FIPS 140-2 Security Policy
FortiGate-5140B Chassis with FortiGate-5001D Blade
FortiGate-5140B Chassis and FortiGate-5001D Blade FIPS 140-2 Security Policy
Document Version: 1.8
Publication Date: September 25, 2017
Description: Documents FIPS 140-2 Level 2 Security Policy issues, compliancy and requirements for
FIPS compliant operation.
Firmware Version: FortiOS 5.2.7, build8982, 160328
Hardware Version: FortiGate-5001D (P1AB76) Blank Filler Panel - Front (P10945-01)
FortiGate-5140B (P09297-01) Blank Filler Panel - Rear (P10946-01)
Air Filter (P10938-01)
FortiGate-5140B Chassis and FortiGate-5001D Blade FIPS 140-2 Security Policy
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Copyright© 2017 Fortinet, Inc. All rights reserved. Fortinet®, FortiGate®, FortiCare® and FortiGuard®,
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product or company names may be trademarks of their respective owners. Performance and other metrics
contained herein were attained in internal lab tests under ideal conditions, and actual performance and
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This document may be freely reproduced and distributed whole and intact including this copyright notice.
FortiGate-5140B Chassis with FortiGate-5001D Blade FIPS 140-2 Security Policy
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Contents
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Security Level Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Module Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Chassis Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Cryptographic Module Ports and Interfaces . . . . . . . . . . . . . . . . . . . . . 4
FortiGate-5001D Blade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
FortiGate-5140B Chassis . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Web-Based Manager. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Command Line Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Roles, Services and Authentication . . . . . . . . . . . . . . . . . . . . . . . . . 9
Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Non-FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . 11
Authentication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Physical Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Operational Environment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Cryptographic Key Management . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Random Number Generation . . . . . . . . . . . . . . . . . . . . . . . . . 15
Entropy Token . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Key Zeroization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Cryptographic Keys and Critical Security Parameters . . . . . . . . . . . . . 17
Alternating Bypass Feature . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Key Archiving. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) . . . . . . . 20
Mitigation of Other Attacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
FIPS 140-2 Compliant Operation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Enabling FIPS-CC mode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Self-Tests. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
FortiGate-5140B Chassis with FortiGate-5001D Blade FIPS 140-2 Security Policy
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Overview
This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’s FortiGate-
5140B chassis with the FortiGate-5001D blade based Multi-Threat Security System. This
policy describes how the FortiGate-5001D blade, when installed in the FortiGate-5140B
chassis (hereafter referred to in combination as the ‘module’), meet the FIPS 140-2
security requirements and how to operate the modules in a FIPS compliant manner. This
policy was created as part of the Level 2 FIPS 140-2 validation of the module.
The Federal Information Processing Standards Publication 140-2 - Security Requirements
for Cryptographic Modules (FIPS 140-2) details the United States Federal Government
requirements for cryptographic modules. Detailed information about the FIPS 140-2
standard and validation program is available on the NIST (National Institute of Standards
and Technology) website at http://csrc.nist.gov/groups/STM/cmvp/index.html.
References
This policy deals specifically with operation and implementation of the modules in the
technical terms of the FIPS 140-2 standard and the associated validation program. Other
Fortinet product manuals, guides and technical notes can be found at the Fortinet
technical documentation website at http://docs.fortinet.com.
Additional information on the entire Fortinet product line can be obtained from the
following sources:
• Find general product information in the product section of the Fortinet corporate
website at http://www.fortinet.com/products.
• Find on-line product support for registered products in the technical support section of
the Fortinet corporate website at http://www.fortinet.com/support.
• Find contact information for technical or sales related questions in the contacts section
of the Fortinet corporate website at http://www.fortinet.com/contact.
• Find security information and bulletins in the FortiGuard Center of the Fortinet
corporate website at http://fortiguard.com.
Introduction
The FortiGate product family spans the full range of network environments, from SOHO to
service provider, offering cost effective systems for any size of application. FortiGate
appliances detect and eliminate the most damaging, content-based threats from email and
Web traffic such as viruses, worms, intrusions, inappropriate Web content and more in
real time — without degrading network performance. In addition to providing application
level firewall protection, FortiGate appliances deliver a full range of network-level services
— VPN, intrusion prevention, web filtering, antivirus, antispam and traffic shaping — in
dedicated, easily managed platforms.
Security Level Summary
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All FortiGate appliances employ Fortinet’s unique FortiASIC content processing chip and
the powerful, secure, FortiOS firmware achieve breakthrough price/performance. The
unique, ASIC-based architecture analyzes content and behavior in real time, enabling key
applications to be deployed right at the network edge where they are most effective at
protecting enterprise networks. They can be easily configured to provide antivirus
protection, antispam protection and content filtering in conjunction with existing firewall,
VPN, and related devices, or as complete network protection systems. The modules
support High Availability (HA) in both Active-Active (AA) and Active-Passive (AP)
configurations.
