NetScaler Virtual Appliance

Certificate

Approved Algorithms (37)

Security Levels (Table 1)

Derived Review-Risk Graph (review prompts, not findings)

flowchart LR
  %% Deterministic review-risk graph for NetScaler Virtual Appliance
  %% Review prompts and evidence gaps, NOT vulnerability findings.
  subgraph CMVP["CMVP-disclosed clues"]
    C2["[high] Firmware update / recovery<br/>/ rollback services<br/><i>Exchange routing information<br/>Software load</i>"]
    C3["[high] Unauthenticated /<br/>self-test / status service<br/>surface<br/><i>AES for Disk Encryption<br/>AES for AES Key<br/>AES for TLS Ticket</i>"]
    C5["[low] Protocol / secure-channel<br/>references (may be KDF<br/>names, not a live channel)<br/><i>TLS<br/>SSH<br/>IKEV</i>"]
    C6["[low] Operating system / runtime<br/>referenced (boundary<br/>membership not asserted)<br/><i>operating system<br/>application</i>"]
  end
  subgraph Inference["Derived inference"]
    I2["Trusted code is reachable<br/>through update and<br/>recovery paths."]
    I3["Some services may process<br/>input before, or without,<br/>operator authentication."]
    I5["Possible only, a protocol<br/>is referenced, but whether<br/>it is a live channel or<br/>only a KDF/algorithm name<br/>is unconfirmed."]
    I6["Possible only, a<br/>runtime/OS is referenced,<br/>but its membership in the<br/>cryptographic boundary is<br/>not established."]
  end
  subgraph Risk["Reviewer question"]
    R2["Are update images<br/>authenticated before<br/>parsing, and are<br/>downgrade/rollback paths<br/>constrained?"]
    R3["Can unauthenticated<br/>services leak state,<br/>consume resources, or<br/>transition security state?"]
    R5["If a live TLS/SSH/IKE<br/>channel exists, could<br/>library CVEs apply, or is<br/>this only a<br/>KDF/documentation name?"]
    R6["If the OS/runtime is<br/>in-boundary, could its<br/>CVEs be hidden by<br/>firmware-only versioning?"]
  end
  subgraph Evidence["Evidence needed to close"]
    E2["update image format ·<br/>signature-before-parse<br/>proof · anti-rollback /<br/>downgrade policy"]
    E3["pre-auth reachability<br/>matrix · rate limits and<br/>output redaction ·<br/>abuse-case tests"]
    E5["confirm the disclosure<br/>itself (keyword hit,<br/>context unverified) ·<br/>library identity and<br/>version ·<br/>certificate-validation<br/>behaviour · protocol-CVE<br/>disposition"]
    E6["confirm the disclosure<br/>itself (keyword hit,<br/>context unverified) ·<br/>runtime identity and<br/>config · kernel/runtime<br/>hardening profile ·<br/>patch/backport manifest"]
  end
  C2 --> I2 --> R2 --> E2
  C3 --> I3 --> R3 --> E3
  C5 --> I5 --> R5 --> E5
  C6 --> I6 --> R6 --> E6
  classDef clue fill:#eef3f9,stroke:#6f7f91,color:#1f3a5f;
  classDef infer fill:#fff7e6,stroke:#b98500,color:#6b4e00;
  classDef risk fill:#fbe9e9,stroke:#b02a2a,color:#7a1f1f;
  classDef evidence fill:#e6f4ea,stroke:#1e7d34,color:#14532d;
  class C2,C3,C5,C6 clue;
  class I2,I3,I5,I6 infer;
  class R2,R3,R5,R6 risk;
  class E2,E3,E5,E6 evidence;

flowchart LR
  %% Deterministic clue tier for NetScaler Virtual Appliance
  %% confidence: high = structured record field; medium = structured but soft; low (dashed) = bare keyword hit, context unverified
  subgraph CMVP["CMVP-disclosed clues (deterministic)"]
    C2["[high] Firmware update / recovery / rollback services<br/><i>Exchange routing information<br/>Software load</i><br/>src: securityPolicy.services"]
    C3["[high] Unauthenticated / self-test / status service surface<br/><i>AES for Disk Encryption<br/>AES for AES Key<br/>AES for TLS Ticket</i><br/>src: securityPolicy.services"]
    C5["[low] Protocol / secure-channel references (may be KDF names, not a live channel)<br/><i>TLS<br/>SSH<br/>IKEV</i><br/>src: text:keyword"]
    C6["[low] Operating system / runtime referenced (boundary membership not asserted)<br/><i>operating system<br/>application</i><br/>src: text:keyword"]
  end
  classDef clueHigh fill:#eef3f9,stroke:#2f6fb0,stroke-width:2px,color:#1f3a5f;
  classDef clueMedium fill:#eef3f9,stroke:#6f7f91,color:#1f3a5f;
  classDef clueLow fill:#f7f7f7,stroke:#999,stroke-dasharray:4 4,color:#444;
  class C2,C3 clueHigh;
  class C5,C6 clueLow;

Security Policy, page by page

Cloud Software Group NetScaler Virtual Appliance Software Version: 13.1.FIPS FIPS Security Level: 1 Document Version: 0.5 Prepared for: Prepared by: Cloud Software Group

Fort Lauderdale, FL 33309 United States of America Corsec Security, Inc.

