Backup/Restore Using Client-Connected Luna Backup HSM 7 v2

You can connect the Luna Backup HSM 7 to a USB port on the Luna HSM Client workstation. This configuration allows you to perform backup/restore operations for all application partitions that appear as visible slots in LunaCM. It is useful in deployments where the Crypto Officer wants to keep backups at the client. You can restore a backup to the original source partition or to another Luna application partition that shares the same cloning domain.

This section provides instructions for the following procedures using this kind of deployment:

>Initializing the Luna Backup HSM 7

>Configuring the Luna Backup HSM 7 for FIPS Compliance

Procedures for multifactor quorum-authenticated partitions:

>Backing Up a Multifactor Quorum-Authenticated Partition

>Restoring To a Multifactor Quorum-Authenticated Partition

Procedures for password-authenticated partitions:

>Backing Up a Password-Authenticated Partition

>Restoring to a Password-Authenticated Partition

Initializing the Luna Backup HSM 7

You must initialize the backup HSM prior to first use. The procedure below includes the following tasks:

>Recover the HSM from Secure Transit Mode (STM). STM allows you to verify that the HSM was not tampered in transit. All new HSMs are shipped from the factory in Secure Transport Mode.

>Set the Backup HSM authentication mode, which must match the application partitions being backed up.

>Create the HSM SO role on the HSM (see HSM Roles). This role is required to create or modify a backup partition, and must be logged in to perform a backup.

>Set the security domain of the HSM.

Prerequisites

If you are initializing the Luna Backup HSM 7 to back up multifactor quorum-authenticated partitions, you will need the following PED keys:

>N number of blue (HSM SO) PED keys, as defined by the M of N scheme you choose for the HSM SO role, plus the number required to create duplicate PED keys as necessary.

>Blank or reused red (Domain) PED key(s)

To initialize the Luna Backup HSM 7

1.Connect your Luna Backup HSM 7 to a Luna HSM Client workstation:

a.Install the required client software on the Luna HSM Client workstation, including the Backup option. See Client Software Required to Perform Backup and Restore Operations for details.

NOTE   If you are installing Luna HSM Client on Windows, the driver may not be installed unless the Luna device is connected to the computer first; refer to Backup/USB/PCIe Drivers Not Installed on Windows 10 or Windows Server 2022 Unless Device is Connected.

b.Connect the backup HSM directly to the Luna HSM Client workstation using the included USB cable.

2.Launch LunaCM on the client workstation.

3. Select the slot assigned to the backup HSM Admin partition.

lunacm:> slot set -slot <slot_id>

4.If necessary, recover the HSM from Secure Transport Mode. See Secure Transport Mode for more information:

lunacm:> stm recover -randomuserstring <string>

NOTE   Recovering a Luna Backup HSM 7 from secure transport mode may take up to three minutes.

5.Initialize the selected backup HSM, specifying a label and the authentication mode (-iped or -ipwd).

lunacm:> hsm init {-iped | -ipwd} -label <label>

•[Multifactor Quorum authentication mode] You are prompted by the touchscreen for the blue HSM SO PED key(s) and red Domain PED key(s). Respond to the prompts and insert and set the PINs on the required keys when requested. Ensure that you label any new PED keys that you create during this process.

•[Password authentication mode] You are prompted by LunaCM for the new HSM SO password and the HSM domain string.

Configuring the Luna Backup HSM 7 for FIPS Compliance

Luna Backup HSM 7 Firmware 7.7.1 and newer uses the same updated cloning protocol as Luna HSM Firmware 7.7.0 and newer. For the Luna Backup HSM 7 to be FIPS-compliant, it must restrict restore operations to application partitions that use the new protocol. This restriction is applied by setting HSM policy 55: Enable Restricted Restore to 1 on the backup HSM. The Luna Backup HSM 7 must be initialized and connected to a Luna HSM Client computer to set this policy.

When this policy is enabled on the Luna Backup HSM 7, objects that have been backed up from partitions using firmware older than Luna HSM Firmware 7.7.0 can be restored to Luna HSM Firmware 7.7.0 or newer (V0 or V1) partitions only.

NOTE   HSM policy 12: Allow non-FIPS algorithms, which is used to set FIPS-compliant mode on other Luna HSMs, does not apply to the Luna Backup HSM 7. Attempts to change this policy will fail with the error CKR_CANCEL.

