# Presentation: 679408

## FIPS 140-3
Status and Schedules

**Status and Schedules**

**    ****Allen Roginsky****	**
-                    CMVP NIST
-  September 28, 2005

## Agenda

- History of FIPS 140
- Motivation for change
- Areas of change
- What will not change
- Schedules
- Previous validations

## History of FIPS 140

- Federal Standard 1027
- General Security Requirements for Equipment using DES
- FIPS 140
- FIPS 140-1 (11 January 1994)
- FIPS 140-2 (25 May 2001)
- Security Requirements for Cryptographic Modules

## History of FIPS 140

- Federal Standard 1027
- FIPS 140
- FIPS 140-1
- FIPS 140-2

**General Security Requirements **_**for Equipment using DES**_
- Very hardware oriented
- Restrictive

## History of FIPS 140

- Federal Standard 1027
- FIPS 140
- FIPS 140-1
- FIPS 140-2

**Security Requirements for **_**Cryptographic Modules**_
- Cover change for the FED STD 1027

## History of FIPS 140

- Federal Standard 1027
- FIPS 140
- FIPS 140-1
- FIPS 140-2

**Security Requirements for Cryptographic Modules**
- Start giving flexibility to the vendors
- Still hardware oriented
- Start recognizing software modules

## History of FIPS 140

- Federal Standard 1027
- FIPS 140
- FIPS 140-1
- FIPS 140-2

**Security Requirements for Cryptographic Modules**
- Re-organized FIPS 140-1
- Clarified some requirements
- Incorporation of refinements contained in Implementation Guidance
- Introduction of Design Assurance

## Motivation for Change

- U.S. Federal Requirement
- Must be reviewed every 5 years
- Tremendous technology advances
- Standard is becoming out of date
- Difficult to generically apply to new technologies
- Protection for more sensitive information
- Requirement improvements and strengthening
- Refinements and corrections

**Notes:**
U.S. Federal regulations require that NIST standards be revisited every five years for pertinence.  Since FIPS 140-2 was ratified in May 2001, it is expected that the standard be revisited by 2006.
There as been tremendous advances in technology that make the FIPS 140-2 standard difficult to apply.  Look at smart card technologies, 
The information protected by those validated modules is becoming increasingly sensitive and more stringent requirements are required.
There are also some refinements and corrections that are required in FIPS 140-2.

## Areas of Change

- New security levels
- Special attention to software cryptographic modules
- Roles and services, authentication
- No maintenance role
- Cryptographic key life cycle
- key establishment and distribution: new standards
- random number generator requirements

**Notes:**
FIPS Mode of Operation
Look at the requirements when moving in and out of the module’s FIPS mode of operation
Software cryptographic modules
We have to fully embrace what constitutes a software cryptographic module and develop appropriate requirements.
Things like the cryptographic boundary, operational environment, the operating system, etc. will need to be better defined.
Roles and services, authentication
Do the requirements for FIPS 140-2 always make sense in today’s technology?  Do we always have to have two defined Crypto Officer and User roles?
In certain case, maybe only one role would be sufficient.
Re-look at the Crypto Officer and Maintenance roles and enforce their intended purposes.
Are the requirements for authentication and strength of authentication strong enough? What about Bypass?
Key Management
The Key Management Manual will have been published and active then, so lets make FIPS 140-3 in line with it.
Better define key establishment, key distribution, key entry and output
Revisit RNG seeding.  Also, a lot of work is being done in RNGs, so we will see if we can leverage some of the work in FIPS 140-3

## Areas of Change

- Physical security
- Self-tests
- Power-up, module integrity checks
- Conditional tests
- Security policy
- Realign with what users need

**Notes:**
Physical Security
Revisit the requirements strength levels 2 and above
Possibly in line with the banking world and Interac
Better define the threat agents
Revisit the testing requirements
Self-Tests
The CMVP has recently published a lot of IGs about self-tests and they could be integrated in FIPS 140-3
New technologies forces us to revisit the Power-on Self-Tests requirements
Error handling with only a part of the module is faulted, would we allow partial degraded operations?  How degradation would we allow?
EMI/EMC
Is it still pertinent to require EMI/EMC testing in FIPS 140-3 when federal requirements mandate its testing anyway?
Security Policy
Revisit the requirements to require that the vendor include the information that the module’s operator really require to safely use the module.

## FIPS 140-2 and FIPS 140-3

- Cryptographic Module Specification
- Cryptographic Module Ports and Interfaces
- Roles, Authentication, and Services
- Finite State Module
- Physical Security
- Operational Environment
- Cryptographic Key Management
- EMI/EMC
- Self Tests
- Implementation Assurance
- Mitigation of Other Attacks

- Cryptographic Module Specification
- Cryptographic Module Ports and Interfaces
- Roles, Authentication, and Services
- Software Security
- Physical Security
- Operational Environment
- Sensitive Security Parameter (SSP) Management
- Self Tests
- Implementation Assurance
- Mitigation of Other Attacks

## Highlights

- Two New Security Levels
- SPA at Level 3
- Software Security Section
- EMI at Level 5
- Detached from CC
- SSPs, CSPs and PSPs
- Key Management Clarified
- Pre-operational tests
- Significant Changes to Almost Every Section

## Slide 13

## Milestones

- Public Comment on FIPS 140-2
- Federal Registry Notice
- CMVP Prepares Draft #0 FIPS 140-3
- Use received comments
- Incorporate new requirements
- Draft #0 Sent to Testing Labs

- Start Date
- Jan 05
- Apr 05

- Length
- 3 months
- 4 months

- Sep 05

**Notes:**
The CMVP will use the normal NIST review process
Public reviews and comment periods

The CMVP website will be extensively used to publish information about where we are at with our review.
WWW.NIST.GOV/CMVP

## Milestones

- CMVP Publishes FIPS 140-3 Draft #1 for Public Comment
- Use received comments
- FIPS 140-3 Approval process
- FIPS 140-3 Approved !
- FIPS 140-3 in effect  ( + 6 mo)
- FIPS 140-2 retires

- Start Date
- Nov 05
- Feb 06
- May 06

- Length
- 3 months

**Sept 06**
**Mar 06**
**Sep 07**

## Concurrent Activities

- Implementation Guidance for FIPS 140-3 and Derived Test Requirements for FIPS 140-3 should be issued
- Vendor and Lab education
- NVLAP Publication 150-17

## Status of Previous Validations

- Validations to FIPS 140-1 and FIPS 140-2 will still be recognized
- Migration path from previous validations to FIPS 140-3 will be defined
- similar to (FIPS 140-1 to FIPS 140-2)

**Notes:**
Development of a migration path will be defined as soon as the first draft of FIPS 140-3 is ready

We will re-use the results of previous testing

## Conclusion

- FIPS 140-3 development is on the way
- Public is involved in the development process
- Watch the CMVP website
- WWW.NIST.GOV/CMVP

**Notes:**
Public participation
We invite the participation of all stakeholders in the the development of FIPS 140-3:
Federal agencies
vendors and developers
Industry
Academia
What the CMVP website
www.nist.gov/CMVP