Fairfax, VA 22033 United States of America Phone: +1 954 267 3000 www.cloud.com Phone: +1 703 267 6050 www.corsec.com

November 25, 2025 Abstract This is a non-proprietary Cryptographic Module Security Policy for the NetScaler Virtual Appliance (version: 13.1.FIPS) from Cloud Software Group (Cloud Software Group). This Security Policy describes how the NetScaler Virtual Appliance meets the security requirements of Federal Information Processing Standards (FIPS) Publication 140-3, which details the U.S. and Canadian government requirements for cryptographic modules. More information about the FIPS 140-3 standard and validation program is available on the National Institute of Standards and Technology (NIST) and the Canadian Centre for Cyber Security (CCCS) Cryptographic Module Validation Program (CMVP) website at http://csrc.nist.gov/groups/STM/cmvp. This document also describes how to run the module in a secure FIPS-Approved mode of operation. This policy was prepared as part of the Level 1 FIPS 140-3 validation of the module. The NetScaler Virtual Appliance is referred to in this document as NetScaler VA or the module. References This document deals only with operations and capabilities of the module in the technical terms of a FIPS 140-3 cryptographic module security policy. More information is available on the module from the following sources:

• The Cloud Software Group website www.cloud.com contains information on the full line of services and solutions from Cloud Software Group.
• The search page on the CMVP website (https://csrc.nist.gov/Projects/cryptographic-module-validationprogram/Validated-Modules/Search) can be used to locate and obtain vendor contact information for technical or sales-related questions about the module. Document Organization ISO/IEC 19790 Annex B uses the same section naming convention as ISO/IEC 19790 section 7 - Security requirements. For example, Annex B section B.2.1 is named “General” and B.2.2 is named “Cryptographic module specification,” which is the same as ISO/IEC 19790 section 7.1 and section 7.2, respectively. Therefore, the format of this Security Policy is presented in the same order as indicated in Annex B, starting with “General” and ending with “Mitigation of other attacks.” If sections are not applicable, they have been marked as such in this document. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 Table of Contents 1. 1.1 1.2 2. 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 3. 3.1 4. 4.1 4.2 4.3 4.4 4.5 5. 5.1 5.2 6. 6.1 6.2 7. 8. 9. 9.1 9.2 9.3 9.4 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

10.3 10.4 November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 List of Tables List of Figures NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

1. General 1.1 Overview November 25, 2025 NetScaler Virtual Appliance is a virtual application delivery controller (ADC) that accelerates application performance, enhances application availability with advanced L4-L7 1 load balancing, provides an integrated application firewall, and lowers server expenses by offloading computationally intensive tasks. All these capabilities are combined into a single, integrated virtual appliance. NetScaler Virtual Appliance is provides the web-based GUI2, REST3ful Nitro API4, and CLI5 interfaces for configuring and managing the appliance. The GUI includes a configuration utility for configuring the appliance as well as a statistical utility called Dashboard. NetScaler appliances are installed in a data center on-premises or in a public cloud (such as Amazon Web Services (AWS), Microsoft Azure, and Google Cloud Platform (GCP)) between the clients and the servers, so that client requests and server responses pass through it. In a typical installation, virtual servers configured on the appliance provide connection points that clients use to access the applications behind the appliance. In this case, the appliance owns public IP6 addresses that are associated with its virtual servers, while the real servers are isolated in a private network. Administrators enable appliance features and apply configured policies to incoming and outgoing traffic. The NetScaler Virtual Appliance is feature set can be broadly categorized as consisting of switching features, security and protection features, and server-farm optimization features:

• Switching features
• When deployed in front of application servers, the NetScaler Virtual Appliance is ensures optimal distribution of traffic by the way in which it directs client requests. Administrators can segment application traffic according to information in the body of an HTTP7 or TCP8 request, and on the basis of L4–L7 header information such as URL9, application data type, or cookie. Numerous load balancing algorithms and extensive server health checks improve application availability by ensuring that client requests are directed to the appropriate servers.
• Security and protection features
• NetScaler Virtual Appliance is security and protection features protect web applications from Application Layer attacks. The NetScaler Virtual Appliance is allows legitimate client requests and can block malicious requests. It provides built-in defenses against denial-of-service (DoS) attacks and supports features that protect against legitimate surges in application traffic that would otherwise overwhelm the servers. An available built-in firewall protects web applications from Application Layer attacks, including buffer overflow exploits, SQL10 injection attempts, cross-site scripting attacks, and

API

• Application Programming Interface

URL

• Universal Resource Locator

NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 more. In addition, the firewall provides identity theft protection by securing confidential corporate information and sensitive customer data.

