FCAT Wallet Vault Cryptographic Module

Certificate

Approved Algorithms (62)

Security Levels (Table 1)

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

flowchart LR
  %% Deterministic review-risk graph for FCAT Wallet Vault Cryptographic Module
  %% Review prompts and evidence gaps, NOT vulnerability findings.
  subgraph CMVP["CMVP-disclosed clues"]
    C3["[high] Unauthenticated /<br/>self-test / status service<br/>surface<br/><i>Show Status</i>"]
    C5["[low] Protocol / secure-channel<br/>references (may be KDF<br/>names, not a live channel)<br/><i>TLS<br/>SSH<br/>HTTPS</i>"]
    C6["[low] Operating system / runtime<br/>referenced (boundary<br/>membership not asserted)<br/><i>operating system<br/>linux<br/>application</i>"]
  end
  subgraph Inference["Derived inference"]
    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"]
    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"]
    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
  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 C3,C5,C6 clue;
  class I3,I5,I6 infer;
  class R3,R5,R6 risk;
  class E3,E5,E6 evidence;

flowchart LR
  %% Deterministic clue tier for FCAT Wallet Vault Cryptographic Module
  %% confidence: high = structured record field; medium = structured but soft; low (dashed) = bare keyword hit, context unverified
  subgraph CMVP["CMVP-disclosed clues (deterministic)"]
    C3["[high] Unauthenticated / self-test / status service surface<br/><i>Show Status</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/>HTTPS</i><br/>src: text:keyword"]
    C6["[low] Operating system / runtime referenced (boundary membership not asserted)<br/><i>operating system<br/>linux<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 C3 clueHigh;
  class C5,C6 clueLow;

Security Policy, page by page

Fidelity Center for Applied Technology LLC FCAT Wallet Vault Cryptographic Module Software Version: 1.0 FIPS Security Level: 1 Document Version: 0.2 Prepared for: Prepared by: Fidelity Center for Applied Technology LLC

Boston, MA 02210 United States of America Corsec Security, Inc. Phone: +1 800 343 3548 www.fcatwallet.com Phone: +1 703 267 6050 www.corsec.com

Fairfax, VA 22033 United States of America

July 7, 2025 Abstract This is a non-proprietary Cryptographic Module Security Policy for FCAT Wallet Vault Cryptographic Module (software version: 1.0) from Fidelity Center for Applied Technology LLC (Fidelity). This Security Policy describes how FCAT Wallet Vault Cryptographic Module 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 Cryptographic Module Validation Program (CMVP) website, which is maintained by the National Institute of Standards and Technology (NIST) and the Canadian Centre for Cyber Security (CCCS). This document also describes how to run the module in a secure Approved mode of operation. This policy was prepared as part of the Level 1 FIPS 140-3 validation of the module. FCAT Wallet Vault Cryptographic Module is referred to in this document as “FCAT Wallet Vault Cryptographic Module” or “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 Fidelity website (www.fcatwallet.com) contains information on the full line of services and solutions from Fidelity Center for Applied Technology LLC.
• 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. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 Table of Contents 1. 2. 2.1 2.2 2.3 2.4 3. 4. 4.1 4.2 4.3 5. 6. 7. 8. 9. 9.1 9.2 9.3 9.4 9.5 Appendix A. Appendix B. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 List of Tables List of Figures FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

