FIPS 140-3

Overview

Federal Information Processing Standard (FIPS) 140-3 specifies security requirements for cryptographic modules used by federal agencies and their contractors. Compliance with FIPS 140-3 is mandatory for systems that process sensitive but unclassified (SBU) information or Controlled Unclassified Information (CUI). Nabla’s FIPS assessment evaluates whether your infrastructure uses FIPS-validated cryptographic implementations and follows cryptographic best practices across encryption at rest, encryption in transit, and key management.

Framework Details

Framework: FIPS 140-3
Standard Type: Cryptographic module validation
Validation Authority: NIST Cryptographic Module Validation Program (CMVP)
Output Format: OSCAL Assessment Results (JSON)
Primary Use Case: Federal systems, FISMA compliance, CUI protection

Key Concepts

FIPS 140-3 Security Levels

Level	Description	Use Case
Level 1	Basic security requirements	Software encryption, low-risk environments
Level 2	Tamper-evidence, role-based authentication	Most federal systems, cloud HSMs
Level 3	Tamper-resistant, identity-based authentication	High-security applications
Level 4	Tamper-detection with active response	Top Secret environments, nuclear systems

Note: Most cloud provider KMS services (AWS KMS, Azure Key Vault, GCP Cloud KMS) are validated at FIPS 140-2 Level 2 or FIPS 140-3 Level 1-2. Check the CMVP validation list for specific certificates.

FIPS Mode vs. FIPS Validation

Aspect	FIPS Mode	FIPS Validation
Definition	Operating system/library configuration	CMVP-tested cryptographic module
Evidence	OS settings, library version	CMVP certificate number
Compliance	Necessary but insufficient	Required for full compliance
Example	OpenSSL FIPS mode enabled	AWS KMS (FIPS 140-2 Cert #3139)

Critical Distinction: Using a FIPS-validated library in non-FIPS mode does NOT constitute compliance. Both validation AND proper configuration are required.

Assessed Cryptographic Controls

Nabla’s FIPS assessor maps evidence to FedRAMP cryptographic controls from NIST 800-53 Rev 5:

SC-13: Cryptographic Protection

Requirement: Implement FIPS-validated cryptography to protect information Assessment Criteria:

System metadata indicates FIPS mode enabled (fips_mode_enabled: true)
SBOM identifies FIPS-validated cryptographic libraries
CMVP certificate numbers are documented
No weak cryptographic algorithms detected (MD5, SHA-1, DES, 3DES, RC4)

Evidence Sources:

// System Metadata
fips_mode_enabled: true
openssl_fips_status: "OpenSSL 3.0.8-fips"

// SBOM Evidence
cryptographic_libraries: ["openssl", "libgcrypt"]
fips_validated: true
fips_certificate_number: "4282"

// Configuration Posture
weak_crypto_detected: false
encryption_algorithm: "AES-256-GCM"

Example Finding:

{
  "control": "SC-13",
  "status": "not-satisfied",
  "findings": [
    "Non-FIPS-validated library in use: BoringSSL v1.1.1",
    "Weak cryptography detected in nginx.conf: TLSv1.0, SSLv3"
  ],
  "evidence": [
    "FIPS mode enabled on system: ip-10-0-1-42",
    "FIPS-validated library: OpenSSL v3.0.8 (CMVP Certificate #4282)"
  ]
}

SC-12: Cryptographic Key Establishment and Management

Requirement: Establish and manage cryptographic keys for employed cryptography Assessment Criteria:

Key Management Service (KMS) resources detected
Customer Master Keys (CMK) properly configured
Key rotation enabled
Key metadata includes spec, usage, origin
Key size meets minimums (e2048 bits for RSA, e256 bits for AES)

Evidence Sources:

// Asset Inventory
asset_type: "key_vault"
properties: {
  customer_master_key_spec: "RSA_4096",
  key_usage: "ENCRYPT_DECRYPT",
  key_id: "arn:aws:kms:us-east-1:123456789012:key/abc-123",
  origin: "AWS_KMS",
  enable_key_rotation: true
}

// Configuration Posture
cryptographic_material_type: "symmetric_key"
key_size: 4096

Example Finding:

{
  "control": "SC-12",
  "status": "not-satisfied",
  "findings": [
    "Key management system: vault-prod (incomplete metadata - missing key policy or configuration details) [provider=hashicorp]",
    "Weak key size detected in tls.conf: 1024 bits"
  ],
  "evidence": [
    "Key management system: aws-kms-primary (RSA_4096), spec=RSA_4096, usage=ENCRYPT_DECRYPT, keyId=abc-123, origin=AWS_KMS, rotation=enabled [provider=aws]"
  ]
}

SC-17: Public Key Infrastructure Certificates

Requirement: Issue public key certificates under an approved certificate policy Assessment Criteria:

