Know the Difference Between FIPS 140-2 and FIPS 140-3
Cryptography plays a vital role in protecting sensitive data and providing security for digital information systems. The Federal Information Processing Standards (FIPS) are a set of standards published by the National Institute of Standards and Technology (NIST) that specify requirements for cryptography modules, with FIPS 140-2 vs FIPS 140-3 being two widely adopted cryptographic standards that define security requirements for cryptography modules.
With the rise in data breaches and cyberattacks, cryptographic security has become more important than ever. Both FIPS 140-2 and 140-3 aim to ensure the security of cryptographic modules against threats like hackers and malware. However, FIPS 140-3 contains updates that make it more rigorous than the current 140-2 standard.
Understanding the key differences between FIPS 140-2 and FIPS 140-3 will allow organizations to prepare for the upcoming transition and ensure their cryptographic modules provide robust security.
Key Takeaways
- FIPS 140-2 is the current validated standard, while FIPS 140-3 is the upcoming standard that will eventually replace it.
- FIPS 140-3 contains new requirements not found in FIPS 140-2, making it a more rigorous standard for cryptographic security.
- Key differences include additional vetting requirements, supporting Approved rather than Allowed algorithms, and requiring side-channel attack testing.
- Both standards define four increasing qualitative levels of security from Level 1 to Level 4.
- Compliance with FIPS 140-3 will require cryptographic modules to be re-tested and re-validated.
Head-to-Head Comparison Between FIPS 140-2 vs FIPS 140-3
| Feature | FIPS 140-2 | FIPS 140-3 |
| Cryptographic Algorithms | Approved and Allowed algorithms | Only Approved algorithms |
| Physical Security Requirements | Basic physical security requirements | Enhanced physical security and tamper evidence requirements |
| Software Security | Limited software security requirements | Additional vetting and validation of software components |
| Side-Channel Testing | Only required for Levels 3-4 | Mandatory for all levels |
| Entropy Assessment | Basic RNG requirements | Enhanced statistical entropy testing required |
| Key Generation | Basic key generation requirements | Additional derivability and predictability requirements |
| Support Services | No stipulated requirements | Mandatory vulnerability reporting and resolution processes required |
| Transition Period | Currently in effect | FIPS 140-2 retired after transition period |
| Validation Requirements | Modules validated to FIPS 140-2 | Revalidation to FIPS 140-3 will be required |
| Security Levels | Provides 4 qualitative security levels | Same 4 levels but enhanced requirements |
Overview of FIPS 140 Standards
FIPS 140 standards are mandatory for Federal agencies and widely followed by financial institutions and enterprises to secure sensitive data. The standards help ensure that cryptographic modules are robust against attack, so the encryption protects the confidentiality and integrity of information.
What is FIPS 140-2?
FIPS 140-2 is the current validated standard for cryptographic modules, published in 2001 by NIST. The standard specifies the security requirements that must be satisfied by a cryptographic module for government endorsements. FIPS 140-2 provides four security levels to allow for a range of potential applications and environments. Widely adopted by enterprises globally, FIPS 140-2 validation is required for cryptographic modules to be used in financial applications and payment systems.
What is FIPS 140-3?
FIPS 140-3 is the upcoming replacement standard that will supersede FIPS 140-2. Published in 2019, it contains new and enhanced requirements not found in FIPS 140-2. Once testing labs are accredited and able to perform validation testing, FIPS 140-3 will transition to become the mandated standard for new cryptographic modules. Existing validated modules under FIPS 140-2 can continue to be used after the transition period.
The Key Differences Between FIPS 140-2 and FIPS 140-3
While both standards aim to provide security levels for cryptographic modules, FIPS 140-3 enhances the rigor to meet modern security demands. Here are some of the key differences between the two standards:
- Transition Period
- Cryptographic Algorithms
- Physical Security Requirements
- Software and Firmware Security
- Side-Channel Attack Testing
- Entropy Assessment and Key Generation
- Support Services
Transition Period
- FIPS 140-2 will be retired after a transition period which allows time for revalidation under the new 140-3 standard.
- The transition period is expected to last about a year after the first FIPS 140-3 validation certificates are issued.
- After this, FIPS 140-2 certificates will no longer be valid for new cryptographic implementations.
Cryptographic Algorithms
- FIPS 140-2 provides both Approved and Allowed cryptographic algorithms. However, FIPS 140-3 only permits Approved algorithms.
- This reduced set of Approved algorithms under FIPS 140-3 is considered secure against major known attacks. Allowed algorithms are not endorsed and will be unacceptable in the new standard.
Physical Security Requirements
- FIPS 140-3 defines additional physical security requirements in Levels 2 and 3 that are not present in FIPS 140-2.
- This includes requirements for the use of identity-based authentication mechanisms to access interfaces and services.
- It also requires tamper-evident coatings or seals with unambiguous indications of tampering or intrusion.
Software and Firmware Security
- In FIPS 140-3, additional vetting requirements are defined for software and firmware components in all cryptographic modules.
- Vendors must identify and document the functions of each component and demonstrate that they do not undermine the module’s security.
- There are also new requirements for version control and tracking changes to software and firmware components.
Side-Channel Attack Testing
- FIPS 140-3 introduces mandatory side-channel attack testing beginning at Security Level 1.
- Side-channel attacks analyze information like timing, power consumption, or electromagnetic leaks to extract secrets.
- In FIPS 140-2, side-channel testing was only required for Levels 3-4 but will now apply to all levels under 140-3.