1. July 7, 2025 FCAT Wallet Vault Cryptographic Module version 1.0 is a software library providing a C language API 1 for use by other applications requiring cryptographic functionality. FCAT Wallet Vault Cryptographic Module 1.0 offers symmetric encryption/decryption, digital signature generation/verification, hashing, cryptographic key generation, random number generation, message authentication, and key establishment functions to secure dataat-rest/data-in-flight and to support industry-standard secure communications protocols (including TLS 2 1.2/1.3). Fidelity’s FCAT Wallet Vault Cryptographic Module is implemented within the secure context of the FCAT hardware wallet platform. It is built atop the ProvenCore EAL7-certified secure OS developed by ProvenRun and operates in conjunction with a hardened version of the OpenSSL FIPS-compliant cryptographic library. The platform enforces strict separation between secure and non-secure contexts via ARM TrustZone architecture, with well-defined boundaries. The FCAT Wallet Vault encompasses: • The wallet-sec application, responsible for secure transaction signing, seed/key management, and authentication workflow. • Supporting libraries within secure context including: o authentication_ui lib (TrustedUI-API) o crypto_safe lib (FIPS OpenSSL implementation) o trusted ui lib for isolated user input/output • The ProvenCore Trusted Execution Environment (TEE), including its SMCCC implementation, which handles secure calls and mediates access between trusted applications and hardware-level drivers (I2C, DSI, GPIO). • Secure interactions with physical components, such as the fingerprint sensor, touchscreen, and secure storage via STSAVE and TAMP drivers. All cryptographic operations — including key generation, signing, encryption/decryption, and secure storage are confined within this boundary and isolated from the non-secure Linux environment, which includes the user-facing wallet-GUI application. FCAT Wallet Vault Cryptographic Module is validated at the FIPS 140-3 section levels shown in Table
2. Table 1 – Security Levels [Number Below] API – Application Programming Interface

FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 [Number Below] N/A N/A N/A The module has an overall security level of 1. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

2. July 7, 2025 Cryptographic Module Specification FCAT Wallet Vault Cryptographic Module is a software module with a multi-chip standalone embodiment. The module is designed to operate within a modifiable operational environment. Additionally, the module is designed to utilize the AES-NI 3 extended instruction set when available by the host platform’s CPU for processor algorithm acceleration (PAA) of its AES implementation. 2.1 Operational Environments The module was tested and found to be compliant with FIPS 140-3 requirements on the operational environments (OE) listed in Table
3. Table 2 – Tested Operational Environments # There are no vendor-affirmed operational environments claimed. Module operators may perform post-validation porting of the module and affirm the module’s continued validation compliance. The cryptographic module will remain compliant with the FIPS 140-3 validation on any general-purpose platform/processor that supports the specified operating system listed on the validation entry, or another compatible operating system. The CMVP makes no statement as to the correct operation of the module or the security strengths of the generated keys when ported to an operational environment not listed on the validation certificate. 2.2 Algorithm Implementations Validation certificates for each Approved security function are listed in Table
4. Note that there are algorithms, modes, and key/moduli sizes that have been CAVP-tested but are not used by any Approved service of the module. Only the algorithms, modes/methods, and key lengths/curves/moduli shown in Table 3 are used by an Approved service of the module.

FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 Table 3

• Approved Algorithms Certificate 4 CBC 6, CFB1 7, CFB8, CFB128, CTR 8, ECB 9, OFB 10 CMAC 11 CCM 12 GCM 13 (internal IV) GMAC 14 XTS 15,16,17 KW 18, KWP 19 CKG 20 CVL 21 RFC 23 7627 -

4 This table includes vendor-affirmed algorithms that are approved but CAVP testing is not yet available.

CBC

• Cipher Block Chaining

TLS

• Transport Layer Security

FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

Certificate 4 July 7, 2025 DRBG 24 DSA 25 ECDSA 26

FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

Certificate 4 July 7, 2025 SHA-1, SHA2-224, SHA2256, SHA2-384, SHA2512, SHA3-224, SHA3256, SHA3-384, SHA3512 KAS-ECC-SSC 27 KAS-FFC-SSC 28 KDA 29 KTS 30

27 KAS-ECC-SSC

• Key Agreement Scheme - Elliptic Curve Cryptography - Shared Secret Computation

28 KAS-SSC

• Key Agreement Scheme - Finite Field Cryptography - Shared Secret Computation

31 Per FIPS 140-3 Implementation Guidance D.G, AES-CCM is an Approved key transport technique.

32 Per FIPS 140-3 Implementation Guidance D.G, AES-GCM is an Approved key transport technique.

Per FIPS 140-3 Implementation Guidance D.G, AES with CMAC is an Approved key transport technique.

