Introduction to FIPS 140 Level 3
FIPS 140 is a U.S. government standard that specifies security requirements for cryptographic modules. There are 4 levels of security defined in FIPS 140, with Level 1 being the lowest and Level 4 being the highest. FIPS 140 Level 3 provides a greater degree of security than Level 1 or Level 2.
A Hardware Security Module (HSM) is a physical device that safeguards and manages digital keys for strong authentication and provides cryptoprocessing. HSMs come in different form factors such as PCI cards, standalone network appliances, and server racks.
FIPS 140 Level 3 is the highest level of certification widely available for HSMs. This means that a FIPS 140 Level 3 certified HSM offers the strongest level of security that is commercially available today.
What are the key requirements for FIPS 140 Level 3?
To achieve FIPS 140 Level 3 certification, an HSM must meet several stringent physical and logical security requirements, including:
- Tamper-evident coatings or seals to detect physical tampering
- Countermeasures against physical attacks such as penetration, opening, removal, or substitution of components
- Zeroization of plaintext cryptographic keys and critical security parameters upon detection of tampering
- Identity-based authentication mechanisms
- Role-based access controls limiting operator access
- Self-tests and internal monitoring for errors and failures
Additionally, a FIPS 140 Level 3 HSM must undergo extensive independent testing by accredited laboratories to validate it meets all aspects of the standard.
Why is FIPS 140 Level 3 important?
FIPS 140 Level 3 provides the highest level of assurance for organizations handling valuable assets and sensitive information. Here are some key reasons why FIPS 140 Level 3 matters:
- Ensures keys are protected – Level 3 requires physical tamper protections and zeroization of keys if tampering is detected. This prevents extraction of plaintext keys.
- Strict access controls – Authentication, roles, and access logs prevent unauthorized use of keys.
- Resiliency against attacks – Protections against physical and logical attacks make it extremely difficult to extract keys.
- Thoroughly validated – Extensive independent testing validates all areas of the standard are met.
- Required for high-value use cases – Certain regulated industries like financial services require FIPS 140 Level 3 HSMs for activities like payment processing and digital signing.
For applications handling valuable data like payment transactions, healthcare records, classified information, and intellectual property, FIPS 140 Level 3 provides assurance the encryption keys are securely managed and protected.
Physical Security Requirements
To achieve FIPS 140 Level 3, an HSM must incorporate robust physical security protections and countermeasures. This ensures an attacker cannot easily extract sensitive data like plaintext keys through physical means. Some examples of physical security requirements include:
Tamper Evidence
The HSM cryptographic module must be protected with tamper evident coatings or seals on the enclosure or cover. This provides visible evidence if someone tries to physically access the internal components. Examples include optically clear tamper evident tape, holographic tags, or etched patterns on the cover that are destroyed if removed.
During laboratory certification testing, assessors will attempt to penetrate the module and look for evidence of their activities. Lack of tamper evidence upon penetration attempts results in failure.
Tamper Detection and Response
In addition to tamper evidence, FIPS 140 Level 3 requires tamper detection mechanisms that continuously monitor for physical penetration or compromise. This may include features like mesh shields around components that detect cutting, microswitches to detect cover removal, or magnetic sensors to detect drilling.
Upon detection of physical tampering, the HSM must immediately zeroize plaintext keys and critical security parameters (CSPs) stored in volatile memory. This prevents sensitive data extraction in the event an attacker gains physical access.
Opaque Potting Material
The HSM must cover internal components like printed circuit boards and chips with an opaque potting material. This prevents visual inspection and identification of components within the device. It also helps protect against data remanence attacks on persistent memory chips.
Strong Enclosure
FIPS 140 Level 3 requires the enclosure be made of strong material resistant to forms of physical attack. This may include thick cast aluminum or heavy gauge steel construction. The cover, doors, and external ports must use high quality locks and tamper resistant screws. Strong enclosures prevent access to internal components.
Protected Power and Interfaces
All external interfaces like power cords, network cables, and USB ports must be protected against tampering. Examples include locking power cords, port blocks or covers, and epoxy plugs for unused ports. This prevents circumventing the enclosure to gain direct component access.
