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FIPS 140-2 Validation: A Crucial Step for Secure Data Transmission

by Robert Dougherty updated May 23, 2023 Secure File Sharing

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The rise of cyber threats and the increasing demand for protecting sensitive information have led organizations to prioritize content security. One of the ways businesses can ensure the highest level of security for their content is through FIPS 140-2 validation. This blog post provides a comprehensive understanding of FIPS 140-2 validation, its importance, and its role in ensuring secure content transmission.

What Is FIPS 140-2?

Federal Information Processing Standard 140-2, or FIPS 140-2, is a U.S. government security standard that defines the minimum security requirements for cryptographic modules used to protect sensitive information within computer and telecommunication systems. The standard was established by the National Institute of Standards and Technology (NIST) and is applicable to both hardware- and software-based cryptographic modules. The primary objective of FIPS 140-2 is to provide a benchmark for ensuring the security and integrity of sensitive content transmitted and stored within government and other security-focused organizations.

The FIPS 140-2 standard includes four security levels, ranging from Level 1 to Level 4, each providing an increasing degree of security. These levels are designed to cover a wide variety of potential applications, allowing an organization to select the appropriate level of security based on its needs and requirements. Level 1, for instance, offers the lowest level of security and does not require any physical protection, while Level 4 provides the highest level of security and requires complete physical protection and robust encryption techniques. We will further explore these levels below.

Organizations seeking FIPS 140-2 validation must undergo a rigorous testing and certification process to ensure their cryptographic modules meet the required security standards. This process is carried out by independent laboratories accredited by NIST, which perform a series of tests to evaluate the security features and functionality of the cryptographic module. Upon successful completion of the testing process, NIST issues a certificate validating the cryptographic module’s compliance with FIPS 140-2 standards.

Why Is FIPS 140-2 Essential?

FIPS 140-2 validation is particularly important for organizations that deal with sensitive information, such as government agencies, financial institutions, healthcare providers, and defense contractors. In fact, many government agencies, as well as organizations that contract with government agencies, are required to use FIPS 140-2 validated products to protect sensitive content. FIPS 140-2 validated products include encryption modules, virtual private network (VPN) gateways, and secure email systems. This requirement ensures a consistent level of security across government systems and helps prevent unauthorized access and data breaches.

FIPS 140-2 validation also holds significant value for private sector organizations that are not subject to federal regulations. By adopting FIPS 140-2 validated cryptographic modules, organizations demonstrate their commitment to content security and ensure the protection of sensitive information from potential cyber threats. FIPS 140-2 validation can also serve as a competitive differentiator, as it indicates that the organization’s products and services meet the highest security standards.

FIPS 140-2 Compliance Levels: What Are They?

As a U.S. government standard, FIPS 140-2 defines the security specifications for cryptography modules. Cryptography modules refer to a set of hardware, software, or firmware components that can perform cryptographic functions, such as hash functions (e.g., SHA-256, MD5), symmetric encryption (e.g., AES, DES), asymmetric encryption (e.g., RSA, ECC), and digital signatures (e.g., DSA, ECDSA).

FIPS 140-2 compliance levels refer to the different levels of security validation that a cryptography module (“module”) can achieve, according to the standard’s requirements. This validation is important for ensuring that the module can provide the required level of security for transmitting sensitive content.

It is worth noting that a product or implementation does not meet the FIPS 140-1 or FIPS 140-2 applicability requirements by simply implementing an approved security function and acquiring algorithm validation certificates. Only modules tested and validated to FIPS 140-2 meet the applicability requirements for cryptographic modules to protect sensitive information.

Four Different Levels of FIPS 140-2 Compliance

There are four different levels of FIPS 140-2 compliance that a cryptography module can achieve, each with its own set of requirements. These levels are Level 1, Level 2, Level 3, and Level 4. The higher the compliance level, the greater the level of security provided by the cryptography module. Here is an overview of the four FIPS 140-2 levels and their respective requirements for validation.