34 Per FIPS 140-3 Implementation Guidance D.G, AES (in any Approved mode) with HMAC is an Approved key transport technique.

FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

Certificate 4 July 7, 2025 PBKDF2 35 RSA 36 B.3.3 PSS 37 SHS 39 The vendor affirms the following cryptographic security methods:

• Cryptographic key generation
• In compliance with section 6.1 of NIST SP 800-133rev2, the module uses its Approved DRBG to generate random bits and seeds used for asymmetric key generation. The generated

SHAKE

• Secure Hash Algorithm KECCAK

FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 seed is an unmodified output from the DRBG. The cryptographic module invokes a GET command to obtain entropy for random number generation (the module requests 256 bits of entropy from the calling application per request), and then passively receives entropy from the calling application while having no knowledge of the entropy source and exercising no control over the amount or the quality of the obtained entropy. The calling application and its entropy sources are located within the operational environment inside the module’s physical perimeter but outside the cryptographic boundary. Thus, there is no assurance of the minimum strength of the generated keys. The module implements the non-Approved but allowed algorithms shown in Table 4 below. Table 4

• Non-Approved Algorithms Allowed in the Approved Mode of Operation The module does not implement any non-Approved algorithms in the Approved mode of operation with no security claimed. The module employs the non-Approved algorithms shown in Table 5 below. These algorithms shall not be used in the module’s Approved mode of operation. Table 5
• Non-Approved Algorithms Not Allowed in the Approved Mode of Operation AES-OCB 41 Per NIST SP 800-52, SHA-1 is allowed for generating digital signatures on ephemeral parameters within TLS v1.0/1.1.

FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 EdDSA 42 RC2 43, RC4, RC5 2.3 Cryptographic Boundary As a software cryptographic module, the module has no physical components. The physical perimeter of the cryptographic module is defined by each host platform on which the module is installed. Figure 1 below illustrates a block diagram of a typical GPC and the module’s physical perimeter. EdDSA

• Edwards-curve Digital Signature Algorithm

FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

Hardware Management July 7, 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 1
• GPC Block Diagram The module’s cryptographic boundary consists of all functionalities contained within the module’s compiled source code and comprises the following components:
• libcrypto (cryptographic primitives library file) libssl (TLS protocol library file) libcrypto.hmac (an HMAC digest file for libcrypto integrity checks) libssl.hmac (an HMAC digest file for libssl integrity checks) The cryptographic boundary is the contiguous perimeter that surrounds all memory-mapped functionality provided by the module when loaded and stored in the host device’s memory. The module is entirely contained within the physical perimeter. Figure 2 shows the logical block diagram of the module executing in memory and its interactions with surrounding software components, as well as the module’s physical perimeter and cryptographic boundary. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 libssl libssl.hmac libcrypto libcrypto.hmac Calling Application KEY: Cryptographic Boundary Physical Perimeter Data Input Data Output Control Input Control Output Status Output System Calls Operating System CPU Memory Storage Ports Host Device Figure 2

• Module Block Diagram (with Cryptographic Boundary) 2.4 Modes of Operation The module supports two modes of operation: Approved and non-Approved. The module will be in Approved mode when all pre-operational self-tests have completed successfully, and only Approved services are invoked. Table 3 and Table 4 above list the Approved and allowed algorithms; Table 8 provides descriptions of the Approved services. The module can also alternate service-by-service between Approved and non-Approved modes of operation. The module will switch to the non-Approved mode upon execution of a non-Approved service. The module will switch back to the Approved mode upon execution of an Approved service. Table 5 lists the non-Approved algorithms implemented by the module; Table 9 below lists the services that constitute the non-Approved mode. When following the guidance in this document, CSPs are not shared between Approved and non-Approved services and modes of operation. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

3. July 7, 2025 FIPS 140-3 defines the following logical interfaces for cryptographic modules: • • • • • As a software library, the cryptographic module has no direct access to any of the host platform’s physical ports, as it communicates only to the calling application via its well-defined API. A mapping of the FIPS-defined interfaces and the module’s ports and interfaces at the physical and logical boundaries can be found in Table
4. Note that Table 6 – Ports and Interfaces FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

