nShield 5s modes of operation

This chapter describes the use of nShield 5s modes of operation:

Modes of operation
Check and change the mode of operation
Return to factory state
Recovery mode

Modes of operation

The status of the nShield 5s HSM can only be one of the following:

Status	Description
Starting up	The nShield 5s HSM is booting up and performing self tests. After all tests complete successfully, the HSM enters Operational mode.
Operational mode	The nShield 5s HSM is working and ready to perform cryptographic operations. An initialized HSM enters Operation mode automatically after it is powered up and all pre-tests are successfully completed. To enter Operational mode manually, see Check and change the mode of operation.
Emulated maintenance mode	The nShield 5s HSM is ready to receive maintenance commands, or is processing a maintenance command. The HSM remains in Emulated maintenance mode until you change mode manually, see Check and change the mode of operation.
Pre-initialization mode	The nShield 5s HSM is ready to receive initialization commands. For example, initialization commands to set the root-of-trust key (KNSO), to create a Security World, or load an existing Security World. To enter Pre-initialization mode, see Check and change the mode of operation.
Initialization mode	The nShield 5s HSM is processing an initialization command. After the command completes, the HSM will return to Pre-initialization mode.
Uninitialized mode	The nShield 5s HSM was booted with no root-of-trust key (KNSO) set. This typically happens after leaving a factory state, see Return to factory state. To resolve this, switch to Pre-initialization mode, set the KNSO and reboot the HSM.
Error	The nShield 5s HSM is in an error state, see HSM status and error codes. No cryptographic operations can be performed until this error has been cleared.
Recovery mode	The nShield 5s HSM is running on the recovery image instead on the primary image. See Recovery mode.
Factory state	The nShield 5s HSM is in a factory state. See Return to factory state.

Status

Description

Starting up

The nShield 5s HSM is booting up and performing self tests. After all tests complete successfully, the HSM enters Operational mode.

Operational mode

The nShield 5s HSM is working and ready to perform cryptographic operations. An initialized HSM enters Operation mode automatically after it is powered up and all pre-tests are successfully completed. To enter Operational mode manually, see Check and change the mode of operation.

Emulated maintenance mode

The nShield 5s HSM is ready to receive maintenance commands, or is processing a maintenance command. The HSM remains in Emulated maintenance mode until you change mode manually, see Check and change the mode of operation.

Pre-initialization mode

The nShield 5s HSM is ready to receive initialization commands. For example, initialization commands to set the root-of-trust key (KNSO), to create a Security World, or load an existing Security World. To enter Pre-initialization mode, see Check and change the mode of operation.

Initialization mode

The nShield 5s HSM is processing an initialization command. After the command completes, the HSM will return to Pre-initialization mode.

Uninitialized mode

The nShield 5s HSM was booted with no root-of-trust key (KNSO) set. This typically happens after leaving a factory state, see Return to factory state. To resolve this, switch to Pre-initialization mode, set the KNSO and reboot the HSM.

Error

The nShield 5s HSM is in an error state, see HSM status and error codes. No cryptographic operations can be performed until this error has been cleared.

Recovery mode

The nShield 5s HSM is running on the recovery image instead on the primary image. See Recovery mode.

Factory state

The nShield 5s HSM is in a factory state. See Return to factory state.

Check and change the mode of operation

You must change the mode on the nShield 5s HSM to perform certain maintenance and configuration tasks. The nShield 5s HSM does not have a physical mode switch. Switch between modes using the nopclearfail utility.

Use the following commands to change the mode of an nShield 5s HSM:

Command Resulting mode

Command	Resulting mode
`nopclearfail --maintenance \|-M`	Emulated maintenance mode
`nopclearfail --operational \| -O`	Operational
`nopclearfail --initialization \| -I`	Pre-initialization

nopclearfail --maintenance |-M

Emulated maintenance mode

nopclearfail --operational | -O

Operational

nopclearfail --initialization | -I

Pre-initialization

Run the nopclearfail command specifying the module number and the new mode.

When finished, the system responds with OK. This message is not confirmation that the module has changed mode.
```
nopclearfail --maintenance --module 1
Module 1, command ClearUnitEx: OK
```

Confirm the new mode of the module by running the enquiry command.

The mode line of the Module section displays the current mode.

enquiry -m1
Module #1:
enquiry reply flags  none
enquiry reply level  Five
serial number        XXXX-XXXX-XXXX
mode                 Emulated maintenance mode. hsmadmin may be used to perform module management whilst in this mode.
module type code     14
product name         NC5536E/NC5536N
device name          #1 Secure Shell nshield-XXXX-XXXX-XXXX.local
hardware status      OK

Return to factory state

nShield 5s HSMs that are delivered from the factory contain no data relating to the ncoreapi service. A small amount of 'lifetime' data, which is used by the platform services, is pre-installed. This data is for personalisation and identification of the individual HSM, such as its ESN.

You can perform a reset operation that returns the data stored in an HSM to the state it was in when it left the factory. This erases user credentials and information, leaving only the 'lifetime' data.