• 1.2 Optimization features
• Optimization features offload resource-intensive operations, such as SSL 11 processing, data compression, client keep-alive, TCP buffering, and the caching of static and dynamic content from servers. This improves the performance of the servers in the server farm and therefore speeds up applications. The NetScaler Virtual Appliance is supports several transparent TCP optimizations, which mitigate problems caused by high latency and congested network links, accelerating the delivery of applications while requiring no configuration changes to clients or servers. Security Levels The NetScaler Virtual Appliance is validated at the FIPS 140-3 section levels shown in the table below. N/A N/A N/A Table 1: Security Levels

NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 2. Cryptographic Module Specification 2.1 Description

NetScaler Virtual Appliance is a virtual application delivery controller (ADC) that accelerates application performance, enhances application availability with advanced L4-L7 12 load balancing, provides an integrated application firewall, and lowers server expenses by offloading computationally intensive tasks. All these capabilities are combined into a single, integrated virtual appliance. NetScaler Virtual Appliance is provides the web-based GUI 13 , REST 14 ful Nitro API 15 , and CLI 16 interfaces for configuring and managing the appliance. The GUI includes a configuration utility for configuring the appliance as well as a statistical utility called Dashboard.

The NetScaler Virtual Appliance 13.1.FIPS is a Software module.

The NetScaler Virtual Appliance has a MultiChipStand embodiment.

The module does not have any additional characteristics.

The logical cryptographic boundary of the module (shown by the red dotted line in Figure 1) consists of the VPX virtual appliance software and FreeBSD operating system acting as the guest OS.

API

• Application Programming Interface

NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

KEY: November 25, 2025 Virtual Machine Virtual Machine Virtual Machine VA Software Other Application Other Application FreeBSD Guest OS Guest OS Logical Cryptographic Boundary Physical Cryptographic Boundary Data Input Data Output Control Output Control Input Status Output System Calls Hypervisor Platform Figure 1. NetScaler Virtual Appliance Cryptographic Boundary

(TOEPP) As a virtual appliance, the software module has no physical characteristics; however, the module makes use of the physical interfaces of the server hosting the virtual environment upon which the module is installed. The hypervisor controls and directs all interactions between the module and the operator and is responsible for mapping the module’s virtual interfaces to the host server’s physical interfaces. The physical boundary of the cryptographic module is defined by the hard enclosure around the host server on which it runs. For this validation, the module will be tested on the platforms listed in Section 2.2, and each platform consists of a motherboard, a multi-core Intel Xeon CPU, random access memory (RAM), a hardware case, a power supply, and interface ports. Figure 2 displays the hardware components of the server used for testing (the dashed line surrounding the hardware components represents the module’s physical cryptographic boundary, which is the outer case of the server), and identifies the hardware with which the processors interface. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

Hardware Management November 25, 2025 DVD Network Interface RAM HDD Clock Generator SCSI/SATA Controller LEDs/LCD Serial CPU I/O Hub Audio Cache Power Interface PCI/PCIe Slots USB BIOS Graphics Controller PCI/PCIe Slots External Power Supply KEY: Plaintext Data Encrypted Data Control Input Status Output Physical Perimeter BIOS

• Basic Input/Output System CPU
• Central Processing Unit SATA
• Serial Advanced Technology Attachment SCSI
• Small Computer System Interface PCI
• Peripheral Component Interconnect LED
• Light Emitting Diode PCIe
• PCI express HDD
• Hard Disk Drive DVD
• Digital Video Disc USB
• Universal Serial Bus RAM
• Random Access Memory LCD
• Liquid Crystal Display Figure 2 - GPC Block Diagram Figure 3. Module Block Diagram (with Cryptographic Boundaries) 2.2 Tested and Vendor Affirmed Module Version and Identification

This section does not apply to this module. N/A for this module.

(Executable Code Sets) The table below lists the executable code sets of the module. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 Table 2: Tested Module Identification

• Software, Firmware, Hybrid (Executable Code Sets)

The module does not have any hybrid disjoint hardware. N/A for this module.

Hybrid The module was tested and found to be compliant with FIPS 140-3 requirements on the environments listed in the table below. Table 3: Tested Operational Environments - Software, Firmware, Hybrid

Firmware, Hybrid There are no vendor-affirmed operational environments claimed. N/A for this module. 2.3 Excluded Components The module does not exclude any components from the requirements. 2.4 Modes of Operation

When installed, configured, and operated according to this Security Policy, the module supports the Approved mode of operation only; non-Approved operations are not supported. ©2025 Cloud Software Group

November 25, 2025 Table 4: Modes List and Description 2.5 Algorithms

The module includes the following cryptographic libraries that provide basic cryptographic functionalities and support secure networking protocols:

• NetScaler Control Plane Cryptographic Library v1.0 (Cert. A3942) NetScaler Data Plane Cryptographic Library v1.0 (Cert. A3943) NetScaler CPU Jitter Entropy Source v3.4.0 (Cert. A3513) Control Plane Table 5: Approved Algorithms - Control Plane NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 Table 6: Approved Algorithms - Data Plane CPU Jitter Entropy Source Table 7: Approved Algorithms - CPU Jitter Entropy Source

The vendor affirms the following cryptographic security methods: 6.3 Table 8: Vendor-Affirmed Algorithms

The module does not implement any non-approved algorithms allowed in the Approved mode of operation. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 N/A for this module.