Entropy Assessment and Key Generation
- More rigorous entropy requirements for random bit generators are specified in FIPS 140-3.
- Statistical tests must be performed on startup and continuously during operation to validate entropy sources.
- For key generation, FIPS 140-3 adds derivability and predictability requirements for keys generated within each module.
Support Services
- FIPS 140-3 requires vendors to provide specific support services for reporting and addressing issues in cryptographic modules and their validation certificates.
- Required services include vulnerability reporting and resolution processes.
- FIPS 140-2 had no mandatory support service requirements.
FIPS 140 Levels 1 to 4
Both FIPS 140-2 and FIPS 140-3 define four qualitative levels of increasing security: Level 1, Level 2, Level 3, and Level 4. The levels allow for scalability, with higher levels adding more stringent requirements.
Level 1
The lowest level provides basic security requirements for a limited range of use cases. FIPS 140-1 requires cryptographic modules to provide authentication and private key protection. Random number generation and cryptographic algorithms are validated.
Level 2
It adds tamper-evidence requirements and identity-based authentication. It also provides protection against physical penetration of the module and ensures a separation between operators and admins.
Level 3
Encrypts critical security parameters within the module and contains advanced identity-based authentication. Adds resistance against physical penetration attempts.
Level 4
The highest level of security. Provides robust protection against physical penetration and full environmental failure protection. Requires formal and rigorous security policy modeling. Ensures the most secure key management.
Higher levels encapsulate the requirements of all the lower levels beneath them. For instance, a Level 3 compliant module satisfies all requirements for Level 1, Level 2, and Level 3.
What are the Impacts of Transitioning to FIPS 140-3
The transition from FIPS 140-2 to FIPS 140-3 will have a number of impacts across stakeholders in the cryptography industry:
For Vendors
- After the transition period, vendors will need to redesign cryptographic modules and obtain new validations under FIPS 140-3.
- Additional development costs to meet the new requirements like side-channel testing and enhanced firmware security.
- Opportunity to market products as compliant with the latest rigorous standards.
For Cryptographic Module Users
- Existing cryptographic modules purchased before the transition can continue to be used after FIPS 140-2 retirement.
- After the transition period, procurement of new modules will require FIPS 140-3 validation.
- Updating systems and planning budgets will be needed if non-validated products are in use.
For Auditors and Assessors
- Once testing labs are accredited for FIPS 140-3, auditors and assessors will need to verify compliance with the new standard.
- Familiarity with enhanced requirements will be critical – side channel testing, entropy assessment, etc.
For Government Agencies
- Agencies must transition from mandating FIPS 140-2 to requiring FIPS 140-3 for all new cryptographic module acquisitions after the transition timeframe.
- Some legacy systems using older modules will continue to rely on FIPS 140-2. But upgraded and new systems must adhere to FIPS 140-3.
Final Thoughts
FIPS 140 standards provide critical cryptographic security assurances for sensitive data protection. The upcoming transition from FIPS 140-2 to FIPS 140-3 will require changes across the industry but will ultimately enhance security capabilities.
With its additional vetting, side-channel protections, and support requirements, FIPS 140-3 takes a big leap forward in keeping pace with today’s threat landscape. Understanding the differences between the two standards allows organizations to plan and implement robust cryptography strategically in the future.
Frequently Asked Questions about FIPS 140-2 and FIPS 140-3
What are the main differences between FIPS 140-2 and FIPS 140-3?
The key differences are additional vetting requirements, mandatory side-channel attack testing starting at Level 1, support for Approved algorithms only, enhanced physical security stipulations, improved entropy and key generation requirements, and compulsory support services in FIPS 140-3.
Will my current FIPS 140-2 validated cryptographic modules still be allowed after the transition?
Yes, existing modules validated under FIPS 140-2 can continue to be used after the transition period ends and FIPS 140-2 is retired. Only new modules will require FIPS 140-3 validation.
When will the transition from FIPS 140-2 to 140-3 occur?
An exact timeline is not yet defined, but the transition is expected within a year after the first FIPS 140-3 validation certificates are issued, which has not happened yet as of early 2023. This will provide a transition window during which both standards will be valid.
Can I use non-validated cryptographic modules after the transition that were previously allowed?
No, after the transition window ends and FIPS 140-2 is retired, non-validated modules will no longer be permitted for new cryptographic implementations and procurements.
What are the main impacts of moving from FIPS 140-2 to 140-3?
The transition will require vendors to redesign and revalidate products, users to potentially procure new modules, assessors to learn the new standard, and agencies to mandate FIPS 140-3 for new cryptographic acquisitions.
Which FIPS 140 security level is typically recommended for financial applications?
FIPS 140 Level 2 validation is widely considered the minimum level appropriate for financial applications like payment systems that handle sensitive customer data.
Do the FIPS 140 standards apply outside the United States?
Yes, FIPS 140 validation is required by and beneficial for global organizations beyond the US, especially those in heavily regulated industries like finance and healthcare.
Where can I find more details about the FIPS 140-3 standard requirements?
NIST’s website provides the full FIPS 140-3 specification. It contains comprehensive details on all aspects of the standard and validation testing.
Priya Mervana
Verified Web Security Experts
Priya Mervana is working at SSLInsights.com as a web security expert with over 10 years of experience writing about encryption, SSL certificates, and online privacy. She aims to make complex security topics easily understandable for everyday internet users.