When an HSM is in this state it will not support any user commands other than hsmadmin enroll and it will be necessary to follow the process described in Installation of SSH keys before any further actions can be taken.

Returning to factory state will erase any optional features that were not installed at the factory. See, Enabling optional features.

Returning to factory state will change the key used to sign system logs. You should make a record of the new log verification key as soon as possible after returning an HSM to factory state. See Verifying Signed Logs for more information. Signed system logs are only available from firmware version 13.5 onwards so this is not necessary for HSMs running older firmware.

Purpose of factory state

The main reason for returning an nShield 5s HSM to factory state is to securely erase all user secrets. This is important when, for example:

The HSM is being taken out of service.
The HSM is being moved from one domain to another, where it is important to ensure that there is no possibility of secrets being leaked between domains.
The HSM is being returned to Entrust for servicing or warranty.
You have lost the SSH keys used to communicate with the HSM, see Recovery from loss of SSH keys

Recovery from loss of SSH keys

Returning a unit to factory state will be necessary if you have lost possession of the SSH keys used to communicate with the HSM and you have not previously made a backup of those keys with hsmadmin keys backup (or hsmadmin keys backup --passphrase if the HSM is being re-installed in a different machine). If this happens, returning the HSM to factory state will allow hsmadmin enroll to successfully create new keys and re-establish communication with the HSM.

Enter and exit the factory state

The nShield 5s HSM can be returned to factory state in one of two ways. Either by use of hsmadmin factorystate or by placing the HSM in Recovery mode.

If the SSH keys used to communicate with the HSM have been lost, only the Recovery mode option is possible. Both of the above methods include a reboot of the HSM.

The command hsmadmin factorystate is prohibited if the system logs have exceeded a maximum size, see maximum log size or if the system clock is invalid, see System interaction with the system clock. In these situations you can only return to factory state by placing the HSM in Recovery mode.

The HSM is taken out of factory state by use of hsmadmin enroll.

Recovery mode

nShield 5s HSMs are loaded with two different firmware images:

The Primary image.
The Recovery image.

During normal operation, the HSM is running firmware that is loaded from the Primary image.

If required, the HSM can be forced into recovery mode to run firmware loaded from the Recovery image. Entry into recovery mode performs the same actions as hsmadmin factorystate

Recovery mode is useful in the following cases:

To return the HSM to a known good state for disaster recovery.
To retrieve the init log if the HSM fails to boot into primary mode, see Retrieving the init log
To clear the system log if the HSM is prohibiting actions because it has exceeded the maximum log size, see Maximum log size
To restore communication with the HSM if the SSH keys have been lost and no backup is available, see Set up communication between host and module.

Restrictions in recovery mode

The main purpose of recovery mode is to allow essential maintenance activities that are not possible in when the nShield 5s is running the primary image firmware.

The ncoreapi and launcher services don’t run when the nShield 5s is in recovery mode. Only the platform services are available, meaning that only the commands described in Administration of platform services are available.

If you run hsmadmin enroll in recovery mode, a warning will appear. This is because the certificates for the SSH keys described in Set up communication between host and module are not created in recovery mode. You can ignore this warning.

Commands that use ncoreapi or launcher service do not run and may show error messages.

Entry into recovery mode

Boot the nShield 5s HSM into recovery mode by holding down the recovery mode button on the back panel of the HSM and then rebooting the HSM. You must continue holding down the button for 60 seconds after initiating the reboot. The button is non-latching.

You must hold down the recovery mode button while the HSM is rebooting. If you reboot the HSM and then press and hold down the button, you will miss the part of the reboot process in which you can change the mode of the HSM.

See the appropriate Installation Guide for your nShield HSM for the location of the recovery mode button. You can trigger a reboot with hsmadmin reset or by power cycling the host machine containing the HSM.

If you cannot reach the recovery mode button and enter the reboot command simultaneously, you might need to connect a keyboard, mouse, and monitor to the back of the server hosting the HSM. If this is not possible, you need a second person to pass the command to the HSM while you hold down the button, or to hold down the button while you pass the command.

Entering and exiting recovery mode return the HSM to factory state. You must run hsmadmin enroll after the boot has completed before any further actions can be performed.

Run hsmadmin status to verify that the HSM is in recovery mode. If you are still in primary mode, try the process again, making sure that the recovery mode button is pressed down before or as soon as the reboot command is passed, and that it is held for the allotted time.

Exit from recovery mode

Exit recovery mode by booting the nShield 5s HSM without the recovery mode button held down. If the firmware is changed whilst in recovery mode using hsmadmin upgrade, the unit automatically reboots.

When the unit next boots into primary mode it will be in factory state. You must run hsmadmin enroll again before any further actions can be performed.

If you exited recovery mode using hsmadmin reset, or as part of a firmware upgrade, you must restart the hardserver/nFast server after running hsmadmin enroll.

Run hsmadmin status to verify that the HSM is in the correct mode.