To configure the Luna Backup HSM 7 for FIPS compliance

1.On the Luna HSM Client computer, run LunaCM.

2.Set the active slot to the Luna Backup HSM 7.

lunacm:> slot set -slot <slot_id>

3.Log in as Backup HSM SO.

lunacm:> role login -name so

4.Set HSM policy 55: Enable Restricted Restore to 1.

lunacm:> hsm changehsmpolicy -policy 55 -value 1

5.[Optional] Check that the Luna Backup HSM 7 is now in FIPS approved operation mode.

lunacm:> hsm showinfo

*** The HSM is in FIPS 140-2 approved operation mode. ***

Backing Up a Multifactor Quorum-Authenticated Partition

Use the following procedure to back up a multifactor quorum-authenticated Luna partition to the Luna Backup HSM 7 v2.

Prerequisites

>You have the required credentials as listed in the summary above.

>The following polices are set (see HSM Capabilities and Policies and Partition Capabilities and Policies for more information):

•HSM policy 16: Enable network replication must be set to 1 (ON) on the Luna PCIe HSM 7.

•[Pre-7.7.0 and V0 partitions only] Partition policy 0: Allow private key cloning is set to 1 (ON) on the application partition.

•[Pre-7.7.0 and V0 partitions only] Partition policy 4: Allow secret key cloning is set to 1 (ON) on the application partition.

>If the source partition is activated, no Luna PED is required for this procedure. If it is not activated, you must connect a Luna PED to authenticate to the source partition.

To back up a multifactor quorum-authenticated partition

1.Configure your Luna HSM Client workstation using one of the following configurations:

•Activated source partition:

•Non-activated source partition:

a.Install the required client software on the Luna HSM Client workstation. See Client Software Required to Perform Backup and Restore Operations for details.

NOTE   If you are installing Luna HSM Client on Windows, the driver may not be installed unless the Luna device is connected to the computer first; refer to Backup/USB/PCIe Drivers Not Installed on Windows 10 or Windows Server 2022 Unless Device is Connected.

b.Connect the backup HSM directly to the Luna HSM Client workstation using the included USB cable.

c.[Non-activated source partition, Local PED] Connect the PED to the USB port on the Luna PCIe HSM 7 card, using the PED USB cable.

d.[Non-activated source partition, Remote PED] Connect the PED to the Luna HSM Client workstation used to host the remote PED, using the PED USB cable.

NOTE   You connect to the remote PED using the IP address of the workstation used to host the PED. This can be the same workstation that hosts the user and backup partition slots, or a different workstation. The workstation used to host the PED must be running PEDserver.

2.[Non-activated source partition, Remote PED] Start the pedserver service on the workstation used to host the remote PED:

Windows	C:\Program Files\Safenet\LunaClient> pedserver -mode start
Linux	/usr/safenet/lunaclient> pedserver -mode start

3.Launch LunaCM on the workstation that hosts the Luna PCIe HSM 7 partition slots.

4.Identify the slot assignments for:

• The Luna PCIe HSM 7 partition you want to back up.

•The Luna Backup HSM 7 admin partition (where all backups are stored).

lunacm:> slot list

If you cannot see both slots, check your connections or configure your client as required.

5.Select the Luna PCIe HSM 7 partition:

lunacm:> slot set -slot <slot_id>

6.Log in to the partition as Crypto Officer (CO):

•If the partition is activated, use the following command and provide the Crypto Officer (CO) challenge secret as prompted:

lunacm:> role login -name co

•If the partition is not activated, and you are authenticating with a local PED:

lunacm:> role login -name co

Respond to the prompts on the PED to provide the black (CO) key(s) and PIN for the CO role on the application partition.

•If the partition is not activated, and you are authenticating with Remote PED:

i.Connect to the Luna HSM Client workstation that hosts the PED. If defaults are not set using lunacm:> ped set, specify an IP address (and port if required; 1503 is default).

lunacm:> ped connect [-ip <pedserver_host_ip>]

ii.Log in to the selected Luna PCIe HSM 7 partition as the Crypto Officer (CO):

lunacm:> role login -name co

iii.Respond to the prompts on the PED to provide the orange (PED vector) PED key(s) and PIN for the Luna PCIe HSM 7 and the black (CO) key(s) and PIN for the CO role on the application partition.

iv.Disconnect the remote PED session. Note that you will remain logged in to the Luna PCIe HSM 7 partition:

lunacm:> ped disconnect

7.Initiate the backup:

lunacm:> partition archive backup -slot <backup_HSM_admin_slot> [-partition <target_backup_label>] [-append] [-replace] [-smkonly]

If you omit the -partition option when creating a new backup, the partition is assigned a default name (<source_partition_name>_<YYYYMMDD>) based on the source HSM's internally-set time and date.