FIPS 140-2 Level 1	Level 1 is the lowest level of FIPS 140-2 compliance. At this level, the module provides some basic protection against unauthorized access. It uses algorithms that are widely available and used in common products, such as AES and SHA-1. However, there are no physical security mechanisms required at this level, meaning that anyone can access the module.
FIPS 140-2 Level 2	At Level 2, physical security mechanisms must be implemented to protect the module. Examples of these mechanisms include tamper-evident coatings, seals, or casings that can detect and alert of any unauthorized access attempts. This level also requires that certain types of algorithms be used, such as triple-DES and hash-based message authentication codes (HMAC).
FIPS 140-2 Level 3	Level 3 requires additional physical security mechanisms, such as sophisticated sensors that can detect physical tampering. It also requires that the module use algorithms that provide greater protection against attacks, such as RSA and DSA. At this level, the module must protect against unauthorized access, physical tampering attempts, and attempts to bypass security mechanisms.
FIPS 140-2 Level 4	Level 4 is the highest level of FIPS 140-2 compliance. It includes all the requirements of Level 3, plus additional mechanisms that can detect and respond to tampering attempts in real time. For example, the module must be able to detect and respond to physical attacks, such as laser attacks or attempts to freeze the module. This level also requires that the module use algorithms that provide the highest levels of security, such as elliptic curve cryptography (ECC) and digital signature algorithm (DSA) with at least 3072-bit keys.

Table 1.1: Levels of FIPS 140-2 Compliance

Benefits of FIPS 140-2 Validation

Obtaining FIPS 140-2 validation offers several benefits for federal agencies, U.S. government contractors, and subcontractors, including:

Increased security for content in transit and at rest, ensuring that sensitive information is protected from unauthorized access and tampering
Compliance with various regulatory requirements, particularly for organizations that handle federal content like controlled unclassified information (CUI) and federal contract information (FCI), or are part of the U.S. government supply chain, like the Defense Industrial Base (DIB)
Enhanced stakeholder trust and confidence in your organization, as FIPS 140-2 validation demonstrates a commitment to securing sensitive content

FIPS 140-2 Validation Process

The FIPS 140-2 validation process is conducted through the Cryptographic Module Validation Program (CMVP), which is jointly managed by NIST and the Canadian Centre for Cyber Security (CCCS). The process involves the following steps:

Selection of an accredited Cryptographic Module Testing (CMT) laboratory to perform the evaluation
Submission of the cryptographic module and relevant documentation to the CMT laboratory
Testing of the cryptographic module by the CMT laboratory to ensure compliance with FIPS 140-2 requirements
Submission of the evaluation report by the CMT laboratory to CMVP for review and approval
Issuance of a FIPS 140-2 validation certificate by CMVP upon successful completion of the review

It’s important to keep in mind that the validation process can be time-consuming and complex, so organizations should plan accordingly.

FIPS 140-2 Validation Requirements

FIPS 140-2 consists of several requirements that cryptographic modules must meet for validation. Some of these requirements include:

Physical security requirements, such as tamper-evident seals and secure enclosures for higher compliance levels
Cryptographic module specification requirements, including the use of approved algorithms and key sizes
Operating system and software requirements, such as the need for secure boot mechanisms and the use of cryptographic random number generators

FIPS 140-2 Validation Challenges

While FIPS 140-2 validation offers significant benefits, organizations may encounter various challenges in achieving validation, including:

Cost considerations, as the validation process can be expensive, particularly for small and medium-sized businesses
Time constraints, as the validation process can take several months to complete
Technical expertise requirements, as organizations may need to engage specialized resources to navigate the complex validation process

FIPS 140-2 Validation and Its Role in Achieving NIST 800-171 Compliance

NIST 800-171 is a standard that provides guidelines for protecting sensitive government content. The framework applies to organizations that provide services to the government or handle sensitive government content. NIST 800-171 requires contractors and subcontractors who process, store, or transmit CUI to implement and maintain the security controls outlined in the publication. One of these controls is the use of cryptography to protect CUI during transmission and storage. Specifically, NIST 800-171 mandates the use of FIPS 140-2 compliant cryptographic modules to ensure the security of CUI.