Valid X.509 certificates detected on assets
Certificate signature algorithms meet standards (SHA-256+)
Certificate key sizes e2048 bits
No expired or self-signed certificates (in production)

Evidence Sources:

// Certificate Info
certificate_info: {
  subject: "CN=api.example.com",
  issuer: "CN=DigiCert TLS RSA SHA256 2020 CA1",
  signature_algorithm: "SHA256-RSA",
  key_size: 2048,
  valid_from: "2024-01-01T00:00:00Z",
  valid_to: "2025-01-01T00:00:00Z"
}

Example Finding:

{
  "control": "SC-17",
  "status": "not-satisfied",
  "findings": [
    "Weak signature algorithm in certificate: SHA1-RSA (load-balancer-prod)",
    "Weak certificate key size: 1024 bits (legacy-api)"
  ],
  "evidence": [
    "Certificate found on api-gateway-prod: subject=CN=api.example.com, issuer=CN=DigiCert",
    "Certificate signature algorithm: SHA256-RSA"
  ]
}

SC-28: Protection of Information at Rest

Requirement: Protect confidentiality and integrity of information at rest Assessment Criteria:

Storage and database assets have encryption_at_rest: true
KMS key ID is documented for encrypted resources
Encryption algorithm specified (AES-256-GCM preferred)

Evidence Sources:

// Asset Inventory
asset_type: "database"
encryption_at_rest: true
kms_key_id: "arn:aws:kms:us-east-1:123456789012:key/xyz-789"
properties: {
  encryption_algorithm: "AES-256-GCM"
}

Example Finding:

{
  "control": "SC-28",
  "status": "satisfied",
  "evidence": [
    "Encryption at rest enabled: s3-data-lake (storage), KMS key: xyz-789, algorithm: AES-256-GCM",
    "Encryption at rest enabled: postgres-primary (database), KMS key: xyz-789"
  ]
}

SC-8: Transmission Confidentiality and Integrity

Requirement: Protect confidentiality and integrity of transmitted information Assessment Criteria:

Assets have encryption_in_transit: true
TLS version e1.2 (prefer TLS 1.3)
Modern cipher suites configured
No SSLv2, SSLv3, TLSv1.0, TLSv1.1

Evidence Sources:

// Asset Inventory
encryption_in_transit: true
tls_version: "TLSv1.3"

// Configuration Posture
cipher_suite: "ECDHE-RSA-AES256-GCM-SHA384"

Example Finding:

{
  "control": "SC-8",
  "status": "not-satisfied",
  "findings": [
    "Weak TLS version in use: TLSv1.0 (load-balancer-legacy)"
  ],
  "evidence": [
    "Encryption in transit enabled: api-gateway",
    "TLS version: TLSv1.3 (load-balancer-prod)",
    "Cipher suite configured: ECDHE-RSA-AES256-GCM-SHA384 (nginx.conf)"
  ]
}

Multi-Cloud FIPS Validation

Cloud Provider FIPS Status: Major cloud providers maintain CMVP-validated cryptographic modules, but validation status varies by service and region.Current Coverage (Expanding):

AWS: KMS, CloudHSM, S3, RDS, EBS (see AWS FIPS endpoints)
Azure: Key Vault, Storage, SQL Database (see Azure FIPS 140 validation)
Google Cloud: Cloud KMS, Cloud HSM (see GCP FIPS 140-2 compliance)

Important: Always verify current validation status on the NIST CMVP website. Validations can expire or be updated.

CMVP Certificate Tracking

Nabla automatically extracts CMVP certificate numbers from SBOM metadata:

{
  "observation": {
    "description": "FIPS-validated library: OpenSSL v3.0.8 (CMVP Certificate #4282)",
    "props": [
      {
        "name": "cmvp-cert-number",
        "value": "4282",
        "ns": "https://www.usenabla.com/ns/oscal"
      }
    ]
  }
}

Validation Lookup: https://csrc.nist.gov/projects/cryptographic-module-validation-program/certificate/4282

Evidence Lake Integration

The FIPS assessor consumes evidence from Nabla’s multi-source evidence lake:

Evidence Sources

1. System Metadata (system_metadata)

fips_mode_enabled: Boolean indicating OS-level FIPS mode
openssl_fips_status: OpenSSL FIPS configuration string
hostname: System identifier for evidence attribution

2. Software Bill of Materials (sboms)

component_name, component_version: Software identity
cryptographic_libraries: Array of crypto libs (e.g., ["openssl", "libgcrypt"])
fips_validated: Boolean attestation
fips_certificate_number: CMVP cert number (e.g., "4282")