If you are backing up a V1 partition, include -smkonly to back up the SMK only. By default, the SMK and any encrypted cryptographic material on the partition are backed up.

The backup begins once you have completed the authentication process. Objects are backed up one at a time. If you are backing up to an existing backup partition, you can use the following options to define how individual objects are backed up:

-append	Add only new objects to an existing backup.
-replace	Delete the existing objects in a target backup partition and replace them with the contents of the source user partition. This is the default.
-append -replace	Add new objects and replace existing objects that have the same OUID but a different fingerprint (such as would occur if any of the object attributes were changed since the previous backup).

NOTE   If the backup operation is interrupted (if the Backup HSM is unplugged, or if you fail to respond to PED prompts, for example), the Backup HSM's full available space can become occupied with a single backup partition. If this occurs, delete the backup partition with lunacm:> partition archive delete before reattempting the backup operation.

8.Respond to the prompts on the Luna Backup HSM 7 touchscreen to insert the following PED keys:

a.The blue (HSM SO) PED key(s) for the backup HSM. This is an existing PED key that was created when the backup HSM was initialized.

b.The blue (Partition SO) PED key(s) for the backup partition.

– If this is the first time the Luna PCIe HSM 7 partition is being backed up to this backup HSM, you are prompted to initialize the backup Partition SO role by creating a new key or reusing an existing key (SETTING SO PIN). After you initialize the role, you are prompted to insert the key again to log in to the role (SO LOGIN).

–For all subsequent backups, you must present the PED key(s) used to initialize the backup partition SO role.

c.The red (Domain) PED key(s). This must be the same PED key(s) used for the Luna PCIe HSM 7 partition, otherwise the backup will fail.

d.The black (Crypto Officer) PED key(s) for the backup partition.

–If this is the first time the Luna PCIe HSM 7 partition is being backed up to this backup HSM, you must first initialize the backup partition CO role. This requires partition SO credentials, so you are prompted for the blue (Partition SO) PED key. After authenticating as the partition SO, you are prompted to initialize the backup partition CO role by creating a new PED key or reusing an existing PED key (SETTING SO PIN). After you initialize the partition CO role, you are prompted to insert the PED key again to log in to the role (SO LOGIN).

–For all subsequent backups, you must present the PED key used to initialize the backup partition CO role.

Restoring To a Multifactor Quorum-Authenticated Partition

Use the following procedure to restore a Luna partition from a backup stored on a Luna Backup HSM 7 v2.

Prerequisites

>You have the credentials listed in the summary above.

>The following polices are set (see HSM Capabilities and Policies and Partition Capabilities and Policies for more information):

•HSM policy 16: Enable network replication must be set to 1 (ON) on the Luna PCIe HSM 7 partition.

•[Pre-7.7.0 and V0 partitions only] Partition policy 0: Allow private key cloning must be set to 1 (ON) on the Luna PCIe HSM 7 partition.

•[Pre-7.7.0 and V0 partitions only] Partition policy 4: Allow secret key cloning must be set to 1 (ON) on the Luna PCIe HSM 7 partition.

To restore a multifactor quorum-authenticated partition

1.Configure your Luna HSM Client workstation using one of the following configurations:

•Activated destination partition:

•Non-activated destination partition:

a.Install the required client software on the Luna HSM Client workstation. See Luna HSM Client Software Installation for details.

NOTE   If you are installing Luna HSM Client on Windows, the driver may not be installed unless the Luna device is connected to the computer first; refer to Backup/USB/PCIe Drivers Not Installed on Windows 10 or Windows Server 2022 Unless Device is Connected.

b.Connect the backup HSM directly to the Luna HSM Client workstation using the included USB cable.

c.[Non-activated source partition, Local PED] Connect the PED to the USB port on the Luna PCIe HSM 7 card, using the PED USB cable.

d.[Non-activated source partition, Remote PED] Connect the PED to the Luna HSM Client workstation used to host the remote PED, using the PED USB cable.