The table below lists the non-Approved algorithms implemented by the module that are allowed for use in the Approved mode of operation with no security claimed. N/A Table 9: Non-Approved, Allowed Algorithms with No Security Claimed

The module does not include any non-Approved algorithms not allowed in the Approved mode of operation. N/A for this module. 2.6 Security Function Implementations The table below lists the security function implementations for this module. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 Table 10: Security Function Implementations 2.7 Algorithm Specific Information

• AES GCM: The AES-GCM algorithm is used in the TLS v1.2 and TLS v1.3 protocols. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

• November 25, 2025 For TLS v1.2, the module supports acceptable AES-GCM cipher suites from section 3.3.1.1 of NIST SP 800-52rev2 and meets the (key/IV) pair uniqueness requirements from NIST SP 800-38D. The protocol’s implementation is contained within the boundary of the module, and the generated IV is only used in the context of the AES-GCM encryption executing the provisions of the TLS 1.2 protocol. The mechanism for IV generation falls into scenario 1 in FIPS 140-3 IG C.H and is compliant with RFC 5288. The IV is a random 96-bit value generated with entropy provided by the module’s Approved entropy source. The 64-bit counter portion of the IV is strictly increasing. The counter portion of the IV does not exhaust the maximum number of possible values for a given session key. This condition is implicitly ensured by the design of the TLS protocol, in which the counter is denied exhaustion by the control exerted by the protocol’s (and hence also the module’s) management logic (wherein the counter is incremented per each TLS record). This management logic also implies that the probability of an exhaustion of all 2^64 - 1 values of the counter for the same TLS session in a realistic time frame is not significant.
• For TLS v1.3, the module supports acceptable AES-GCM cipher suites from section 3.3.1.2 of NIST SP 800-52rev2 and meets the (key/IV) pair uniqueness requirements from NIST SP 800-38D. The protocol’s implementation is contained within the boundary of the module, and the generated IV is only used in the context of the AES-GCM encryption executing the provisions of the TLS 1.3 protocol. The mechanism for IV generation falls into scenario 5 in FIPS 140-3 IG C.H and is compliant with RFC 8446. Each session employs a “per-record nonce”, a 64-bit sequence number (or IV) maintained separately for reading and writing records. Each sequence number is set to 0 at the beginning of a connection and whenever the key is changed (the first record transmitted under a particular traffic key uses sequence number 0), and the appropriate sequence number is incremented by one after reading or writing each record. Because the size of sequence numbers is 64 bits, the IV should not exhaust the maximum number of possible values for a given session key. If the IV exhaustion condition is observed, this will trigger a session termination or a re-key due to session re-establishment. 2.8 RNG and Entropy The table below specifies the module’s entropy certificates. Table 11: Entropy Certificates The table below specifies the module’s entropy sources. NonPhysical Table 12: Entropy Sources NetScaler Virtual Appliance 13.1.FIPS

2.9 November 25, 2025 Key Generation When generating symmetric keys, the module uses the direct output of its approved DRBG to generate random numbers and seeding material, per the guidance in NIST SP 800-133 Rev. 2, Section 4. When generating the Key Encryption Key (KEK), the module follows the method “Symmetric Keys Produced by Combining (Multiple) Keys and Other Data” described in NIST SP 800-133 Rev. 2, Section 6.3. 2.10 Key Establishment

The module implements the following approved key agreement methods: KAS-ECC-SSC

• NIST SP 800-56A Rev. 3 (FIPS 140-3 IG D.F, Scenario 2, Path (2)) KAS-FFC-SSC
• NIST SP 800-56A Rev. 3 (FIPS 140-3 IG D.F, Scenario 2, Path (2)) Key confirmation is not supported.

The module implements the following key transport method: KTS-IFC

• NIST SP 800-56B Rev. 2 (FIPS 140-3 IG D.G, Key Encapsulation/Un-encapsulation) 2.11 Industry Protocols The module uses the following industry protocols:
• IPsec with IKEv1 IPsec with IKEv2 SNMP SSH TLS 1.0/1.1 TLS 1.2 TLS 1.3 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 3. 3.1 Ports and Interfaces The module supports the following logical interfaces:

• As a virtual appliance, NetScaler VA has no physical characteristics. Its interfaces are logical; the hypervisor provides virtualized ports and interfaces for the module that maps to the host server’s physical ports and interfaces. The module relies on the physical and electrical characteristics, manual controls, and physical indicators of the host server. The table below contains a mapping of the physical and logical interfaces of the N/A N/A N/A N/A N/A Table 13: Ports and Interfaces NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 4. Roles, Services, and Authentication 4.1 Authentication Methods The module supports identity-based authentication; operators explicitly assume their role based on the authentication credentials used. Each role determines the functionality available to the operator within the Operators authenticate to the module using either:

• Officer role and are enforced by the module. All operators are required to follow the password policies.
• Certificates associated with the selected protocol. The module supports RSA digital certificate The strength objectives of the authentication mechanisms are as follows:
• For each attempt to use an authentication mechanism, the probability shall be less than one in 1,000,000 that a random attempt will succeed or a false acceptance will occur.
• For multiple attempts to use an authentication mechanism during a one-minute period, the probability shall be less than one in 100,000 that a random attempt will succeed or a false acceptance will occur. To meet these objectives, the password policies shall be configured by the Crypto Officer such that all passwords shall require:
• The strength calculations for each of the authentication mechanisms are provided in the table below. #, $, %, ^, &, *, -, _, =, +, {, }, [, ], |, \, :, <, >, /, ., ,, " "). Table 14: Authentication Methods NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

4.2 November 25, 2025 Roles The module supports a Crypto Officer (CO) that authorized operators can assume. The CO role performs administrative services on the module, such as initialization, configuration, and monitoring of the module. The CO role includes the privileges listed under the read-only, operator, network, and sysadmin command policies. The module also supports the following role(s):

• User
• The User role can view the current status of the module and employ the services of the module (including IPsec17, TLS, SSH, and SNMPv3 services). The User role includes the privileges listed under the read-only command policy. The table below lists the supported roles. Table 15: Roles 4.3 Approved Services Descriptions of the services available are provided in the table below. The keys and Sensitive Security Parameters (SSPs) listed in the table indicate the type of access required using the following notation:
• G = Generate: The module generates or derives the SSP. W = Write: The SSP is updated, imported, or written to the module. E = Execute: The module uses the SSP in performing a cryptographic operation. N/A R R

NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 R,W,E R,W,E NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

N/A November 25, 2025 Z :Z Z :Z Z Z Z Z Z NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 Z Z R,W,E R,W R,W,E R,W,E NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 W,E W R,W,E R,W,E R,E W,E R,E : R,E W,E R,W,E R,W,E NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 N/A R,W W,E R,E W,E E W,E R,W,E R,W,E NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 R,W,E R,W,E R,W,E R,W,E NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 R,W,E R,W,E R,W R,W,E R,W R,W,E R,W R,W,E R,W,E R,W,E R,W,E R,W,E R,W,E NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 R,E W,E R,E : R,E : W,E R,E W,E W,E W,E W,E W,E R,W,E R,W,E R,W,E R,W,E NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 R,W,E R,E R,E W,E W,E R,W,E R,W,E NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 R,E W,E R,E : R,E : W,E R,E W,E W,E W,E W,E W,E R,W,E R,W,E R,W,E R,W,E NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 W,E W,E W W Table 16: Approved Services 4.4 Non-Approved Services The module does not provide any non-Approved services. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 N/A for this module. 4.5 External Software/Firmware Loaded The module does not support the loading of external software or firmware. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

5. Software/Firmware Security 5.1 Integrity Techniques November 25, 2025 All software within the cryptographic boundary is verified using an approved integrity technique implemented within the cryptographic module itself. The module implements a 2048-bit RSA digital signature verification with a SHA-512 hash to ensure the integrity of its software components. The module’s pre-operational integrity check is performed automatically at module power-up. 5.2 Initiate on Demand This integrity check can also be performed on demand by the module operator by performing a reboot. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

6. Operational Environment 6.1 Operational Environment Type and Requirements November 25, 2025 The NetScaler Virtual Appliance comprises a software cryptographic library that executes in a Modifiable operational environment. 6.2 Configuration Settings and Restrictions NetScaler Virtual Appliance runs on the FreeBSD v11.4 OS, which acts as the guest OS son top of the virtualization layer. The virtualization layer is provided by VMware’s ESXi hypervisor v7.0. The VMware hypervisor runs directly on the server’s hardware, with no need for an underlying operating system. Only the module’s signed image can be executed, and all software upgrades are digitally signed. All services provided by the module are provided by the module’s software and external interfaces. The module’s processor executes the software on the tested configurations specified in section 2.2.4 of this document. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

7. November 25, 2025 Physical Security The cryptographic module is a multi-chip standalone software module and does not include physical security mechanisms. Therefore, per section G.3 of the Implementation Guidance for FIPS PUB 140-3 and the CMVP, this section is not applicable. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