FortiGate appliances support the IPSec industry standard for VPN, allowing VPNs to be
configured between a FortiGate appliance and any client or gateway/firewall that supports
IPSec VPN. FortiGate appliances also provide SSL VPN services using TLS 1.2.
Security Level Summary
The modules meets the overall requirements for a FIPS 140-2 Level 2 validation.
Module Descriptions
The FortiGate-50010D is an ATCA, blade based, multiple chip, standalone cryptographic
module consisting of production grade components contained in a physically protected
enclosure in accordance with FIPS 140-2 Level 2 requirements.
The module runs the FortiOS firmware, performs all of the cryptographic functions and
provides the input/output interfaces. The chassis provides power, cooling and physical
protection for the module as a whole. The chassis does not run FortiOS firmware.
The module is an Internet device that provide integrated firewall, VPN, antivirus, antispam,
intrusion prevention, content filtering and traffic shaping and HA capabilities. This FIPS
140-2 Security Policy specifically covers the firewall, IPSec and SSL-VPN capabilities of
the module.
The antivirus, antispam, intrusion prevention, content filtering and traffic shaping
capabilities of the modules can be used without compromising the FIPS approved mode of
operation.
Table 1: Summary of FIPS security requirements and compliance levels
Security Requirement Compliance
Level
Cryptographic Module Specification 2
Cryptographic Module Ports and Interfaces 3
Roles, Services and Authentication 3
Finite State Model 2
Physical Security 2
Operational Environment N/A
Cryptographic Key Management 2
EMI/EMC 2
Self-Tests 2
Design Assurance 3
Mitigation of Other Attacks 2
Module Descriptions
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The FortiGate-5001D has 6 network interfaces with a status LED for each network
interface (2x 40GB QSFP+, 2x 10GB SFP+, 2x 10/100/1000 Base-T).
The module has one x86 compatible CPU.
The validated firmware version is FortiOS v5.2.7,build8982,160328.
Figure 1 is representative of the module tested.
Chassis Description
The FortiGate-5140B has 4 hot swappable, internal ventilation fan units that draw in air
from the bottom front of the chassis and expel it from the top rear. These fans are
excluded from the requirements of FIPS 140-2, as they perform no security relevant
function.
The FortiGate-5140B uses two, hot-swappable, DC power entry modules (PEMs). These
PEMs are outside the cryptographic boundary and only connect to the internal chassis
power interface.
The FortiGate-5140B chassis uses an external DC power source.
The FortiGate-5140B chassis supports removable Shelf Managers (2) and Shelf Alarm (1)
panels. These panels are outside the cryptographic boundary and only connect to the
internal interface.
The FortiGate-5140B chassis includes slots for rear-panel blades. However, the rear panel
slots are not populated in the validated configuration.
Cryptographic Module Ports and Interfaces
FortiGate-5001D Blade
Figure 1: FortiGate-5001D Front Panel
Table 2: FortiGate-5001D Status LEDs, Port 1 and 2, 40Gbit Mode
Green LED (left) Amber LED (right) Description
On Off The correct cable is connected to the interface
and the connected equipment has power.
Off Off No link is established.
MGMT 1 and MGMT 2
10/100/1000 Copper
Management Interfaces
3 and 4
10 Gig
SFP+ Network
Interfaces
Base and Fabric
network activity
LEDs
RJ-45
Console
Extraction
Lever
Retention
Screw
USB
Extraction
Lever
Retention
Screw
IPM
LED
(board
position)
OOS
LED
STA
LED
PWR
LED
ACC
LED
Factory Use
NMI Switch
1 and 2
40 Gig
QSFP+ Network
Interfaces
Module Descriptions
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Table 3: FortiGate-5001D Status LEDs, Port 1 and 2, 4x 10Gbit Mode
Table 4: Other FortiGate-5001D Status LEDs
Green LED (left) Amber LED (right) Description
Flashing On The correct cables are connected to the interface,
the connected equipment has power and all
10Gbit interfaces are connected.
Flashing Flashing The correct cables are connected to the interface,
the connected equipment has power and only
some of the 10Gbit interfaces are connected.
Off Off No link is established.
LED State Description
MGMT 1
and 2
Link/Act
(Left LED)
Green The correct cable is connected to the
interface and the connected equipment has
power.
Blinking Network activity at the interface.
Off No link is established.
Speed
(Right LED)
Green Connected at 1 Gbps.
Amber Connected at 100 Mbps.
Off Connected at 10 Mbps.
Ports 3 and 4 Green The correct cable is connected to the
interface and the connected equipment has
power.
Flashing
Green
Network activity at the interface.
Off No link is established.
Base 1 and 2 Green Base backplane interface is connected at 1
Gbps.
Flashing
Green
Network activity at base backplane
interface.
Fabric 1 and 2 Green Fabric backplane interface is connected
at 10 Gbps.
Flashing
Green
Network activity at fabric backplane
interface.
ACC
(Disk Activity)
Off or
Flashing
green
The ACC LED flashes green when the
FortiGate-5001D blade accesses its
internal storage. The storage contains the
current FortiOS firmware build and
configuration files. The system accesses
the storage when starting up, during a
firmware upgrade, or when an administrator
is using the CLI or GUI to change the
FortiOS configuration. Under normal
operating conditions this LED flashes
occasionally, but is mostly off.
