Designing to FIPS-140: A Guide for Engineers and Programmers

Table of Contents
About the Authors
Acknowledgments
Introduction
Chapter 1: Introduction to FIPS and CMVP
	1.1 What Is FIPS 140-3?
	1.2 The Major Tasks in FIPS Design
		1.2.1 FIPS Module Definitions
		1.2.2 Hardware Module
		1.2.3 Software Module
		1.2.4 Firmware Module
		1.2.5 Software-Hardware Hybrid Module
		1.2.6 Firmware-Hardware Hybrid Module
		1.2.7 Firmware vs. Software
		1.2.8 Security-Level Definitions
	1.3 FIPS Pitfalls to Avoid
		1.3.1 Documentation
	1.4 Most Common Pitfalls
	1.5 Glossary/Abbreviations
Chapter 2: Core Concepts
	2.1 FIPS 140 Module
	2.2 FIPS/Cryptographic Boundary
	2.3 SSPs
	2.4 Security Policy
	2.5 Self-Tests
	2.6 Zeroization
	2.7 Life Cycle Assurance
	2.8 Finite State Model
Chapter 3: Finite State Models
	3.1 Mandatory States
		3.1.1 Power On/Off State
		3.1.2 General Initialization State
		3.1.3 Crypto Officer State
		3.1.4 CSP Entry State
		3.1.5 User State
		3.1.6 Approved State
		3.1.7 Self-Test State
		3.1.8 Error State
		3.1.9 Optional States
	3.2 Other States You Are Going to Need
Chapter 4: Approved Algorithms
	4.1 Block Ciphers
		4.1.1 AES
		4.1.2 Two-Key TDEA
		4.1.3 TDEA/3DES
	4.2 Block Cipher Modes of Operation
		4.2.1 Block Cipher Privacy Modes
		4.2.2 Block Cipher Authentication Modes
		4.2.3 Block Cipher Authenticated Encryption Modes (AEAD Modes)
	4.3 Hash Functions
		4.3.1 The SHA-1 Hash Function
		4.3.2 SHA224 and SHA256 Hash Functions
		4.3.3 SHA384, SHA512, SHA512/224, SHA512/256 Hash Functions
		4.3.4 SHA3 Hash Function
		4.3.5 SHAKE128 and SHAKE256
		4.3.6 SHA3 Derived Functions
		4.3.7 TupleHash
		4.3.8 ParallelHash
	4.4 Limitations of Hash Use in SP800-90A
		4.4.1 Permitted Hashes in SP800-90A DRBGs
		4.4.2 Disallowed Hashes in SP800-90A DRBGs
	4.5 Message Authentication Codes
		4.5.1 CBC-MAC Cipher Block Chaining Message Authentication Code
		4.5.2 CMAC (Cipher-Based Message Authentication Code)
		4.5.3 HMAC Keyed-Hash Message Authentication Code
		4.5.4 KMAC
	4.6 Key Derivation Functions
		4.6.1 KDF in Counter Mode
		4.6.2 KDF in Feedback Mode
		4.6.3 KDF in Double Pipeline Iteration Mode
		4.6.4 Password-Based Key Derivation
		4.6.5 FIPS 198-1 Hash-Based Key Derivation Function
	4.7 Deterministic Random Bit Generators
Chapter 5: Counter Security Features of NIST-Approved Cryptographic Algorithms
	5.1 General Principles of Poor Cryptographic Design
		5.1.1 Overly Flexible Compliant Implementation Choices
		5.1.2 Excessively Repetitive Use of Security-Critical Data
		5.1.3 Focusing on Algorithm Transition over Data Encoding Transition
		5.1.4 Unjustified Use of Overcomplicated Cryptographic Algorithms
		5.1.5 KDF Double Pipeline Iteration Mode
		5.1.6 SP800-90A Block Cipher DF
		5.1.7 SP800-90A HMAC and HASH DRBGs
		5.1.8 CTR-DRBG
		5.1.9 AES
Chapter 6: CAVP Lab
	6.1 CAVP Tool Overview
		6.1.1 CAVS Tool
		6.1.2 Automated Cryptographic Validation Test System
	6.2 First-Party CAVP Lab
		6.2.1 First-Party Lab vs. Third-Party Lab
			Lab Type
			Cipher Options
			Cost of Test Vectors
			Time Savings
			CVP Tester Accreditation
		6.2.2 Setting Up a First-Party CAVP Lab