8. November 25, 2025 Non-Invasive Security This section is not applicable. There are currently no approved non-invasive mitigation techniques references in Annex F of ISO/IEC 19790. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 9. Sensitive Security Parameters Management 9.1 Storage Areas The table below lists sensitive security parameters (SSPs) storage areas for this module. Section 9.4 below selects from the storage areas listed and specifies the appropriate storage area in the “Storage” column if applicable to a specific SSP. Table 17: Storage Areas 9.2 SSP Input-Output Methods The table below lists SSP input and output methods for this module. Section 9.4 below selects from the input and output methods listed and specifies the appropriate method in the “Inputs/Outputs” column if applicable to a specific SSP. Table 18: SSP Input-Output Methods 9.3 SSP Zeroization Methods The table below lists SSP zeroization methods for this module. Section 9.4 below selects from the zeroization methods listed and specifies the appropriate method in the “Zeroization” column if applicable to a specific SSP. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 N/A Table 19: SSP Zeroization Methods 9.4 The module supports the keys and other SSPs listed in the table below. Note that all SSP imports and exports are electronic and performed within the Tested OE’s Physical Parameter (TOEPP). N/A - N/A N/A - N/A NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 --NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 ------NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

----------------------------------November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 ------Table 20: SSP Table 1 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 Table 21: SSP Table 2 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 10. Self-Tests The module performs pre-operational self-tests and conditional self-tests. Pre-operational tests are performed between the time the cryptographic module is instantiated and before the module transitions to the operational state. Conditional self-tests are performed by the module during module operation when certain conditions exist. The following sections list the self-tests performed by the module, their expected error status, and the error resolutions. 10.1 Pre-Operational Self-Tests The module performs the following pre-operational self-test(s): Table 22: Pre-Operational Self-Tests 10.2 Conditional Self-Tests The module performs the following conditional self-tests: NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 N/A N/A N/A N/A N/A N/A N/A N/A N/A NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 N/A N/A N/A N/A N/A Table 23: Conditional Self-Tests 10.3 Periodic Self-Test Information The module has conditions that may interrupt module operations during the time to repeat the periodic self-tests. The table below specifies the period and the policy for these conditions. Table 24: Pre-Operational Periodic Information NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 Table 25: Conditional Periodic Information 10.4 Error States If the module enters the critical error state due to a failure of the pre-operational integrity test, the module enters a critical error state and logs an error message. In this state, the boot sequence and entire system is halted. The only action available from this state is to reboot the module to trigger the re-execution of the integrity test. The error condition is considered to have been cleared if the module successfully passes the pre-operational integrity test. If the module continues to return to a halted state, the module is considered to be malfunctioning or compromised, and Cloud Software Group Customer Support must be contacted. If the module enters the critical error state due to a failure of any of the conditional CASTs, cryptographic operations are halted, and the module inhibits all data output from the module. The module logs an error message and automatically reboots to clear the error state. The CO must contact Cloud Software Group if this error occurs. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 checking the log files.

• (both messages indicate a critical error state). The table below describes the error states the status indicators of the module. (preoperational preoperational Table 26: Error States NetScaler Virtual Appliance 13.1.FIPS

November 25, 2025 11. Life-Cycle Assurance The sections below describe how to ensure the module is operating in its validated configuration, including the following:

• Procedures for secure installation, initialization, startup, and operation of the module Maintenance requirements Administrator and non-Administrator guidance Operating the module without following the guidance herein (including the use of undocumented services) will result in non-compliant behavior and is outside the scope of this Security Policy. 11.1 Installation, Initialization, and Startup Procedures The module is available as a software package that includes both the application software and the operating system. After purchasing NetScaler Virtual Appliance, the installation files can be downloaded from Citrix ADC Downloads using valid credentials provided by Cloud Software Group. License entitlement(s) are sent by Cloud Software Group via email after purchase or can be accessed via the Citrix Support Portal using valid credentials. The CO is responsible for all initial setup activities, including configuring the virtual machine and installing/configuring the NetScaler Virtual Appliance. Prior to the installation, the CO should read the document entries within the Getting Started with Citrix ADC webpage on Cloud Software Group’s online product documentation portal. The following sections provide references to step-by-step instructions for the installation of NetScaler Virtual Appliance, as well as the steps necessary to configure the module for its FIPS-Approved mode of operation.

For detailed guidance regarding the installation of NetScaler VA, please see the Deploy a Citrix ADC VPX instance webpage on Citrix’s online product documentation portal and refer to the following document entries:

• Support matrix and usage guidelines Install a Citrix ADC VPX instance on VMware ESX The above document entries include the NetScaler Virtual Appliance support matrix and usage guidelines, prerequisites for installing the NetScaler Virtual Appliance, hardware requirements for the host platforms, and NetScaler Virtual Appliance installation instructions. To install the required license files, the CO must follow the instructions on the Citrix ADC licensing overview webpage on Cloud Software Group’s online product documentation portal. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

After the appliance has been setup, the CO is responsible for the general configuration of the module. The Web GUI or CLI can be used for the general configuration of the module. All general configuration must be complete before performing configuration necessary to place the module in a FIPS-Approved mode of operation. The general configuration requirements and instructions are described in the “Quick Start Installation and Configuration” section of the Citrix ADC Deployment Guide found on Citrix’s online product documentation portal.