OOS
(Out of Service)
Off Normal operation.
Green A fault condition exists and the FortiGate-
5001D blade is out of service (OOS). This
LED may also flash very briefly during
normal startup.
Module Descriptions
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PWR
(Power)
Green The FortiGate-5001D blade is powered on.
STA
(Status)
Off The FortiGate-5001D blade is powered on.
Flashing The FortiGate-5001D is starting up. If this
LED is flashing at any time other than
system startup, a fault condition may exist.
IPM Blue The FortiGate-5001D is ready to be hot-
swapped (removed from the chassis). If the
IPM light is blue and no other LEDs are lit
the FortiGate-5001A blade has lost power.
Flashing The FortiGate-5001D is changing from hot
swap to running mode or from running
mode to hot swap.
Off Normal operation. The FortiGate-5001D
blade is in contact with the chassis
backplane.
Table 5: FortiGate-5001C Front Panel Connectors and Ports
Connector Type Speed Supported Logical
Interfaces
Description
Ports 1 and 2 QSFP+ 40Gbps Data input, data
output, control input
and status output
Connection to
QSFP+ networks.
Ports 3 and 4 SFP+ 10Gbps Data input, data
output, control input
and status output
Connection to SFP+
networks.
MGMT1 and
MGMT 2
RJ-45 10/100/1000
Base-T
Data input, data
output, control input
and status output
Connection to
10/100/1000
networks.
CONSOLE RJ-45 9600 bps Control input, status
output
Optional connection
to the management
computer. Provides
access to the
command line
interface (CLI).
USB Port USB N/A Key loading and
archiving, entropy
input
Optional USB token
and entropy token.
Module Descriptions
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FortiGate-5140B Chassis
Figure 2: FortiGate-5140B Front Panel
Cooling
fans
(behind
cooling fan
bay cover)
ESD
socket
Slot
numbers
Air filter
(behind
air intake
grill)
Blank
faceplates
FortiGate
Blade
Module Descriptions
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Figure 3: FortiGate-5140B Rear Panel
Web-Based Manager
The FortiGate web-based manager provides GUI based access to the modules and is the
primary tool for configuring the modules. The manager requires a web browser on the
management computer and an Ethernet connection between the FortiGate unit and the
management computer.
A web-browser that supports Transport Layer Security (TLS) 1.2 is required for remote
access to the web-based manager when the module is operating in FIPS-CC mode. HTTP
access to the web-based manager is not allowed in FIPS mode and is disabled.
Power
Entry Module A
Connector
Shelf
Manager
Connectors
Shelf Alarm
Module
Connectors
Power
Entry Module B
Connector
Chassis
ground
connector
(green)
ESD
socket
RTM
slot numbers
RTM
air baffle
slot covers
Module Descriptions
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Figure 4: The FortiGate web-based manager
Command Line Interface
The FortiGate Command Line Interface (CLI) is a full-featured, text based management
tool for the module. The CLI provides access to all of the possible services and
configuration options in the module. The CLI uses a console connection or a network
(Ethernet) connection between the FortiGate unit and the management computer. The
console connection is a direct serial connection. Terminal emulation software is required
on the management computer using either method. For network access, a Telnet or SSH
client that supports the SSH v2.0 protocol is required (SSH v1.0 is not supported in FIPS
mode). Telnet access to the CLI is not allowed in FIPS mode and is disabled.
Roles, Services and Authentication
Roles
When configured in FIPS mode, the module provides the following roles:
• Crypto Officer
• Network User
The Crypto Officer role is initially assigned to the default ‘admin’ operator account. The
Crypto Officer role has read-write access to all of the module’s administrative services.
The initial Crypto Officer can create additional operator accounts. These additional
accounts are assigned the Crypto Officer role and can be assigned a range of read/write
or read only access permissions including the ability to create operator accounts.
The modules also provide a Network User role for end-users (Users). Network Users can
make use of the encrypt/decrypt services, but cannot access the modules for
administrative purposes.
The module does not provide a Maintenance role.
3
Module Descriptions
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FIPS Approved Services
The following tables detail the types of FIPS approved services available to each role in
each mode of operation, the types of access for each role and the Keys or CSPs they
affect.