4. July 7, 2025 Roles, Services, and Authentication The sections below describe the module’s authorized roles, services, and operator authentication methods. 4.1 Authorized Roles The module supports a Crypto Officer (CO) that authorized operators can assume. The CO role performs cryptographic initialization or management functions and general security services. The module also supports the following role(s):

• User
• The User role performs general security services, including cryptographic operations and other approved security functions. The module does not support multiple concurrent operators. The calling application that loaded the module is its only operator. Table 7 below lists the supported roles, along with the services (including input and output) available to each role. Table 7
• Roles, Service Commands, Input and Output

Status, MAC 44 FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

4.2 July 7, 2025 Authentication Methods The module does not support authentication mechanisms; roles are implicitly selected based on the service invoked. Refer to Table 7 above for a listing of the services associated with each authorized role. 4.3 Services Descriptions of the services available to the authorized roles are provided in Table 8 below. This module is a software library that provides cryptographic functionality to calling applications. As such, the security functions provided via the module’s APIs are considered security services, and the module provides indicators for Approved security services as required by FIPS 140-3 IG 2.4.C. When invoking an API for an offered security service, the calling application provides inputs (keys, key sizes, modes, etc.) that the module combines into a single, internal structure, or “context”, that drives the execution of the cryptographic service. Each security service invocation will determine if the invoked service is an Approved security service. Upon completion of the service, that context is first updated with the results of the service as well as the Approved security service indicator, and then returned to the calling application. To access the indicator value from the context, the calling application must pass the resultant context to the indicator API associated with that security function (note the indicator check must be performed before any context cleanup is performed). The indicator API will return “1” to indicate the usage of an Approved service. Indicators for services providing non-Approved security functions (as well as for services not requiring an indicator) will have a value other than “1”, ensuring that the indicators for Approved services are unambiguous. Additional details on the APIs used for the Approved service indicators are provided in Appendix B below. Please note that 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. R = Read: The SSP is read from the module (e.g., the SSP is output). FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

• July 7, 2025 W = Write: The SSP is updated, imported, or written to the module. E = Execute: The module uses the SSP in performing a cryptographic operation. Table 8
• Approved Services N/A Perform preoperational selftests N/A N/A N/A N/A N/A N/A N/A Perform selftests ondemand FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC N/A

July 7, 2025 *Per FIPS 140-3 Implementation Guidance 2.4.C, the Show Status, Zeroize, and Show Versioning Information services do not require an Approved security Table 9 below lists the non-approved services available to module operators. Table 9

• Non-Approved Services FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

5. July 7, 2025 Software/Firmware Security All software components within the cryptographic boundary are verified using an Approved integrity technique implemented within the cryptographic module itself. The module implements independent HMAC SHA2-256 digest checks to test the integrity of each library file ; failure of the integrity check on either library file will cause the module to enter a critical error state. The module’s integrity check is performed automatically at module instantiation (i.e., when the module is loaded into memory for execution) without action from the module operator. The CO can initiate the pre-operational tests on demand by re-instantiating the module or issuing the FIPS_selftest() API command. FCAT Wallet Vault Cryptographic Module is not a standalone application; it is a cryptographic toolkit intended for use in a with a vendor’s solution. The module will be linked to a host application, and the host application will be pre-installed onto a target platform by the vendor or installed onto target platforms by the end-user. The module requires no configuration steps to be performed by application developers or end-users, and no action is required from developers or end-users to initialize the module for operation. The module is designed with a default entry point (DEP) that ensures that the pre-operational tests and conditional CASTs are initiated automatically when the module is loaded. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