The use of FIPS 140-2 validated cryptographic modules is a critical step in meeting NIST 800-171 security requirements and maintaining compliance. Organizations must choose the right FIPS 140-2 validated solution that meets their specific needs. The solution must meet the requirements of NIST 800-171 and provide the necessary level of security for the organization’s content. Organizations must consider several factors when choosing a solution, including the level of security, cost, and ease of implementation.

Choosing the Right FIPS 140-2 Validated Solution

When it comes to choosing a FIPS 140-2 validated solution, there are several important factors to consider. First and foremost, it is crucial to have a clear understanding of the security requirements for the content transmission. Additionally, vendor selection, product features, performance, and cost are all important considerations. We explore each of these factors in more detail to help you choose the right FIPS 140-2 validated solution for your needs.

Understanding and Evaluating Security Requirements for FIPS 140-2 Validation

Choosing the right FIPS 140-2 validated solution requires a clear understanding of the security requirements. The level of security needed will depend on the type of content being transmitted, the industry, and the threats faced. It is essential to identify the security requirements for the content transmission before deciding on the FIPS 140-2 validated solution.

Selecting the Right Vendor for FIPS 140-2 Validated Solutions

Selecting the right vendor is crucial when choosing a FIPS 140-2 validated solution. The vendor should have experience in the industry and should have a good reputation. The vendor’s track record in providing secure solutions should be evaluated, and references should be obtained. It is also essential to ensure that the vendor has a FIPS 140-2 validation certificate for the solution being considered.

Product Features to Consider When Choosing a FIPS 140-2 Validated Solution

The FIPS 140-2 validated solution should have the necessary features to meet an organization’s specific security requirements. It should, at a minimum, provide end-to-end encryption, authentication, and authorization. It should also provide audit logs, key management, and content integrity checks. The solution should be able to integrate with the existing infrastructure easily.

Performance Considerations to Consider When Choosing a FIPS 140-2 Validated Solution

The FIPS 140-2 validated solution should not compromise on performance. It should be able to transmit content at the required speed without any delay. The solution should also be scalable to meet the future growth of the organization.

Making the Right Choice for FIPS 140-2 Validation: Cost vs. Value

The cost of a FIPS 140-2 validated solution is an important consideration. It should be compared with other solutions in the market to ensure that it is cost-effective. The total cost of ownership, including installation, maintenance, and support, should also be carefully considered.

Kiteworks Private Content Network for FIPS 140-2 Compliance

As organizations continue to migrate their operations to the cloud and other digital mediums, security has become a critical concern, especially when dealing with sensitive content. Government agencies and other organizations have developed stringent regulations for content security, such as FIPS 140-2 compliance, that businesses must meet. Kiteworks addresses these concerns and therefore helps businesses meet FIPS 140-2 compliance requirements.

The Kiteworks Private Content Network (PCN) provides businesses with a secure platform for sharing content securely with trusted partners. Kiteworks enables granular control over access permissions and user activity monitoring, ensuring content governance and mitigating unauthorized access.

Another important aspect of Kiteworks is its comprehensive security features, including FIPS 140-2 Level 1 validated module for secure file sharing in both on-premises and hosted deployments. In addition to industry-standard end-to-end encryption, data in transit is further protected with FIPS-validated cipher suites and cryptographic algorithms, which include algorithms for symmetric and asymmetric message authentication and hashing. Kiteworks also supports multi-factor authentication and integration with external identity providers, further enhancing security measures. These measures ensure that businesses can effectively mitigate risks associated with content security, comply with regulatory compliance requirements, and improve overall security measures.

To learn more about Kiteworks’ capabilities to protect your most sensitive content, using a FIPS 140-2 validated platform, schedule a custom demo of Kiteworks today.

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