The access types are abbreviated as follows:
Read Access R
Write Access W
Execute Access E
Table 6: Services available to Crypto Officers
Service Access Key/CSP
authenticate to module WE Operator Password, Diffie-Hellman Key,
HTTP/TLS and SSH Server/Host Keys,
HTTPS/TLS and SSH Session
Authentication Keys, and HTTPS/TLS
Session Encryption Keys, DRBG Output,
DRBG Seed, DRBG Input String
show system status WE N/A
show FIPS-CC mode
enabled/disabled
(console/CLI only)
WE N/A
enable FIPS-CC mode of operation
(console only)
WE Configuration Integrity Key
key zeroization WE All Keys, See “Key Zeroization” on
page 15
execute factory reset (disable FIPS-
CC mode, console/CLI only)
E All keys except firmware update key,
configuration integrity key, configuration
backup key
execute FIPS-CC on-demand self-
tests (console only)
E Configuration Integrity Key, Firmware
Integrity Key
add/delete operators and network
users
WE Crypto Officer Password,
Network User Password
set/reset operator and network user
passwords
WE Crypto Officer Password,
Network User Password
backup/restore configuration file WE Configuration Encryption Key,
Configuration Backup Key
read/set/delete/modify module
configuration
WE N/A
execute firmware update E Firmware Update Key
read log data WE N/A
delete log data (console/CLI only) WE N/A
execute system diagnostics
(console/CLI only)
WE N/A
Module Descriptions
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Table 7: Services available to Network Users in FIPS-CC mode
Non-FIPS Approved Services
The module also provides the following non-FIPS approved services:
• Configuration backups using password protection
• LLTP and PPTP VPN
All services in Table 6 and Table 7 are considered non-approved when using the following
algorithms:
• Non-compliant-strength Diffie-Hellman
• Non-compliant-strength RSA key wrapping
• DES
• MD5
• HMAC-MD5
Authentication
The module implements identity based authentication. Operators must authenticate with a
user-id and password combination to access the modules remotely or locally via the
console. Remote operator authentication is done over HTTPS (TLS) or SSH. The
password entry feedback mechanism does not provide information that could be used to
guess or determine the authentication data.
enable/disable alternating bypass
mode
WE N/A
read/set/delete/modify IPSec/SSL
VPN configuration
N/A IPSec: IPSec Manual Authentication
Key, IPSec Manual Encryption Key, IKE
Pre-Shared Key, IKE RSA Key
SSL: HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication Key,
HTTPS/TLS SSH Session Encryption
Key
read/set/modify HA configuration WE HA Password, HA Encryption Key
Service/CSP Access Key/CSP
authenticate to module WE Network User Password, Diffie-Hellman
Key, HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication
Key, HTTPS/TLS Session Encryption
Key, DRBG Output, DRBG Seed, DRBG
Input String
IPSec VPN controlled by firewall
policies
E Diffie-Hellman Key, IKE and IPSec
Keys, DRBG Output, DRBG Seed,
DRBG Input String
SSL VPN controlled by firewall
policies
E Network User Password, Diffie-Hellman
Key, HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication
Key, HTTPS/TLS Session Encryption
Key, DRBG Output, DRBG Seed, DRBG
Input String
Table 6: Services available to Crypto Officers
Service Access Key/CSP
Module Descriptions
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By default, Network User access to the modules is based on firewall policy and
authentication by IP address or fully qualified domain names. Network Users can
optionally be forced to authenticate to the modules using a username/password
combination to enable use of the IPSec VPN encrypt/decrypt or bypass services. For
Network Users invoking the SSL-VPN encrypt/decrypt services, the modules support
authentication with a user-id/password combination. Network User authentication is done
over HTTPS and does not allow access to the modules for administrative purposes.
Note that operator authentication over HTTPS/SSH and Network User authentication over
HTTPS are subject to a limit of 3 failed authentication attempts in 1 minute; thus, the
maximum number of attempts in one minute is 3. Therefore the probability of a success
with multiple consecutive attempts in a one-minute period is 3 in 948 which is less than
1/100,000.
Operator authentication using the console is not subject to a failed authentication limit, but
the number of authentication attempts per minute is limited by the bandwidth available
over the serial connection which is a maximum of 115,200 bps which is 6,912,000 bits per
minute. An 8 byte password would have 64 bits, so there would be no more than 108,000
passwords attempts per minute. Therefore the probability of success would be
1/(948/108,000) which is less than 1/100,000
The minimum password length is 8 characters when in FIPS-CC mode (maximum
password length is 32 characters). The password may contain any combination of upper-
and lower-case letters, numbers, and printable symbols; allowing for 94 possible
characters. The odds of guessing a password are 1 in 94^8 which is significantly lower
than one in a million. Recommended procedures to increase the password strength are
explained in “FIPS 140-2 Compliant Operation” on page 21.
For Network Users invoking the IPSec VPN encrypt/decrypt services, the module acts on
behalf of the Network User and negotiates a VPN connection with a remote module. The
strength of authentication for IPSec services is based on the authentication method
defined in the specific firewall policy: IPSec manual authentication key, IKE pre-shared
key or IKE RSA key (RSA certificate). The odds of guessing the authentication key for
each IPSec method is:
• 1 in 1640
for the IPSec Manual Authentication key (based on a 40 digit, hexadecimal
key)
• 1 in 948
for the IKE Pre-shared Key (based on an 8 character, ASCII printable key)
• 1 in 2112 for the IKE RSA Key (based on a 2048bit RSA key size)
Therefore the minimum odds of guessing the authentication key for IPSec is 1 in 948
,
based on the IKE Pre-shared key.