3. Configuration Posture (configs_posture)

weak_crypto_detected: Boolean flag for legacy algorithms
encryption_algorithm: Configured algorithm (e.g., "AES-256-GCM")
cipher_suite: TLS cipher suite
key_size: Cryptographic key size in bits
cryptographic_material_type: Type of crypto material (private_key, symmetric_key, certificate)

4. Asset Inventory (asset_inventory)

asset_type: Infrastructure type (storage, database, key_vault)
encryption_at_rest, encryption_in_transit: Boolean flags
kms_key_id: KMS key ARN/ID
tls_version: TLS protocol version
certificate_info: X.509 certificate metadata
provider: Cloud provider (aws, azure, gcp)

OSCAL Output Structure

FIPS assessment results include detailed subject tracking and observation linking:

{
  "assessment-results": {
    "results": [{
      "uuid": "result-uuid",
      "title": "FedRAMP FIPS Cryptographic Assessment",
      "local-definitions": {
        "components": [
          {
            "uuid": "component-uuid",
            "type": "software",
            "title": "OpenSSL Cryptographic Library",
            "description": "FIPS-validated library: OpenSSL v3.0.8 (CMVP Certificate #4282)",
            "props": [
              { "name": "asset-type", "value": "cryptographic-module" }
            ]
          }
        ],
        "inventory-items": [
          {
            "uuid": "inventory-uuid",
            "description": "Asset: data-lake",
            "props": [
              { "name": "asset-type", "value": "infrastructure" }
            ]
          }
        ]
      },
      "observations": [
        {
          "uuid": "obs-uuid",
          "title": "SC-13 Evidence",
          "description": "FIPS-validated library: OpenSSL v3.0.8 (CMVP Certificate #4282)",
          "methods": ["TEST", "AUTOMATED"],
          "subjects": [
            { "subject-id": "component-uuid", "type": "component" }
          ],
          "props": [
            { "name": "control-id", "value": "SC-13" },
            { "name": "status", "value": "satisfied" },
            { "name": "cmvp-cert-number", "value": "4282" },
            { "name": "assessment-type", "value": "fips-cryptographic" }
          ]
        }
      ],
      "findings": [
        {
          "uuid": "finding-uuid",
          "title": "SC-13 Finding",
          "description": "Weak cryptography detected in nginx.conf: TLSv1.0, SSLv3",
          "target": { "target-id": "SC-13", "type": "control" },
          "related-observations": [
            { "observation-uuid": "obs-uuid" }
          ]
        }
      ]
    }]
  }
}

Example Assessment Request

    curl --request POST \
    --url https://api.usenabla.com/v1/fips \
    --header 'Content-Type: application/json' \
    --header 'X-Customer-Key: <x-customer-key>' \
    --data '{
    "name": "<string>",
    "format": "oscal",
    "zip_content": "<string>"
    }'

Common FIPS Compliance Issues

Critical Violations

Non-FIPS Cryptographic Libraries

Finding: "Non-FIPS-validated library in use: BoringSSL v1.1.1"
Impact: Federal systems cannot use non-validated crypto
Remediation: Replace with OpenSSL FIPS module or AWS-LC-FIPS

Weak Cryptographic Algorithms

Finding: "Weak cryptography detected: MD5, SHA-1, DES"
Impact: Prohibited algorithms under FIPS 140-3
Remediation: Migrate to SHA-256+, AES-256, or approved algorithms

FIPS Mode Not Enabled

Finding: "FIPS mode NOT enabled on system: production-app-01"
Impact: Validated library used incorrectly (non-compliant)
Remediation: Enable FIPS mode in kernel/OS configuration

Warnings

Missing CMVP Certificate

Finding: "OpenSSL present; FIPS validation/mode not attested (v3.0.8 build string)"
Impact: Cannot verify CMVP validation
Remediation: Document CMVP certificate number in SBOM metadata

Incomplete KMS Metadata

Finding: "Key management system: vault-prod (incomplete metadata - missing key policy)"
Impact: Cannot assess key management compliance
Remediation: Provide key spec, usage, rotation settings

FIPS-Approved Algorithms (FIPS 140-3)

Encryption

Algorithm	Key Size	Status	Use Case
AES	128, 192, 256 bits	Approved	Symmetric encryption
Triple-DES	168 bits (112 effective)	Legacy (disallowed after 2023)	Migration only
RSA	e2048 bits	Approved	Asymmetric encryption
ECC	e256 bits (P-256, P-384, P-521)	Approved	Asymmetric encryption

Hashing

Algorithm	Output Size	Status	Use Case
SHA-2	224, 256, 384, 512 bits	Approved	Digital signatures, HMAC
SHA-3	224, 256, 384, 512 bits	Approved	Next-gen hashing
SHA-1	160 bits	Disallowed	Legacy only (signatures prohibited)
MD5	128 bits	Disallowed	Non-cryptographic use only