Logical Security Requirements
In addition to physical security, FIPS 140 Level 3 also requires stringent logical protections and access controls. Some examples include:
Identity-Based Authentication
Users must authenticate using cryptographic identity credentials. This is stronger than simple password authentication. Examples include client certificates, smart cards, biometrics, or one-time password tokens. This prevents unauthorized users from gaining access to the module.
Role-Based Access Controls
The HSM must enforce role separation and least privilege access. Operators are restricted to only the functionality required for their duties through role-based access controls. This limits damage in the event a user’s credentials are compromised.
Logging and Auditing
Extensive auditing logs must record all security-relevant events including user access, key generation, signing operations, errors, and configuration changes. Regular log review is required to detect potential security issues.
Self-Tests
The HSM performs self-tests at power-up and continuously during operation to verify correct functioning of the device. Any detected anomalies or failures result in transition to non-operational states to prevent compromise.
Key Management
Keys stored in the HSM must use the highest industry standards for securing cryptographic keys. This includes generation using approved random bit generators, destroying keys after use, and using the fewest keys to avoid exposure.
FIPS 140 Level 3 Testing and Validation
For a vendor to claim FIPS 140 Level 3 compliance, their HSM must pass rigorous independent testing by an accredited laboratory. The testing process validates all aspects of the standard are met through extensive documentation review, source code audits, and penetration testing.
Some key elements of FIPS 140 Level 3 validation testing include:
CMVP Accreditation
The testing lab must hold a current Cryptographic Module Validation Program (CMVP) accreditation to perform FIPS 140 validations. This ensures the lab meets competency requirements. Examples of accredited FIPS 140 testing labs include UL, CCTL, and Brightsight.
Complete Specification Analysis
The lab fully reviews the vendor’s FIPS 140 security policy and design specifications to ensure they meet all applicable FIPS 140-3 requirements for Level 3. Any gaps in security protections lead to a failure to validate.
Source Code Audits
The lab examines a sample of the HSM firmware source code to verify proper implementation of cryptographic functions and security mechanisms as documented. Flaws or weaknesses in source code may result in a validation failure.
Penetration Testing
The lab conducts penetration testing to simulate attacks and independently validate the HSM’s protections against physical and logical compromise. All attempts to extract keys or breach the module must fail to achieve FIPS 140-3 validation.
Continuous Testing
Vendors must follow up with periodic retesting, usually every 1-2 years, to maintain FIPS 140 certification for their products. This ensures protections are not weakened over time.
FIPS 140 Level 3 Certified HSM Vendors
Many prominent enterprise HSM vendors offer products with FIPS 140 Level 3 certification. Some examples include:
Thales
Thales offers the market-leading nShield line of HSMs validated for FIPS 140 Level 3. Models are available in PCI card, networked appliance, and HSM-as-a-service form factors. Thales nShield HSMs secure transactions for 9 of the top 10 banks.
Entrust
Entrust nShield HSMs provide FIPS 140-2 Level 3 capabilities for encryption, signing, and key management. Their unique Security World key management architecture provides scalability across 100s of HSMs.
Utimaco
Utimaco offers the CryptoServer line of general purpose and payment HSMs. CryptoServer CP5 is a hardened server platform achieving FIPS 140-3 Level 3 certification for regulatory compliance.
Marvell
Marvell LiquidSecurity HSMs deliver performance, scalability, and FIPS 140-2 Level 3 assurances for secure key storage and cryptographic processing. Available in multi-HSM blade enclosures.
Futurex
Futurex offers a broad portfolio of open standards-based HSM solutions including the Vectera line delivering FIPS 140-2 Level 3. Vectera TDES provides trusted key generation, storage, and management.
AWS CloudHSM
Amazon CloudHSM is a cloud-based hardware security module that enables customers to easily generate, store, and manage cryptographic keys. It offers FIPS 140-2 Level 3 validation.
Microsoft Azure Dedicated HSM
Azure Dedicated HSM is Microsoft’s offering enabling FIPS 140-2 Level 3 validated protection of cryptographic keys in the Azure cloud. Customers get exclusive isolated single-tenant access to nCipher HSMs.
IBM Cloud HSM
IBM Cloud HSM service provides FIPS 140-2 Level 3 certified Luna Network HSMs to protect sensitive data and keys. API access enables integration with cloud-based apps requiring cryptography.