Physical Security
The modules meet FIPS 140-2 Security Level 2 requirements by using production grade
components and an opaque, sealed enclosure. Access to the enclosure is restricted
through the use of tamper-evident seals to secure the overall enclosure.
The seals are red wax/plastic with black lettering that reads “Fortinet Security Seal”.
Module Descriptions
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The tamper seals are not applied at the factory prior to shipping. It is the responsibility of
the Crypto Officer to apply the seals before use to ensure full FIPS 140-2 compliance.
Once the seals have been applied, the Crypto Officer must develop an inspection
schedule to verify that the external enclosure of the modules and the tamper seals have
not been damaged or tampered with in any way. Upon viewing any signs of tampering, the
Crypto Officer must assume that the device has been fully compromised. The Crypto
Officer is required to zeroize the cryptographic module by following the steps in the Key
Zeroization section of the SP. The Crypto Officer is also responsible for securing and
controlling any unused seals.
The surfaces should be cleaned with 99% Isopropyl alcohol to remove dirt and oil before
applying the seals. Ensure the surface is completely clean and dry before applying the
seals. If a seal needs to be re-applied, completely remove the old seal and clean the
surface with an adhesive remover before following the instructions for applying a new
seal.
Additional seals can be requested through your Fortinet sales contact. Reference the
‘FIPS-SEAL-RED’ SKU when ordering. Specify the number of seals required based on the
specific model as described below:
The FortiGate-5140B uses 24 seals to secure:
• the front panel cooling fan bay cover (2 seals, see Figure 5 and Figure 6),
• the front panel blades and blank face plates (7 seals, see Figure 5),
• the front panel air intake bezel (2 seals, see Figure 5 and Figure 6),
• the rear panel blank face plates (13 seals, see Figure 6).
Figure 5: FortiGate-5140B front seals
Module Descriptions
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Figure 6: FortiGate-5140B front seals, side view
Figure 7: FortiGate-5140B rear seals
Module Descriptions
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Operational Environment
The modules consist of the combination of the FortiOS operating system and theFortiGate
appliances. The FortiOS operating system can only be installed, and run, on a FortiGate
appliance. The FortiOS operating system provides a proprietary and non-modifiable
operating system.
Cryptographic Key Management
Random Number Generation
The modules use a firmware based, deterministic random bit generator (DRBG) that
conforms to NIST Special Publication 800-90A. The Module generates cryptographic keys
whose strengths are modified by available entropy. There is no assurance of the minimum
strength of generated keys.
Entropy Token
The modules use a Fortinet entropy token (part number FTR-ENT-1 or part number FTR-
ENT-2) to seed the DRBG during the modules’ boot process and to periodically reseed the
DRBG. The entropy token is not included in the boundary of the module and therefore no
assurance can be made for the correct operation of the entropy token nor is there a
guarantee of stated entropy.
The default reseed period is once every 24 hours (1440 minutes). The entropy token must
be installed to complete the boot process and to reseed the DRBG. The entropy token is
responsible for loading a minimum of 256 bits of entropy.
Key Zeroization
The zeroization process must be performed under the direct control of the operator. The
operator must be present to observe that the zeroization method has completed
successfully.
All keys and CSPs are zeroized by erasing the module’s boot device and then power
cycling the FortiGate unit. To erase the boot device, execute the following command from
the CLI:
execute erase-disk <boot device>
The boot device ID may vary depending on the FortiGate module. Executing the following
command will output a list of the available internal disks:
execute erase-disk ?
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Algorithms
Note that the algorithms in Table 10 are listed as non-compliant since Known Answer
Tests for the algorithms are not implemented in the validated firmware build.
Table 8: FIPS Approved Algorithms
Algorithm NIST Certificate Number
CTR DRBG (NIST SP 800-90A) with 256-bits 1161
Triple-DES in CBC mode with 192-bits 2172, 2173, 2175
AES in CBC mode (128-, 192-, 256-bits) 3963, 3964, 3966
SHA-1 3267, 3268, 3270
SHA-256 3267, 3268, 3270
HMAC SHA-1 2581, 2582, 2584
HMAC SHA-256 2581, 2582, 2584
RSA PKCS1
-Signature Generation: 2048-bit
-Signature Verification: 1024 and 2048-bit
-For legacy use, the module supports 1024-bit RSA
keys and SHA-1 for signature verification
2026
RSA PKCS1
-Signature Generation: 2048 and 3072-bit
-Signature Verification: 1024, 2048 and 3072-bit
-For legacy use, the module supports 1024-bit RSA
keys and SHA-1 for signature verification
2024
CVL (SSH) - with TDES-192 bit-CBC, AES 128 bit-,
AES 256 bit -CBC (using SHA1)
794
CVL (TLS) - TLS 1.1 and 1.2 794
CVL (IKE v1 and v2) 795
Table 9: FIPS Allowed Algorithms
Algorithm
RSA (key wrapping; key establishment methodology provides 112 or 128 bits of
encryption strength)
Diffie-Hellman (key agreement; key establishment methodology provides between 112
and 201 bits of encryption strength)
NDRNG (Entropy Token) - please refer to the “Entropy Token” on page 15 for additional
information.
