FIPSFSM

This is a draft document.

Finite State Model

The NSS cryptographic module is a shared library/DLL loaded by an application program on a host computer. When a program calls the FC_Initialize function of the NSS cryptographic module library, the state changes and power-up self-tests are performed. See Self Tests for a description of the power-up self-tests. If the self-tests succeed, the library is considered initialized and the module enters the normal operational state. Refer to the tables below when studying this state transition diagram.

Recovery from error states: If the module ever enters the Error state, the NSS cryptographic module library needs to be shut down (transition 3.0) and reinitialized (transition 1.1).

Inclusive statement: The action of the finite state model as a result of all other combinations of data and control inputs is defined as follows.

• If the data and control inputs are valid and the module performs the service successfully, the module outputs the requested data or status information and returns CKR_OK.
• If the data and control inputs are invalid or the module encounters an error (e.g., running out of memory) when performing a service, the module does not output any data and simply returns an appropriate error code (e.g., CKR_HOST_MEMORY, CKR_TOKEN_WRITE_PROTECTED, CKR_TEMPLATE_INCOMPLETE, or CKR_ATTRIBUTE_VALUE_INVALID).

The module stays in the current state.

States

State Label	State Mnemonic	State Description	Distinct Indicator
1.X	Power Off	Host computer is powered off. The initial state.	Host computer's power light is off.
1.Y	Power On	Host computer is up and running. This is a composite state with concurrent component state machines (separated by the dotted line) for the FIPS Approved mode and non-FIPS Approved mode.	Host computer's power light is on.
1.A	Inactive	The FIPS Approved mode of the NSS cryptographic module is inactive.	Only FC_GetFunctionList and FC_Initialize may be called.
1.B	Power Up Self Test	NSS cryptographic module library initialization for the FIPS Approved mode has been initiated. This state performs library initialization, software integrity test, and power-up self-tests.	The FC_Initialize call is executing.
1.C	Public Services	NSS cryptographic module library has been initialized for the FIPS Approved mode and its self-tests have passed. Services that do not require logging in to the module are available.	Public services can be invoked. Private services fail with the error code CKR_USER_NOT_LOGGED_IN.
2.A	NSS User Services	Operator has successfully logged in to assume the NSS User role and has access to all the services provided by the FIPS Approved mode of the NSS cryptographic module.	All services can be invoked.
2.B	On Demand Self Test	Operator requested self-tests are being run.	The FC_Login call is executing.
3	Error	The FIPS Approved mode of the NSS cryptographic module either has failed a conditional test while performing a service or has failed a power-up or operator-initiated self-test. No further cryptographic operations will be performed.	Only FC_Finalize, FC_InitToken, FC_CloseSession, FC_CloseAllSessions, FC_WaitForSlotEvent, and the "get info" functions (FC_GetFunctionList, FC_GetInfo, FC_GetSlotList, FC_GetSlotInfo, and FC_GetTokenInfo) can be invoked. FC_Initialize fails with the error code CKR_CRYPTOKI_ALREADY_INITIALIZED. All other functions fail with the error code CKR_DEVICE_ERROR.
5.A	Inactive	The non-FIPS Approved mode of the NSS cryptographic module is inactive.	Only NSC_GetFunctionList and NSC_Initialize may be called.
5.B	Activated	The non-FIPS Approved mode of the NSS cryptographic module has been activated. This is a composite state whose substates are not relevant to FIPS 140-2.	All NSC_xxx functions may be called.

Transitions

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Trans #	Current State	Next State	Input Event	Output Event
1.0	Power Off	Power On	Host computer is powered up	None
1.1	(FIPS Approved mode) Inactive	Power Up Self Test	FC_Initialize called	Power-up self-tests initiated
1.2	Power Up Self Test	Public Services	Successful library initialization, software integrity test, and power-up self-tests	FC_Initialize sets the internal Boolean state variable fatalError to false and returns CKR_OK
1.3	Power Up Self Test	Error	Software integrity test or power-up self-test failure	FC_Initialize sets the internal Boolean state variable fatalError to true and returns CKR_DEVICE_ERROR
1.4	Public Services	Error	Conditional self-test (continuous random number generator test) failed while performing a service (random number generation)	The function (FC_SeedRandom or FC_GenerateRandom) sets the internal Boolean state variable fatalError to true and returns CKR_DEVICE_ERROR
1.5	Public Services	NSS User Services	User login succeeded	FC_Login sets the internal Boolean state variable isLoggedIn to true and returns CKR_OK
1.6	Public Services	Public Services	User login failed	FC_Login returns a nonzero error code (e.g., CKR_PIN_INCORRECT)
1.7	Public Services	(FIPS Approved mode) Inactive	FC_Finalize called	FC_Finalize returns CKR_OK
2.1	NSS User Services	Public Services	User logout requested	FC_Logout sets the internal Boolean state variable isLoggedIn to false and returns CKR_OK
2.2	NSS User Services	On Demand Self Test	On-demand self-test requested with a FC_Login call	Self-tests initiated
2.3	On Demand Self Test	NSS User Services	On-demand self-test passed	FC_Login returns CKR_USER_ALREADY_LOGGED_IN
2.4	On Demand Self Test	Error	On-demand self-test failed	FC_Login sets the internal Boolean state variable fatalError to true and returns CKR_DEVICE_ERROR
2.5	NSS User Services	(FIPS Approved mode) Inactive	FC_Finalize called	FC_Finalize returns CKR_OK
2.6	NSS User Services	Error	Conditional self-test (continuous random number generator test or pair-wise consistency test) failed while performing a service (random number generation or key pair generation)	The function (FC_SeedRandom, FC_GenerateRandom, or FC_GenerateKeyPair) sets the internal Boolean state variable fatalError to true and returns CKR_DEVICE_ERROR or CKR_GENERAL_ERROR
3.0	Error	(FIPS Approved mode) Inactive	FC_Finalize called	FC_Finalize returns CKR_OK
4.0	Power On	Power Off	Host computer is powered off	None
5.1	(non-FIPS Approved mode) Inactive	(non-FIPS Approved mode) Activated	NSC_Initialize called	NSC_Initialize returns CKR_OK.
5.2	(non-FIPS Approved mode) Activated	(non-FIPS Approved mode) Inactive	NSC_Finalize called	NSC_Finalize returns CKR_OK