6. July 7, 2025 Operational Environment FCAT Wallet Vault Cryptographic Module comprises a software cryptographic library that executes in a modifiable operational environment. The cryptographic module has control over its own SSPs. The process and memory management functionality of the host device’s OS prevents unauthorized access to plaintext private and secret keys, intermediate key generation values and other SSPs by external processes during module execution. The module only allows access to SSPs through its well-defined API. The operational environments provide the capability to separate individual application processes from each other by preventing uncontrolled access to CSPs and uncontrolled modifications of SSPs regardless of whether this data is in the process memory or stored on persistent storage within the operational environment. Processes that are spawned by the module are owned by the module and are not owned by external processes/operators. Please refer to section 2.1 of this document for a list/description of the applicable operational environments. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

7. July 7, 2025 Physical Security The cryptographic module is a software module and does not include physical security mechanisms. Therefore, per ISO/IEC 19790:2012(E) section 7.7.1, requirements for physical security are not applicable. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

8. July 7, 2025 Non-Invasive Security This section is not applicable. There are currently no approved non-invasive mitigation techniques referenced in ISO/IEC 19790:2021 Annex F. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025

9. Management 9.1 Keys and Other SSPs The module supports the keys and other SSPs listed in Table
10. Note that all SSP import and export is electronic and is performed within the Tested OE’s Physical Perimeter (TOEPP). Table 10 – SSPs FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 9.2 DRBGs The module implements the following Approved DRBG:

• Counter-based DRBG This DRBG is used to generate random values at the request of the calling application. Outputs from this DRBG are also used as seeds in the generation of asymmetric key pairs. The module implements the following non-Approved DRBGs (which are only available in the non-Approved mode of operation):
• Hash-based DRBG (non-compliant) HMAC-based DRBG (non-compliant) ANSI X9.31 RNG (non-Approved) The module relies on entropy input received from the calling application, which is outside of the logical cryptographic boundary. As such, there is no FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

9.3 July 7, 2025 SSP Storage Techniques There is no mechanism within the module’s cryptographic boundary for the persistent storage of SSPs. The module stores DRBG state values for the lifetime of the DRBG instance. The module uses SSPs passed in on the stack by the calling application and does not store these SSPs beyond the lifetime of the API call. 9.4 SSP Zeroization Methods Maintenance, including protection and zeroization, of any keys and CSPs that exist outside the module’s cryptographic boundary are the responsibility of the end-user. For the zeroization of keys in volatile memory, module operators can unload the module from memory or reboot/power-cycle the host device. 9.5 Table 11

• Non-Deterministic Random Number Generation Specification FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 10. Self-Tests Both pre-operational and conditional self-tests are performed by the module. 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):

• 10.2 Software integrity test for libcrypto (using an HMAC SHA2-256 digest) Software integrity test for libssl (using an HMAC SHA2-256 digest) Conditional Self-Tests The module performs the following conditional self-tests:
• Conditional cryptographic algorithm self-tests (CASTs)
• AES GCM encrypt KAT 46 (128-bit)
• AES GCM decrypt KAT (128-bit)
• XTS-AES encrypt KAT (128-bit)
• XTS-AES decrypt KAT (256-bit)
• Triple-DES ECB decrypt KAT (3­Key)
• Triple-DES CMAC verify KAT (3­key)
• CRNGT 47 for the entropy input
• CTR_DRBG KAT (AES, 256-bit, with derivation function)
• CTR_DRBG generate/instantiate/reseed KAT (256-bit AES)
• DSA verify KAT (P-224 and K-233 curve, SHA2-256)
• ECDSA verify KAT (P-224 and K-233 curve, SHA2-256)
• HKDF KAT
• HMAC KAT (SHA2-256)
• RSA sign KAT (2048-bit; SHA2-256; PKCS#1.5 scheme)
• RSA verify KAT (2048-bit; SHA2-256; PKCS#1.5 scheme)
• SHA KATs (SHA-1, SHA2-512, SHA3-256)
• FFC DH Shared Secret “Z” Computation KAT (2048-bit)
• ECC CDH Shared Secret “Z” Computation KAT (P-224 curve)
• PBKDF2 KAT
• SSH KDF KAT
• TLS KDF KAT (1.0/1.1, 1.2)
• TLS KDF KAT (1.3) KAT
• Known Answer Test

FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 To ensure all CASTs are performed prior to the first operational use of the associated algorithm, all CASTs are performed during the module’s initial power-up sequence. The SHA and HMAC KATs are performed prior to the pre-operational software integrity test; all other CASTs are executed after the successful completion of the software integrity test.