NOTE   You connect to the remote PED using the IP address of the workstation used to host the PED. This can be the same workstation that hosts the user and backup partition slots, or a different workstation. The workstation used to host the PED must be running PEDserver.

2.[Non-activated source partition, Remote PED] Start the pedserver service on the workstation used to host the remote PED:

Windows	C:\Program Files\Safenet\LunaClient> pedserver -mode start
Linux	/usr/safenet/lunaclient> pedserver -mode start

3.Launch LunaCM on the workstation that hosts the Luna PCIe HSM 7 and backup partition slots.

4.Identify the slot assignments for:

• the Luna PCIe HSM 7 partition you want to restore to.

•the backup HSM admin partition (where all backups are stored).

lunacm:> slot list

If you cannot see both slots, check your connections or configure your client as required.

5.Select the Luna PCIe HSM 7 partition you want to restore from backup:

lunacm:> slot set -slot <slot_id>

6.Log in to the partition as Crypto Officer (CO):

•If the partition is activated, use the following command and provide the Crypto Officer (CO) challenge secret as prompted:

lunacm:> role login -name co

•If the partition is not activated, and you are authenticating with a local PED:

lunacm:> role login -name co

Respond to the prompts on the PED to provide the black (CO) key(s) and PIN for the CO role on the application partition.

•If the partition is not activated, and you are authenticating with Remote PED:

i.Connect to the Luna HSM Client workstation that hosts the PED. If defaults are not set using lunacm:> ped set, specify an IP address (and port if required; 1503 is default).

lunacm:> ped connect [-ip <pedserver_host_ip>]

ii.Log in to the selected Luna PCIe HSM 7 partition as the Crypto Officer (CO):

lunacm:> role login -name co

iii.Respond to the prompts on the PED to provide the orange (PED vector) PED key(s) and PIN for the Luna PCIe HSM 7 and the black (CO) key(s) and PIN for the CO role on the application partition.

iv.Disconnect the remote PED session. Note that you will remain logged in to the Luna PCIe HSM 7 partition:

lunacm:> ped disconnect

7.List the available backups on the Backup HSM by specifying the Backup HSM's slot number. You will require the backup partition label to perform the restore operation.

lunacm:> partition archive list -slot <backup_HSM_admin_slot>

8.Initiate the restore operation. Respond to the prompts on the Luna Backup HSM 7 touchscreen to insert the required PED keys.

lunacm:> partition archive restore -slot <backup_HSM_admin_slot> -partition <backup_partition_label> [-smkonly]

The restore operation begins once you have completed the authentication process. Objects are restored one at a time.

NOTE   If you are restoring a V1 backup to a V1 partition, include -smkonly to restore the SMK only (see Compare Behavior of Pre-Firmware 7.7, and V0, and V1 Partitions for more information). By default, the SMK and any cryptographic material on the backup are restored.

Backing Up a Password-Authenticated Partition

Use this procedure to back up a password-authenticated Luna partition to a Luna Backup HSM 7 v2.

Prerequisites

Before beginning, ensure that you have satisfied the following prerequisites:

>You have the required credentials as listed in the summary above.

>The following polices are set (see HSM Capabilities and Policies and Partition Capabilities and Policies for more information):

•HSM policy 16: Enable network replication must be set to 1 (ON) on the Luna PCIe HSM 7.

• [Pre-7.7.0 and V0 partitions only] Partition policy 0: Allow private key cloning is set to 1 (ON) on the application partition.

• [Pre-7.7.0 and V0 partitions only] Partition policy 4: Allow secret key cloning is set to 1 (ON) on the application partition.

To back up a password-authenticated partition

1.Configure your Luna HSM Client workstation as illustrated below:

a.Install the required client software on the Luna HSM Client workstation and start LunaCM. See Client Software Required to Perform Backup and Restore Operations for more information.

NOTE   If you are installing Luna HSM Client on Windows, the driver may not be installed unless the Luna device is connected to the computer first; refer to Backup/USB/PCIe Drivers Not Installed on Windows 10 or Windows Server 2022 Unless Device is Connected.

b.Connect the backup HSM directly to the Luna HSM Client workstation using the included USB cable.

2.Identify the slots assigned to:

• The Luna PCIe HSM 7 partition slot (to be backed up).

•The Luna Backup HSM 7 admin slot (where all backups are stored).

lunacm:> slot list

If you cannot see both slots, check your connections or configure your client as required.