Google Cloud HSM
Google Cloud HSM provides cryptographic key protection with FIPS 140-2 Level 3 validation. Keys are isolated to single tenants using Thales nShield HSMs integrated with Google’s global network.
Using FIPS 140 Level 3 HSMs
FIPS 140 Level 3 HSMs secure data for some of the most security-conscious organizations in sectors like finance, government, healthcare, and utilities. Typical use cases include:
Payment Processing
Payment networks like credit cards use FIPS 140 Level 3 HSMs to secure PIN transactions and payment processing workflows. The HSMs encrypt PINs under secure keys as they traverse networks between bank endpoints.
Public Key Infrastructure (PKI)
Certificate authorities issue digital certificates that underpin trust on the internet. PKI programs at CAs rely on FIPS 140 Level 3 HSMs to generate certificate signing keys and prevent compromise.
Document Signing
Many industries use digital signatures on documents for security, regulatory compliance, and non-repudiation. FIPS 140 Level 3 HSMs protect the signature keys against compromise that would invalidate integrity.
Key Escrow
Organizations with requirements to provide government access to encrypted data for lawful purposes depend on HSMs to secure cryptographic keys. Access is tightly controlled using dual controls and auditing.
Blockchain Applications
Blockchain transactions depend on cryptographic security. FIPS 140 Level 3 certified HSMs provide trusted protection for private keys used to sign blockchain transactions and mint new assets.
Database Encryption
Database encryption protects sensitive application data at rest against breaches. FIPS 140 Level 3 HSMs securely manage the encryption keys and offload cryptographic processing from application servers.
Secure Sockets Layer (SSL)
SSL/TLS certificates encrypt traffic to websites and web applications. HSMs enhance protection of private keys used to generate CSRs and sign certificates for implementing SSL.
Benefits of FIPS 140 Level 3 Certified HSMs
Here are some of the top benefits organizations can realize by utilizing FIPS 140 Level 3 certified HSM modules:
Strong Protection Against Physical Attacks
The extensive physical protections like tamper evidence/response and strong enclosures prevent most forms of physical compromise like opening the device or manipulating components. This protects against lab attacks extracting keys.
Hardened Security for Critical Keys
FIPS 140 Level 3 provides the highest level of logical data protection available. Sensitive keys remain encrypted in transit, storage, and even during processing. Keys always remain secure.
Standardized Assurance
FIPS 140 validation provides unbiased proof to auditors, regulators, and customers that your keys are managed to industry standards and best practices. This simplifies compliance and audits.
Low Risk of Obsolescence
As a government standard, FIPS 140 will continue to be recognized for security assurance even as threats evolve. This reduces risk of costly rip-and-replace of compromised products.
Interoperable and Vendor Neutral
FIPS 140 HSMs use standard interfaces like PKCS#11. This prevents vendor lock-in and allows interoperability between multi-vendor systems.
Scalability
Leading enterprise FIPS 140 Level 3 HSMs now offer flexible, modular designs that enable cost-effective scaling from single appliances to multi-HSM solutions as organizational needs grow over time.
Limitations of FIPS 140 Level 3
While FIPS 140 Level 3 HSMs offer the strongest commercially available security, there are some limitations to consider:
Not Full Proof Against State-Level Adversaries
FIPS 140 does not protect against unlimited resources and access of nation-state adversaries. But it significantly raises the bar against wide range of common real-world attacks.
Lower Performance
The physical protections introduce latency during key operations. FIPS 140 Level 3 HSMs typically have lower native performance versus non-validated alternatives.
Premium Cost
The rigorous physical and logical protections result in higher costs. While the security value justifies the premium for highly sensitive applications, they may be overkill for some use cases.
Limited Agility
The rigid standards compliance restricts ability to quickly update and patch products. Vendors must recertify implementations after major updates.
Administrative Overhead
Extensive auditing requirements introduce administrative burdens of log collection/review. Internal key generation also requires more diligence and controls.
Conclusion
FIPS 140 Level 3 delivers the highest commercially available security for cryptography, making it the gold standard for protecting valuable cryptographic material like encryption keys. While cost and performance tradeoffs exist, Level 3 HSMs provide assurance of hardened security backed by rigorous testing. For applications handling sensitive data like financial transactions or healthcare records, the added protections justify investment into FIPS 140 Level 3 certified solutions.