Table 10: FIPS Non-Compliant Algorithms
Algorithm
SHA-384
SHA-512
HMAC SHA-384
HMAC SHA-512
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Note that the IKE, SSH and TLS protocols have not been tested by the CMVP or CAVP as
per FIPS 140-2 Implementation Guidance D.11.
Cryptographic Keys and Critical Security Parameters
The following table lists all of the cryptographic keys and critical security parameters used
by the modules. The following definitions apply to the tabl
Table 11: Non-FIPS Allowed Algorithms
Algorithm
DES (disabled in FIPS-CC mode)
MD5 (disabled in FIPS-CC mode)
HMAC-MD5 (disabled in FIPS-CC mode)
RSA is non-compliant when keys less than 2048 bits are used, since such keys do not
provide the minimum required 112 bits of encryption strength.
Diffie-Hellman is non-compliant when keys less than 2048 bits are used, since such keys
do not provide the minimum required 112 bits of encryption strength.
Key or CSP The key or CSP description.
Storage Where and how the keys are stored
Usage How the keys are used
Zeroization The key zeroization method
Table 12: Cryptographic Keys and Critical Security Parameters used in FIPS-CC mode
Key or CSP Generation Storage Usage Zeroization
NDRNG output
string
Automatic Boot device
Plain-text
Input string for the
entropy pool
By erasing the Boot
device and power
cycling the module
DRBG seed Automatic Boot device
Plain-text
Seed used by the
DRBG (output from
NDRNG)
By erasing the Boot
device and power
cycling the module
DRBG output Automatic Boot device
Plain-text
Random numbers
used in cryptographic
algorithms
By erasing the Boot
device and power
cycling the module
DRBG v and key
values
Automatic Boot device
Plain-text
Internal state values
for the DRBG
By erasing the Boot
device and power
cycling the module
IPSec Manual
Authentication
Key
Manual Boot device
AES encrypted
Used as IPSec
Session
Authentication Key
By erasing the Boot
device and power
cycling the module
IPSec Manual
Encryption Key
Automatic SDRAM
Plain-text
Used as IPSec
Session Encryption
Key
By erasing the Boot
device and power
cycling the module
IPSec Session
Authentication
Key
Automatic SDRAM
Plain-text
IPSec peer-to-peer
authentication using
HMAC SHA-1 or
HMAC SHA-256
By erasing the Boot
device and power
cycling the module
IPSec Session
Encryption Key
Automatic SDRAM
Plain-text
VPN traffic
encryption/decryption
using Triple-DES or
AES
By erasing the Boot
device and power
cycling the module
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IKE Pre-Shared
Key
Manual Boot device
AES encrypted
Used to generate IKE
protocol keys
By erasing the Boot
device and power
cycling the module
IKE
Authentication
Key
Automatic SDRAM
Plain-text
IKE peer-to-peer
authentication using
HMAC SHA-1 , -256,
-384 or -512
(SKEYID_A)
By erasing the boot
device and power
cycling the module
IKE Key
Generation Key
Automatic SDRAM
Plain-text
IPSec SA keying
material (SKEYID_D)
By erasing the boot
device and power
cycling the module
IKE Session
Encryption Key
Automatic SDRAM
Plain-text
Encryption of IKE
peer-to-peer key
negotiation using
Triple-DES or AES
(SKEYID_E)
By erasing the boot
device and power
cycling the module
IKE RSA Key Manual Boot device
Plain text
Used to generate IKE
protocol keys
By erasing the boot
device and power
cycling the module
Diffie-Hellman
Keys
Automatic SDRAM
Plaintext
Key agreement and
key establishment
By erasing the boot
device and power
cycling the module
Firmware Update
Key
Preconfigured Boot device
Plain-text
Verification of
firmware integrity
when updating to
new firmware
versions using RSA
public key (firmware
load test)
By erasing the boot
device and power
cycling the module
FirmwareIntegrity
Key
Preconfigured Boot device
Plain-text
Verification of
firmware integrity in
the firmware integrity
test using RSA public
key (firmware
integrity test)
By erasing the boot
device and power
cycling the module
HTTPS/TLS
Server/Host Key
Preconfigured Boot device
Plain-text
RSA private key used
in the HTTPS/TLS
protocols (key
establishment)
By erasing the boot
device and power
cycling the module
HTTPS/TLS
Session
Authentication
Key
Automatic SDRAM
Plain-text
HMAC SHA-1, -256
or -384 key used for
HTTPS/TLS session
authentication
By erasing the boot
device and power
cycling the module
HTTPS/TLS
Session
Encryption Key
Automatic SDRAM
Plain-text
AES or Triple-DES
key used for
HTTPS/TLS session
encryption
By erasing the boot
device and power
cycling the module
SSH Server/Host
Key
Preconfigured Boot device
Plain-text
RSA private key used
in the SSH protocol
(key establishment)
By erasing the boot
device and power
cycling the module
SSH Session
Authentication
Key
Automatic SDRAM
Plain-text
HMAC SHA-1 or
HMAC SHA-256 key
used for SSH session
authentication
By erasing the boot
device and power
cycling the module
SSH Session
Encryption Key
Automatic SDRAM
Plain-text
AES or Triple-DES
key used for SSH
session encryption
By erasing the boot
device and power
cycling the module
Table 12: Cryptographic Keys and Critical Security Parameters used in FIPS-CC mode
Key or CSP Generation Storage Usage Zeroization
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Note: The Generation column lists all of the keys/CSPs and their entry/generation methods. Manual
entered keys are entered by the operator electronically (as defined by FIPS) using the console or a
management computer. Pre-configured keys are set as part of the firmware (hardcoded) and are not
operator modifiable. Automatic keys are generated as part of the associated protocol.
