset. There are a number of ways to perform an apply. See “How to Apply Changes” in the Administration Guide. Regardless of which LSMS window is displayed, a Crypto Officer can perform any apply, except a LAN-LAN or client tunnel, from the Utilities menu. In addition, there are other ways to perform each of the apply actions. See the table below for descriptions of the services available to the Crypto Officer role. “tvpc” is the Brick operating system. It can be either in compressed form, tvpc.zip, or uncompressed form, tvpc. Table 3 – Crypto Officer Services Key/ Critical Security Service Description Input Output Parameter (CSP) Access Bootstrap (serial Load configuration configuration Status of Brick certificate (write); Brick name port method) information onto information commands and (write); Brick private key (write); Diffie- Brick flash configuration data Hellman groups (write); LSMS public key (write) access; Serial port password (write) Bootstrap (non- Load tvpc.zip boot tvpc.zip boot Status of Brick certificate (write); Brick name serial port image and initial image and commands and (write); Brick private key (write); Cyclic method)1 configuration initial configuration data Redundancy Check (CRC) checksum for information onto configuration tvpc (write); CRC checksum for tvpc.zip Brick flash information (write); Diffie-Hellman groups (write); LSMS public key (write) access; Serial port password (write) 1 Non-serial port bootstrap method services are not authenticated and are not available after the Crypto Officer has installed and configured the Brick according to “Secure Operation” procedures. Alcatel-Lucent VPN Firewall Brick 50 Page 10 of 26 © 2008 Alcatel-Lucent This document may be freely reproduced and distributed whole and intact including this copyright notice.