Key Agreement

Protocol	Status	Use Case
ECDH (P-256, P-384, P-521)	Approved	Elliptic curve key exchange
DH (e2048 bits)	Approved	Diffie-Hellman key exchange

Federal Compliance Context

FISMA Requirements

FIPS 140-3 Mandate: FISMA (Federal Information Security Management Act) requires all federal information systems to use FIPS-validated cryptography. OMB Circular A-130: Federal agencies must implement FIPS 140-3 validated cryptographic modules for:

Confidentiality protection
Integrity verification
Authentication
Nonrepudiation

NIST Guidelines

NIST SP 800-52 Rev 2: TLS implementation guidance
NIST SP 800-57: Key management recommendations
NIST SP 800-175B: Algorithm security lifetimes

Limitations

FIPS Assessment Limitations:

IaC Scope: Only evaluates infrastructure declared in code/evidence lake
CMVP Trust: Relies on SBOM attestations; does not independently verify CMVP certificates
Runtime Validation: Cannot verify FIPS mode is enabled at runtime (only config)
Application Crypto: Cannot assess application-level cryptographic implementations
Hardware Modules: Physical HSMs (FIPS 140-3 Level 3/4) require on-site validation

Best Practices

Use Cloud Provider KMS: AWS KMS, Azure Key Vault, GCP Cloud KMS are FIPS-validated
Enable FIPS Mode: Configure OS and libraries for FIPS operation
Document CMVP Certificates: Include certificate numbers in SBOM metadata
Rotate Keys: Enable automatic key rotation (annually minimum)
Audit Cryptographic Inventory: Maintain up-to-date SBOM with crypto libraries

Migration Note: FIPS 140-2 validations remain acceptable until September 2026. After this date, only FIPS 140-3 validated modules will be compliant.

NIST 800-53 - Security controls including SC-13, SC-12, SC-8
NIST 800-171 - Requirement 3.13.11 (FIPS-validated cryptography)
NIST 800-172 - Enhanced cryptographic requirements
FedRAMP - Cryptographic requirements for cloud services

API documentation

Control Mapping Schemas

Evidence

Firmware

FIPS

Overview

Framework Details

Key Concepts

FIPS 140-3 Security Levels

FIPS Mode vs. FIPS Validation

Assessed Cryptographic Controls

SC-13: Cryptographic Protection

SC-12: Cryptographic Key Establishment and Management

SC-17: Public Key Infrastructure Certificates

SC-28: Protection of Information at Rest

SC-8: Transmission Confidentiality and Integrity

Multi-Cloud FIPS Validation

CMVP Certificate Tracking

Evidence Lake Integration

Evidence Sources

OSCAL Output Structure

Example Assessment Request

Common FIPS Compliance Issues

Critical Violations

Warnings

FIPS-Approved Algorithms (FIPS 140-3)

Encryption

Hashing

Key Agreement

Federal Compliance Context

FISMA Requirements

NIST Guidelines

Limitations

Best Practices

References

API documentation

Control Mapping Schemas

Evidence

Firmware

FIPS

​Overview

​Framework Details

​Key Concepts

​FIPS 140-3 Security Levels

​FIPS Mode vs. FIPS Validation

​Assessed Cryptographic Controls

​SC-13: Cryptographic Protection

​SC-12: Cryptographic Key Establishment and Management

​SC-17: Public Key Infrastructure Certificates

​SC-28: Protection of Information at Rest

​SC-8: Transmission Confidentiality and Integrity

​Multi-Cloud FIPS Validation

​CMVP Certificate Tracking

​Evidence Lake Integration

​Evidence Sources

​OSCAL Output Structure

​Example Assessment Request

​Common FIPS Compliance Issues

​Critical Violations

​Warnings

​FIPS-Approved Algorithms (FIPS 140-3)

​Encryption

​Hashing

​Key Agreement

​Federal Compliance Context

​FISMA Requirements

​NIST Guidelines

​Limitations

​Best Practices

​Related Frameworks

​References

Overview

Framework Details

Key Concepts

FIPS 140-3 Security Levels

FIPS Mode vs. FIPS Validation

Assessed Cryptographic Controls

SC-13: Cryptographic Protection

SC-12: Cryptographic Key Establishment and Management

SC-17: Public Key Infrastructure Certificates

SC-28: Protection of Information at Rest

SC-8: Transmission Confidentiality and Integrity

Multi-Cloud FIPS Validation

CMVP Certificate Tracking

Evidence Lake Integration

Evidence Sources

OSCAL Output Structure

Example Assessment Request

Common FIPS Compliance Issues

Critical Violations

Warnings

FIPS-Approved Algorithms (FIPS 140-3)

Encryption

Hashing

Key Agreement

Federal Compliance Context

FISMA Requirements

NIST Guidelines

Limitations

Best Practices

Related Frameworks

References