Alternating Bypass Feature
The primary cryptographic function of the module is as a firewall and VPN device. The
module implements two forms of alternating bypass for VPN traffic: policy based (for
IPSec and SSL VPN) and interface based (for IPSec VPN only).
Policy Based VPN
Firewall policies with an action of IPSec or SSL-VPN mean that the firewall is functioning
as a VPN start/end point for the specified source/destination addresses and will
encrypt/decrypt traffic according to the policy. Firewall policies with an action of allow
mean that the firewall is accepting/sending plaintext data for the specified
source/destination addresses.
A firewall policy with an action of accept means that the module is operating in a bypass
state for that policy. A firewall policy with an action of IPSec or SSL-VPN means that the
module is operating in a non-bypass state for that policy.
Crypto Officer
Password
Manual Boot device
SHA-1 hash
Used to authenticate
operator access to
the module
By erasing the boot
device and power
cycling the module
Configuration
Integrity Key
Preconfigured Boot device
Plain-text
HMAC SHA-256
hash used for
configuration integrity
test
By erasing the boot
device and power
cycling the module
Configuration
Encryption Key
Automatic Boot device
Plain-text
AES key used to
encrypt CSPs on the
Boot device and in
the backup
configuration file
(except for crypto
officer passwords in
the backup
configuration file)
By erasing the boot
device and power
cycling the module
Configuration
Backup Key
Automatic Boot device
Plain-text
HMAC SHA-256 key
used to encrypt
crypto officer
passwords in the
backup configuration
file
By erasing the boot
device and power
cycling the unit
Network User
Password
Manual Boot device
SHA-1 hash
Used to authenticate
network access to the
module
By erasing the boot
device and power
cycling the unit
HA Password Manual Boot device
AES encrypted
Used to authenticate
FortiGate units in an
HA cluster
By erasing the boot
device and power
cycling the unit
HA Encryption
Key
Manual Boot device
AES encrypted
Encryption of traffic
between units in an
HA cluster using AES
By erasing the boot
device and power
cycling the unit
Table 12: Cryptographic Keys and Critical Security Parameters used in FIPS-CC mode
Key or CSP Generation Storage Usage Zeroization
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC)
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Interface Based VPN
Interface based VPN is supported for IPSec only. A virtual interface is created and any
traffic routed to the virtual interface is encrypted and sent to the VPN peer. Traffic received
from the peer is decrypted. Traffic through the virtual interface is controlled using firewall
policies. However, unlike policy based VPN, the action is restricted to Accept or Deny and
all traffic controlled by the policy is encrypted/decrypted.
When traffic is routed over the non-virtual interfaced, the module is operating in a bypass
state. When traffic is routed over the virtual interface, the module is operating in a non-
bypass state.
In both cases, two independent actions must be taken by a CO to create bypass firewall
policies: the CO must create the bypass policy and then specifically enable that policy.
Key Archiving
The module supports key archiving to a management computer as part of the module
configuration file backup. Operator entered keys are archived as part of the module
configuration file. The configuration file is stored in plain text, but keys in the configuration
file are either AES encrypted using the Configuration Encryption Key or stored as a keyed
hash using HMAC SHA-256 using the Configuration Backup Key.
Electromagnetic Interference/Electromagnetic Compatibility
(EMI/EMC)
The modules comply with EMI/EMC +requirements for Class A or B devices as specified
by Part 15, Subpart B, of the FCC rules. The following table lists the specific lab and report
information for the modules.
Mitigation of Other Attacks
The module includes a real-time Intrusion Prevention System (IPS) as well as antivirus
protection, antispam and content filtering. Use of these capabilities is optional.
The FortiOS IPS has two components: a signature based component for detecting attacks
passing through the FortiGate appliance and a local attack detection component that
protects the firewall from direct attacks. Functionally, signatures are similar to virus
definitions, with each signature designed to detect a particular type of attack. The IPS
signatures are updated through the FortiGuard IPS service. The IPS engine can also be
updated through the FortiGuard IPS service.
Table 13: FCC Report Information
Module Lab Information FCC Report
Number
FG-5001D The module is declared to conform with EMI/EMC
requirements for Class A devices as specified by
Part 15, Subpart B, of the FCC rules.