After the NetScaler Virtual Appliance has been installed on a VMware ESXi 7.0 hypervisor, the CO is responsible for the general configuration of the module. The Web GUI (configuration utility) or CLI can be used for the general configuration of the module. All general configuration steps must be complete before performing configuration necessary to place the module in a FIPS-Approved mode of operation. The general configuration requirements and instructions are described in the “Quick Start Installation and Configuration” section of the Citrix NetScaler Deployment Guide found on Cloud Software Group’s online product documentation portal.

The CO is responsible for the security-relevant configuration of the module. To initialize the module for the approved mode of operation, the CO must: • • • • • Configure the passphrase requirements Replace the default TLS certificate Disable HTTP access to the Web GUI Enable external authentication Disable local authentication To accomplish these tasks, the CO must follow the procedures detailed in the sections below (for more information, please see the “Configuration Guidelines” section of the document entry Citrix ADC Deployment Guide. Once the CO has completed all configuration steps, the CO shall review all saved settings to ensure they match the required settings as documented in the configuration guidance below. If properly set, the module is considered to be operating in the FIPS-Approved mode. 11.1.4.1 Configure the Passphrase Requirements Passphrases are used to derive keys using PBKDF. The CO must configure strong passphrase requirements. This is accomplished with the following steps from the Web GUI:

1. In the Configuration navigation pane, go to System and click the Settings node.
2. In the Settings section, click the Change Global System Settings link.
3. In the Strong Password field, select Enable All. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025

4. In the Min Password Length field, type “8”.
5. Click OK. 11.1.4.2 Replace the Default TLS Certificate By default, the module includes a factory-provisioned RSA certificate for TLS connections (ns-server.cert and ns-server.key). This certificate is not intended for use in production deployments and must be replaced. The CO must replace the default certificate with a newly-generated certificate after the initial installation. To replace the default TLS certificate, the CO must follow these steps:
6. Run the following CLI command to set the hostname of the module: set ns hostName [hostname]
7. From the Web GUI, complete the following procedure to create a Certificate Signing Request (CSR): a. In the Configuration navigation pane, go to Traffic Management and click the SSL node. b. In the SSL Certificates section, click the Create Certificate Request link. c. Make sure to provide values for all the required fields marked with an “*” and then click Create. Note that the Common Name field will contain the value of hostname created in step 1 above.
8. Submit the CSR file to a trusted CA. The CSR file is available in the /nsconfig/ssl directory.
9. After receiving the certificate from the trusted CA, copy the file to the /nsconfig/ssl directory.
10. From the Web GUI, navigate to Traffic Management > SSL and choose ns-server-certificate.
11. Click Update.
12. In the Certificate File Name field, choose the certificate file that was received from the CA. Use the Browse option to choose the file that you have received from CA after signing. Choose the Browse > Local option if the file is saved on your workstation/local drive.
13. In the Private Key File Name field, specify the default private key file name (ns-server.key).
14. Select the No Domain Check option.
15. Click OK. For more information, please refer to the Citrix Support Knowledge Center article CTX122521) on Citrix’s online product documentation portal. 11.1.4.3 Disable HTTP Access to the Web GUI The CO protects traffic to the administrative interface and Web GUI, by configuring the module to use HTTPS18. Once the module has been configured to use new TLS and SSH certificates, disable HTTP access to the GUI management interface with the following CLI command: set ns ip <NSIP> -gui SECUREONLY 11.1.4.4 Enable External Authentication Once the module is configured in FIPS-Approved mode and the nsroot account is disabled, then external authentication must be configured. Follow the instructions on the Citrix ADC 13.1 – Configuring external user authentication webpage found on the Cloud Software Group online product documentation portal to configure external system authentication. The CO must ensure the following before enabling external authentication: • • A secure connection is established with the external authentication service. Shell access is disabled for all profiles on the external authentication service.

NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

11.1.4.5 November 25, 2025 Disable Local Authentication The nsroot account is a default account with root CLI access (superuser) privileges that is required for initial configuration. During initial configuration, the CO shall disable local system authentication to block access to all local accounts (including the nsroot account), and the CO must ensure that superuser privileges are not assigned to any user account. To disable local system authentication and enable external system authentication, the CO must run the following CLI command: set system parameter -localauth disabled

No additional startup steps are required to be performed by end-users. 11.2 Administrator Guidance Once installed and configured, the Crypto Officer is responsible for maintaining and monitoring the status of the module to ensure that it is running in its FIPS-Approved mode. Please refer to this section for guidance that the Crypto Officer must follow to ensure that the module is operating in a FIPS-Approved manner.