Chapter 7: ACVTS Testing
	7.1 Vendor Information and Implementation Document
	7.2 Demo Vectors
		7.2.1 AES-ECB Test Vector Request JSON
		7.2.2 Demo Vector Expected and Response JSON
		7.2.3 Reading ACVTS Request Files
		7.2.4 Comparing ACVTS Expected and Response JSON Files
	7.3 Other JSON Schema for ACVP
	7.4 Example of a Real ACVP Certificate
Chapter 8: Entropy Assessment
	8.1 What Is Entropy?
	8.2 Measuring Entropy of Finite Binary Sequences
	8.3 Entropy of Non-full Entropy and Non-IID Binary Sequences
	8.4 MCV Entropy Analysis
	8.5 Actual Min-Entropy vs. Lower Bound Min-Entropy
	8.6 IID vs. Non-IID
		8.6.1 Permutation Testing
	8.7 H Numbers and Assessed Entropy
		8.7.1 Horiginal
		8.7.2 Hbitstring
		8.7.3 Hinitial
		8.7.4 Hr, Hc
		8.7.5 Assessed Entropy
		8.7.6 Choosing H Numbers and Setting Test Thresholds
	8.8 Collecting Noise Source Data
	8.9 File Formats for Noise Source Data
	8.10 Skipping Initial Data
	8.11 Software Tools for Processing Noise Source Data
		8.11.1 hexbinhex
		8.11.2 hex2bin
		8.11.3 bin2hex
		8.11.4 bin2nistoddball
		8.11.5 nistoddball2bin
		8.11.6 Restart_slicer
		8.11.7 NIST ea_non_iid, ea_iid, restart
		8.11.8 ea_conditioning
		8.11.9 ea_iid
		8.11.10 ea_non_iid
		8.11.11 ea_restart
		8.11.12 ea_transpose
		8.11.13 djent
		8.11.14 djenrandom
	8.12 Entropy Assessment Summary
Chapter 9: Entropy Source Validation Certification
	9.1 CST Labs and Prerequisites
	9.2 ESV Certification Activities
	9.3 Noise Source Characterization
	9.4 Physical vs. Nonphysical Noise Sources
	9.5 IID vs. Non-IID Sources
	9.6 Entropy Rate Claims and Non-IID Testing
	9.7 Symbol Size Reduction
	9.8 Restart Testing
	9.9 Skipping Initial Symbols
	9.10 Conditioning Chain Analysis
	9.11 Entropy Calculations for a Vetted Conditioning Component
	9.12 Entropy Calculations for a Non-vetted Conditioning Component
	9.13 Choosing a Conditioner
	9.14 SP800-90B Compliance Report
	9.15 Public Use Document
	9.16 Parameter Summary Table
	9.17 Continuous Health Tests
	9.18 Developer-Defined Continuous Health Tests
	9.19 Example ESV Certificates
	9.20 Multiple Operating Environments
Untitled
Chapter 10: FIPS and Documentation
	10.1 FIPS 140-3 PUB
	10.2 Implementation Guidance (IG)
	10.3 Management Manual (MM)
	10.4 CAVP Documents
		10.4.1 Block Ciphers and Modes
		10.4.2 Digital Signatures
		10.4.3 Key Derivation Functions
		10.4.4 Key Management
		10.4.5 Message Authentication
		10.4.6 Random Number Generation
		10.4.7 Secure Hashing
	10.5 Security Policy
	10.6 Entropy Source Validation Public Use Document (ESV PUD)
	10.7 Entropy Assessment Report (EAR)
	10.8 Post-Quantum Computing (PQC) Standards
Chapter 11: Engaging with a CST Lab
	11.1 What Is a Cryptographic Security Testing Lab (CST Lab)?
	11.2 What CST Lab Services Are Typically Offered?
		11.2.1 FIPS 140-3 Consultation and Training
		11.2.2 Generation of CAVP and ESV Certificates
		11.2.3 Request for Guidance
		11.2.4 Submission Type for Cryptographic Module Certification
	11.3 FIPS Module Life Cycle Timeline
		11.3.1 “In Review” and “Coordination”
	11.4 When Should a CST Lab Get Involved?
	11.5 Strategy for Picking a CST Lab
	11.6 CMVP, ICMC, and CMUF
Index