N/A
FG-5140B MET Labs
3162 Belick St.
Santa Clara, CA 95054 CA
(408) 748-3585
EMCS34777
FIPS 140-2 Compliant Operation
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FortiOS antivirus protection removes and optionally quarantines files infected by viruses
from web (HTTP), file transfer (FTP), and email (POP3, IMAP, and SMTP) content as it
passes through the FortiGate modules. FortiOS antivirus protection also controls the
blocking of oversized files and supports blocking by file extension. Virus signatures are
updated through the FortiGuard antivirus service. The antivirus engine can also be
updated through the FortiGuard antivirus service.
FortiOS antispam protection tags (SMTP, IMAP, POP3) or discards (SMTP only) email
messages determined to be spam. Multiple spam detection methods are supported
including the FortiGuard managed antispam service.
FortiOS web filtering can be configured to provide web (HTTP) content filtering. FortiOS
web filtering uses methods such as banned words, address block/exempt lists, and the
FortiGuard managed content service.
Whenever a IPS, antivirus, antispam or filtering event occurs, the modules can record the
event in the log and/or send an alert email to an operator.
For complete information refer to the FortiGate Installation Guide for the specific module in
question, the FortiGate Administration Guide and the FortiGate IPS Guide.
FIPS 140-2 Compliant Operation
FIPS 140-2 compliant operation requires both that you use the module in its FIPS-CC
mode of operation and that you follow secure procedures for installation and operation of
the FortiGate unit. You must ensure that:
• The FortiGate unit is configured in the FIPS-CC mode of operation.
• The FortiGate unit is installed in a secure physical location.
• Physical access to the FortiGate unit is restricted to authorized operators.
• The Fortinet entropy token is used to seed the RBG.
• The Fortinet entropy token remains in the USB port during operation
• Administrative passwords are at least 8 characters long.
• Administrative passwords are changed regularly.
• Administrator account passwords must have the following characteristics:
• One (or more) of the characters must be capitalized
• One (or more) of the characters must be numeric
• One (or more) of the characters must be non alpha-numeric (e.g. punctuation mark)
• Administration of the module is permitted using only validated administrative methods.
These are:
• Console connection
• Web-based manager via HTTPS
• Command line interface (CLI) access via SSH
• Diffie-Hellman groups of less than 2048 bits are not used.
• Client side RSA certificates must use 2048 bit or greater key sizes.
• Only approved and allowed algorithms are used (see “Algorithms” on page 16).
The module can be used in either of its two operation modes: NAT/Route or Transparent.
NAT/Route mode applies security features between two or more different networks (for
example, between a private network and the Internet). Transparent mode applies security
features at any point in a network. The current operation mode is displayed on the web-
based manager status page and in the output of the get system status CLI
command.
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Enabling FIPS-CC mode
To enable the FIPS 140-2 compliant mode of operation, the operator must execute the
following command from the Local Console:
config system fips-cc
set entropy-token enable
set status enable
end
The Operator is required to supply a password for the admin account which will be
assigned to the Crypto Officer role.
The supplied password must be at least 8 characters long and correctly verified before the
system will restart in FIPS-CC mode.
Upon restart, the module will execute self-tests to ensure the correct initialization of the
module’s cryptographic functions.
After restarting, the Crypto Officer can confirm that the module is running in FIPS-CC
mode by executing the following command from the CLI:
get system status
If the module is running in FIPS-CC mode, the system status output will display the line:
FIPS-CC mode: enable
Self-Tests
The module executes the following self-tests during startup and initialization:
• Firmware integrity test using RSA signatures
• Configuration/VPN bypass test using HMAC SHA-256
• Triple-DES, CBC mode, encrypt known answer test
• Triple-DES, CBC mode, decrypt known answer test
• AES, CBC mode, encrypt known answer test
• AES, CBC mode, decrypt known answer test
• HMAC SHA-1 known answer test
• SHA-1 known answer test (tested as part of HMAC SHA-1 known answer test)
• HMAC SHA-256 known answer test
• SHA-256 known answer test (tested as part of HMAC SHA-256 known answer test)
• RSA signature generation known answer test
• RSA signature verification known answer test
• DRBG known answer test
The results of the startup self-tests are displayed on the console during the startup
process. The startup self-tests can also be initiated on demand using the CLI command
execute fips kat all (to initiate all self-tests) or execute fips kat <test> (to initiate a
specific self-test).
When the self-tests are run, each implementation of an algorithm is tested - e.g. when the
AES self-test is run, all AES implementations are tested.
The module executes the following conditional tests when the related service is invoked:
• Continuous NDRNG test
• Continuous DRBG test
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• RSA pairwise consistency test
• Configuration integrity test using HMAC SHA-256
• Firmware load test using RSA signatures
If any of the self-tests or conditional tests fail, the module enters an error state as shown
by the console output below:
Self-tests failed
Entering error mode...
The system is going down NOW !!
The system is halted.
All data output and cryptographic services are inhibited in the error state.