Although pre-operational self-tests are performed automatically during module power up, they can also be manually launched on demand. Self-tests can be executed by:

• power-cycling the module’s host platform the reboot CLI command the reboot API method via the Web GUI by navigating to Configuration > System > System Information and clicking the Reboot button

There are many CSPs within the module’s cryptographic boundary including symmetric keys, private keys, public keys, and passphrases. CSPs reside in multiple storage media including the RAM and system memory of the host platform. All ephemeral keys are zeroized on module reboot, power removal, or session termination. KEK fragments 1 and 2 are stored as plaintext in non-volatile memory. Zeroizing the KEK fragments render all passphrases and passwords stored in the non-volatile memory unrecoverable, effectively zeroizing them. The KEK fragments are zeroized via the following CLI command: rm system csps -type KEK SSH private keys are stored as plaintext in non-volatile memory. SSH private keys are zeroized via the following CLI command: NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 rm system csps -type SSH_HOST_KEYS The output (indicator) of both zeroization commands above is successful return from the command line without any error showing on the console. If the commands fails, an error will show on the console before returning control to the user. After the module’s integrity test is complete the software clears out all values when the signature verification operation is complete (zeroizes temporary values used in the integrity test).

The CO shall be responsible for regularly monitoring the module’s status for the FIPS-Approved mode of operation. When configured according to the CO’s guidance, the module only operates in the FIPS-Approved mode. Thus, the current status of the module when operational is always in the FIPS-Approved mode. An operator can obtain the module’s operational status by reviewing the configuration settings. If set per the guidance documented in section 11.1.4 above, this indicates that the module is operating in the FIPS-Approved mode. An operator can view the versioning information by:

• using the following CLI commands: show ns info shows details about the software, including software version, enabled and disabled features, and configured network information show ns version shows version and build number of the appliance show ns hardware shows details of the appliance hardware and information such as the host ID19 and serial number using the RESTful Nitro API with the GET method: https://module-ip-address>/nitro/v5/config/nshardware https://module-ip-address>/nitro/v5/config/nsversion
• using the Web GUI by navigating to Configuration > System > System Information This will display general system and hardware information about the device, including the platform version, CPU information, and appliance serial number. Additionally, the Web GUI’s dashboard includes a system overview section with information such as system HA state, system master state, and system uptime. If any irregular activity is noticed or the module is consistently reporting errors, then Cloud Software Group Customer Support should be contacted.

NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

This section notes additional policies below that must be followed by COs:

• All private keys (except for SSH private keys) must be stored as PEM files in encrypted format using one of the FIPS-Approved encryption algorithms listed in section 2.5.1.
• Upon successful bootup of the module, the module is configured by default to use only NIST SP 800-52 Rev. 2 recommended cipher suites for TLS connections. If modified, the CO must ensure that only FIPSApproved cipher suites are configured while in the FIPS-Approved mode. It is recommended to use the list of approved TLS cipher suites in section 3.3 of NIST SP 800-52 Rev. 2 as guidance.
• The module must be configured to use PSK-based authentication for IPsec connections. The CO must provide a PSK value when configuring IPsec profiles via the GUI, CLI, or API. Configuring digital certificatebased authentication for IPsec connections is prohibited while in the FIPS-Approved mode of operation.
• Kerberos traffic management/SSO shall not be configured or used in the FIPS-Approved mode of operation.
• The module supports clustering, and it may act as either the cluster coordinator or the cluster node. Once appliances are clustered together, all configuration is done on the cluster coordinator and pushed to nodes within the cluster. For details on configuring clusters, refer to Citrix ADC 13.1
• Clustering.
• The CO must ensure that the “Key” and “AutoKey” authentication parameters are not set when adding NTP servers via the GUI, CLI, or API.
• If the module’s power is lost and then restored, the CO shall establish a new key for AES GCM encryption.
• The module has built-in CA tools used to create self-signed certificates for testing purposes. While the feature does include the generation of keys, those keys are not considered CSPs (as they are not being used for production purposes). The CO must ensure that all certificates are signed using a trusted CA and not by a self-signed certificate.
• When performing a software update the following steps must be performed: o o o
• Load software load integrity key Load software package Zeroize SSH keys using rm system csps -type SSH_HOST_KEYS Run the installation script
• The operator shall not enable the LOM port via ADC configuration.
• The operator shall perform the zeroization commands as specified in section 11.2.2 prior to invoking the “Software Load” service. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

11.3 November 25, 2025 Non-Administrator Guidance Operators with the User role do not have the ability to configure sensitive information on the module. They must be diligent to select strong passwords and must not reveal their password to anyone. Additionally, they must be careful to protect any secret or private keys in their possession. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 12. Mitigation of Other Attacks The module does not claim to mitigate any attacks beyond the FIPS 140-3 Level 1 requirements for this validation. Therefore, per ISO/IEC 19790:2012 section 7.12, requirements for this section are not applicable. NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 Appendix A. Acronyms and Abbreviations Table 27 provides definitions for the acronyms and abbreviations used in this document. Table 27. Acronyms and Abbreviations NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

November 25, 2025 NetScaler Virtual Appliance 13.1.FIPS ©2025 Cloud Software Group

Prepared by: Corsec Security, Inc.

Fairfax, VA 22033 United States of America Phone: +1 703 267 6050 Email: info@corsec.com Web: www.corsec.com

Referenced URLs

• www.cloud.com
• www.corsec.com
• http://csrc.nist.gov/groups/STM/cmvp
• https://csrc.nist.gov/Projects/cryptographic-module-validation-
• https://module-ip-address