3.Select the Luna PCIe HSM 7 partition:

lunacm:> slot set -slot <slot_id>

4.Log in to the Luna PCIe HSM 7 partition as the Crypto Officer (CO):

lunacm:> role login -name co

5.Initiate backup of the Luna PCIe HSM 7 partition to the backup partition:

lunacm:> partition archive backup -slot <backup_hsm_admin_partition_slot_id> [-partition <target_backup_partition_label>] [-append] [-replace] [-smkonly]

If you omit the -partition option when creating a new backup, the partition is assigned a default name (<source_partition_name>_<YYYYMMDD>) based on the source HSM's internally-set time and date.

If you are backing up a V1 partition, include -smkonly to back up the SMK only. By default, the SMK and any encrypted cryptographic material on the partition are backed up.

The backup begins once you have completed the authentication process. Objects are backed up one at a time. For existing backups, you can use the following options to define how individual objects are backed up:

-append	Add only new objects to the existing backup.
-replace	Delete the existing objects in the target backup partition and replace them with the contents of the source user partition. This is the default.
-append -replace	Add new objects and replace existing objects that have the same OUID but a different fingerprint (such as would occur if any of the object attributes were changed since the previous backup).

NOTE   If the backup operation is interrupted (if the Backup HSM is unplugged, for example), the Backup HSM's full available space can become occupied with a single backup partition. If this occurs, delete the backup partition with lunacm:> partition archive delete before reattempting the backup operation.

6.You are prompted for the following (you can also enter these options on the command line, although doing so exposes the strings, whereas using the prompts obscures the strings):

•The domain string for the backup partition. The domain must match the domain configured on the Luna PCIe HSM 7 partition.

•The backup partition password. You will create a new password on the initial backup, and use the password for subsequent backups to the backup partition.

•The backup HSM SO password. This is required to create or access the backup partition in the Admin slot.

Restoring to a Password-Authenticated Partition

Use this procedure to restore a password-authenticated Luna partition from a backup stored on a Luna Backup HSM 7v2.

Prerequisites

>You have the credentials listed in the summary above.

>The following polices are set (see HSM Capabilities and Policies and Partition Capabilities and Policies for more information):

•HSM policy 16: Enable network replication must be set to 1 (ON) on the Luna PCIe HSM 7.

• [Pre-7.7.0 and V0 partitions only] Partition policy 0: Allow private key cloning must be set to 1 (ON) on the Luna PCIe HSM 7 partition.

• [Pre-7.7.0 and V0 partitions only] Partition policy 4: Allow secret key cloning must be set to 1 (ON) on the Luna PCIe HSM 7 partition.

To restore a password-authenticated partition

1.Configure your Luna HSM Client workstation as illustrated below:

a.Install the required client software on the Luna HSM Client workstation and start LunaCM. See Client Software Required to Perform Backup and Restore Operations for more information.

NOTE   If you are installing Luna HSM Client on Windows, the driver may not be installed unless the Luna device is connected to the computer first; refer to Backup/USB/PCIe Drivers Not Installed on Windows 10 or Windows Server 2022 Unless Device is Connected.

b.Connect the backup HSM directly to the Luna HSM Client workstation using the included USB cable.

2. Identify the slots assigned to:

• The Luna PCIe HSM 7 partition slot (to be restored).

•The Luna Backup HSM 7 admin slot (where all backups are stored).

lunacm:> slot list

If you cannot see both slots, check your connections or configure your client as required.

3.Select the Luna PCIe HSM 7 partition you want to restore to:

lunacm:> slot set -slot <slot_id>

4.Log in to the partition as Crypto Officer (CO):

lunacm:> role login -name co

5.List the available backups on the Backup HSM by specifying the Backup HSM's slot number. You will require the backup partition label to perform the restore operation.

lunacm:> partition archive list -slot <backup_HSM_slot>

6.Initiate the restore operation. Respond to the prompts to provide the required passwords, as detailed in the summary above.

lunacm:> partition archive restore -slot <backup_HSM_admin_slot> -partition <backup_partition_label> [-smkonly]

The restore operation begins once you have completed the authentication process. Objects are restored one at a time.

NOTE   If you are restoring a V1 backup to a V1 partition, include -smkonly to restore the SMK only (see Compare Behavior of Pre-Firmware 7.7, and V0, and V1 Partitions for more information). By default, the SMK and any encrypted cryptographic material on the backup are restored.