• 10.3 Conditional pair-wise consistency tests (PCTs)
• DSA sign/verify PCT 48
• ECDSA sign/verify PCT
• RSA sign/verify PCT (SHA-256)
• DH key generation PCT
• ECDH key generation PCT Self-Test Failure Handling The module reaches the critical error state when any self-test fails. Upon test failure, the module will set an internal flag and enter a critical error state. In this state, the module will no longer perform cryptographic services or output data over the data output interfaces. For any subsequent request for cryptographic services, the module will return a failure indicator. To recover, the module must be re-instantiated by the calling application. If the pre-operational self-tests complete successfully, then the module can resume normal operations. If the module continues to experience self-test failures after reinitializing, then the module will not be able to resume normal operations, and the CO should contact Fidelity Center for Applied Technology LLC for assistance.

FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 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 Secure Installation The module is distributed as a package containing the binaries and HMAC digest files that the Crypto Officer is to install on a platform specified in section 2.1 or one where portability is maintained. 11.2 Initialization This module is designed to support third-party vendor applications, and these applications are the sole consumers of the cryptographic services provided by the module. No end-user action is required to initialize the module for operation; the calling application performs any actions required to initialize the module. The pre-operational integrity test and cryptographic algorithm self-tests are performed automatically via a default entry point (DEP) when the module is loaded for execution, without any specific action from the calling application or the end-user. End-users have no means to short-circuit or bypass these actions. Failure of any of the initialization actions will result in a failure of the module to load for execution. 11.3 Setup No setup steps are required to be performed by end-users. 11.4 Administrator Guidance There are no specific management activities required of the CO role to ensure that the module runs securely. However, if any irregular activity is noticed or the module is consistently reporting errors, then Fidelity Customer Support should be contacted. The following list provides additional guidance for module administrators:
• The fips_post_status() API can be used to determine the module’s operational status. A non-zero return value indicates that the module has passed all pre-operational self-tests and is currently in its Approved mode. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025

• The OpenSSL_version() API can be used to obtain the module’s versioning information. The API call will return “CorSSL 1.1.1s.006”, which correlates to the “FCAT Wallet Vault Cryptographic Module 1.0” on the module’s FIPS 140-3 validation certificate.
• The CO can initiate the pre-operational self-tests and CASTs on demand for periodic testing of the module by re-instantiating the module or issuing the FIPS_selftest() API command. 11.5 Non-Administrator Guidance The following list provides additional policies for non-Administrators:
• The module uses PBKDF2 option 1a from section 5.4 of NIST SP 800-132.
• The iteration count shall be selected as large as possible, as long as the time required to generate the resultant key is acceptable for module operators. The minimum iteration count shall be 1000.
• The length of the passphrase used in the PBKDF shall be of at least 20 characters, and shall consist of lower-case, upper-case, and numeric characters. The upper bound for the probability of guessing the value is estimated to be 1/6220 = 10-36, which is less than 2-112.
• Passphrases (used as an input for the PBKDF) shall not be used as cryptographic keys.
• Keys derived from passphrases may only be used in storage applications. The length of a single data unit encrypted or decrypted with the AES-XTS shall not exceed 2²⁰ AES blocks; that is, 16 MB of data per AES-XTS instance. An XTS instance is defined in section 4 of NIST SP 800-38E. The AES-XTS mode shall only be used for the cryptographic protection of data on storage devices. The AES-XTS shall not be used for other purposes, such as the encryption of data in transit. The module implements the check to ensure that the two AES keys used in the XTS-AES algorithm are not identical.
• AES GCM encryption is used in the context of the TLS protocol versions 1.2 and 1.3. To meet the AES GCM (key/IV) pair uniqueness requirements from NIST SP 800-38D, the module generates the IV as follows:
• For TLS v1.2, the module supports acceptable AES GCM cipher suites from section 3.3.1 of NIST SP 800-52rev2. Per scenario 1 in FIPS 140-3 IG C.H, the mechanism for IV generation is compliant with RFC 5288. The counter portion of the IV is strictly increasing. When the IV exhausts the maximum number of possible values for a given session key, a failure in encryption will occur and a handshake to establish a new encryption key will be required. It is the responsibility of the module operator (i.e., the first party, client, or server) to trigger this handshake in accordance with RFC 5246 when this condition is encountered. The module also supports internal IV generation using the module’s Approved DRBG. The IV is at least 96 bits in length per section 8.2.2 of NIST SP 800-38D. Per NIST SP 800-38D and scenario 2 of FIPS 140-3 IG C.H, the DRBG generates outputs such that the (key/IV) pair collision probability is less than 2-32. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 In the event that power to the module is lost and subsequently restored, the calling application must ensure that any AES-GCM keys used for encryption or decryption are re-distributed.

• The cryptographic module’s services are designed to be provided to a calling application. Excluding the use of the NIST-defined elliptic curves as trusted third-party domain parameters, all other assurances from FIPS PUB 186-4 (including those required of the intended signatory and the signature verifier) are outside the scope of the module and are the responsibility of the calling application.
• The module performs assurances for its key agreement schemes as specified in the following sections of NIST SP 800-56Arev3: o
• Section 5.5.2 (for assurances of domain parameter validity) Section 5.6.2.1 (for assurances required by the key pair owner) Note that several of the assurances required by the key pair owner are provided by the fact that the module itself, when acting as the key pair owner, generates the key pairs. The module includes the capability to provide the required recipient assurance of public key validity specified in section 5.6.2.2 of NIST SP 800-56Arev3. However, since public keys from other modules are not received directly by this module (those keys are received by the calling application), the module has no knowledge of when a public key is received. Validation of another module’s public key is the responsibility of the calling application.
• The calling application is responsible for ensuring that CSPs are not shared between approved and nonapproved services and modes of operation.
• The calling application is responsible for using entropy sources that meet the minimum security strength of 112 bits required for the CTR_DRBG as shown in NIST SP 800-90Arev1, Table 3. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 12. Mitigation of Other Attacks This section is not applicable. The module does not claim to mitigate any attacks beyond the FIPS 140-3 Level 1 requirements for this validation. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

Appendix A. Acronyms and Abbreviations Table 12 provides definitions for the acronyms and abbreviations used in this document. Table 12

• Acronyms and Abbreviations FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC July 7, 2025

FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC July 7, 2025

July 7, 2025 Appendix B. Approved Service Indicators This appendix specifies the APIs that are externally accessible and return the Approved security service indicators. Synopsis #include <openssl/service_indicator.h> #include <openssl/ssl.h> int EVP_cipher_get_service_indicator(EVP_CIPHER_CTX *ctx); int DSA_get_service_indicator(DSA * ptr_dsa, DSA_MODES_t mode); int RSA_key_get_service_indicator(RSA * ptr_rsa); int PBKDF_get_service_indicator(); int EVP_Digest_get_service_indicator(EVP_MD_CTX *ctx); int EC_key_get_service_indicator(EC_KEY *ec_key); int CMAC_get_service_indicator(CMAC_CTX *cmac_ctx, CMAC_MODE_t mode); int HMAC_get_service_indicator(HMAC_CTX *ctx); int TLSKDF_get_service_indicator(EVP_PKEY_CTX *tls_ctx); int TLS1_3_kdf_get_service_indicator(EVP_MD *md); int TLS1_3_get_service_indicator(SSL *s); int DRBG_get_service_indicator(RAND_DRBG *drbg); Description These APIs are high-level interfaces that return the Approved security service indicator value based on the parameter(s) passed to them.

• EVP_cipher_get_service_indicator() is used to return the appropriate Approved security service indicator status for block ciphers like AES and Triple DES.
• DSA_get_service_indicator() is used to return the appropriate Approved security service indicator status for the DSA algorithm and its modes. You must include the mode you want the indicator for, which is to be specified in the DSA_MODES_t enum.
• RSA_key_get_service_indicator() is used to return the appropriate Approved security service indicator status for RSA algorithm and its modes.
• PBKDF_get_service_indicator() is used to return the appropriate Approved security service indicator status for PBKDF usage.
• EVP_Digest_get_service_indicator() is used to return the appropriate Approved security service indicator status for SHS algorithms like SHA-1 and SHAKE.
• EC_key_get_service_indicator() is used to return the appropriate Approved security service indicator status for elliptic curve algorithms like ECDSA and its modes. FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025

• CMAC_get_service_indicator() is used to return the appropriate Approved security service indicator status for CMAC requests that use AES or Triple DES. You must include the mode you want the indicator for, which is to be specified in the CMAC_MODE_t enum.
• HMAC_get_service_indicator() is used to return the appropriate Approved security service indicator status for HMAC requests and the associated SHS algorithm.
• TLSKDF_get_service_indicator() is used to return the appropriate Approved security service indicator status for TLS KDF usage excluding TLS 1.3.
• TLS1_3_kdf_get_service_indicator() is used to return the appropriate Approved security service indicator status for TLS 1.3 KDF usage. This function requires the ssl.h file and is used to call the TLS1_3_get_service_indicator() function because of the SSL struct requirement. You cannot call TLS1_3_get_service_indicator() directly unless you have the SSL struct that was used.
• DRBG_get_service_indicator() is used to return the appropriate Approved security service indicator status for DRBG usage. Return Values Each function returns “1” when indicating the usage of approved services and “0” for non-approved security services. Notes When calling a I<get> function, always call it after the variables have been finalized but before they are freed or destroyed. Examples The code sample below provides examples of how to check the Approved security service indicators for TripleDES (3-key, in ECB mode) encryption and decryption: int 3des_indicator_test() { static EVP_CIPHER *cipher = NULL; static EVP_CIPHER_CTX *ctx; int outLen; unsigned char pltmp[8]; unsigned char citmp[8]; unsigned char key[] = { 1,2,3,4,5,6,7,8,9,10,11,12,13,14,15,16,17,18, 19,20,21,22,23,24}; unsigned char plaintext[] = { 'e', 't', 'a', 'o', 'n', 'r', 'i', 's' }; cipher = EVP_des_ede3_ecb(); //Encrypt ctx = EVP_CIPHER_CTX_new(); EVP_EncryptInit_ex(ctx, cipher, NULL, key, NULL); EVP_CIPHER_CTX_set_key_length(ctx, 24); EVP_EncryptUpdate(ctx, citmp, &outLen, plaintext, 8); // Check the indicator FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

July 7, 2025 int NID = EVP_CIPHER_CTX_nid(ctx); fprintf(stdout,"EVP_des_ede3_ecb (NID %i) encrypt indicator = %i\n", NID, EVP_cipher_get_service_indicator(ctx)); EVP_CIPHER_CTX_cleanup(ctx); //Decrypt ctx = EVP_CIPHER_CTX_new(); EVP_DecryptInit_ex(ctx, cipher, NULL, key, NULL); EVP_CIPHER_CTX_set_key_length(ctx, 24); EVP_DecryptUpdate(ctx, pltmp, &outLen, citmp, 8); // Check the indicator fprintf(stdout,"EVP_des_ede3_ecb (NID %i) decrypt indicator = %i\n", NID, EVP_cipher_get_service_indicator(ctx)); EVP_CIPHER_CTX_cleanup(ctx); EVP_CIPHER_CTX_free(ctx); } FCAT Wallet Vault Cryptographic Module 1.0 ©2025 Fidelity Center for Applied Technology LLC

Prepared by: Corsec Security, Inc.

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

Referenced URLs

• www.fcatwallet.com
• www.corsec.com
• https://csrc.nist.gov/Projects/cryptographic-module-validation-