FIPS 140-2 Non-Proprietary Security Policy
FortiGate-1101E/2000E/2201E/2500E/3301E
FortiGate-1101E/2000E/2201E/2500E/3301E FIPS 140-2 Non-Proprietary Security Policy
Document Version: 2.3
Publication Date: Thursday, April 6, 2023
Description: Documents FIPS 140-2 Level 2 Security Policy issues, compliancy and requirements for FIPS
compliant operation.
Firmware Version: FortiOS 6.2 build 5203
Hardware Version: FortiGate-1101E (C1AJ13) with
Tamper Evident Seal Kit: FIPS-
SEAL-RED
FortiGate-2201E(C1AH54) with
Tamper Evident Seal Kit: FIPS-
SEAL-RED
FortiGate-3301E (C1AJ38) with
Tamper Evident Seal Kit: FIPS-
SEAL-RED
FortiGate-2000E (C1AF49) with
Tamper Evident Seal Kit: FIPS-
SEAL-RED
FortiGate-2500E (C1AF51) with
Tamper Evident Seal Kit: FIPS-
SEAL-RED
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FortiGate-1101E/2000E/2201E/2500E/3301E FIPS 140-2 Non-Proprietary Security Policy
01-600-582612-20190913
This document may be freely reproduced and distributed whole and intact when including the copyright notice found on the
last page of this document.
TABLE OF CONTENTS
Overview 4
References 4
Introduction 5
Security Level Summary 6
Module Descriptions 7
Cryptographic Module Ports and Interfaces 7
FortiGate-1101E 9
FortiGate-2000E 11
FortiGate-2201E 12
FortiGate-2500E 14
FortiGate-3301E 15
Web-Based Manager 16
Command Line Interface 17
Roles, Services and Authentication 17
Roles 17
FIPS Approved Services 17
Non-FIPS Approved Services 20
Authentication 20
Physical Security 21
Operational Environment 24
Cryptographic Key Management 25
Random Number Generation 25
Entropy 25
Key Zeroization 25
Algorithms 25
Cryptographic Keys and Critical Security Parameters 28
Alternating Bypass Feature 33
Key Archiving 33
Mitigation of Other Attacks 33
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) 35
FIPS 140-2 Compliant Operation 36
Enabling FIPS-CC Mode 37
Self-Tests 38
Startup and Initialization Self-tests 38
Conditional Self-tests 38
Critical Function Self-tests 39
Error State 39
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Overview 4
Overview
This document is a FIPS 140-2 Security Policy for Fortinet's FortiGate-1101E, 2000E, 2201E, 2500E and 3301E
Next Generation Firewalls. This policy describes how the FortiGate-1101E, 2000E, 2201E, 2500E and 3301E
(hereafter referred to as the ‘modules’) 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 FIPS 140-2 Level 2 validation of the
modules.
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 https://docs.fortinet.com.
Additional information on the entire Fortinet product line can be obtained from the following sources:
l Find general product information in the product section of the Fortinet corporate website at
https://www.fortinet.com/products.
l Find on-line product support for registered products in the technical support section of the Fortinet corporate
website at https://www.fortinet.com/support.
l Find contact information for technical or sales related questions in the contacts section of the Fortinet corporate
website at https://www.fortinet.com/contact.
l Find security information and bulletins in the FortiGuard Center of the Fortinet corporate website at
https://www.fortiguard.com.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Introduction 5
Introduction
The FortiGate family of Next Generation Firewalls 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.
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 1.1 and 1.2.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Security Level Summary 6
Security Level Summary
The modules meet the overall requirements for a FIPS 140-2 Level 2 validation.
Table 1: Summary of FIPS security requirements and compliance levels
Security Requirement Compliance Level
Cryptographic Module Specification 2
Cryptographic Module Ports and Interfaces 2
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 2
Mitigation of Other Attacks 2
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 7
Module Descriptions
The modules are multiple chip, standalone cryptographic modules consisting of production grade components
contained in a physically protected enclosure in accordance with FIPS 140-2 Level 2 requirements. The extent
of the cryptographic boundary for all modules is the outer metal chassis.
The modules have a similar appearance and perform the same functions, but have different numbers and types
of network interfaces in order to support different network configurations:
l The FortiGate-1101E has 36 network interfaces with status LEDs for each network interface (18x
10/100/1000 Base-T, 8x 1GB SFP, 4x 10GB SFP+, 4x 25GB SFP28, 2x 40GB QSFP+).
l The FortiGate-2000E has 40 network interfaces with status LEDs for each network interface (34x
10/100/1000 Base-T, 6x 10GB SFP+).
l The FortiGate-2201E has 38 network interfaces with status LEDs for each network interface (14x
10/100/1000 Base-T, 20x 10GB SFP+/25GB SFP28, 4x 40GB QSFP+).
l The FortiGate-2500E has 44 network interfaces with status LEDs for each network interface (34x
10/100/1000 Base-T, 8x 10GB SFP+, 2x 10GB LC).
l The FortiGate-3301E has 38 network interfaces with status LEDs for each network interface (18x
10/100/1000 Base-T, 16x 10GB SFP+/25GB SFP28, 4x 40GB QSFP+).
The FortiGate-1101E, 2000E, 2201E and 2500E have one x86 compatible CPU.
The FortiGate-3301E has two x86 compatible CPUs.
The modules are 2U rackmount devices.
The FortiGate-2000E and FortiGate-2500E both contain removable power supplies. These power supplies are
excluded from the requirements of FIPS-140-2, as they perform no relevant security function.
All of the modules use the FortiASIC CP9 as the entropy source.
The validated firmware version is FortiOS 6.2 build 5203.
Any firmware loaded into this module that is not shown on the module certificate, is out of the scope of this
validation and requires a separate FIPS 140-2 validation.
Figures 1 to 5 are representative of the modules tested.
Cryptographic Module Ports and Interfaces
All of the modules have status LEDs as described in the following table:
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 8
Table 2: Module Status LEDs
LED State Description
Power Green The module is powered on.
Off The module is powered off.
Status Green The module is running normally.
Flashing The module is starting up.
Off The module is powered off.
HA Green HA is enabled.
Off The unit is in standalone mode.
Alarm Red The unit has a major alarm.
Amber The unit has a minor alarm.
Off The unit is operating normally.
Ethernet Ports Link/ACT Green Port is connected.
Flashing Port is sending/receiving data.
Off No link established.
Speed Green Connected at 1000 Mbps.
Amber Connected at 100 Mbps
Off Connected at 10 Mbps
SFP/SFP+/SFP28/QSFP Ports Green Port is connected.
Flashing Port is sending/receiving data.
Off No link established.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 9
FortiGate-1101E
Figure 1 - FortiGate-1101E Front and Rear Panels
Table 3: FortiGate-1101E Connectors and Ports
Connector Type Speed
Supported Logical Inter-
faces
Description
MGMT and
HA Ports
RJ-45 10/100/1000
Base-T
Data input, data output,
control input, and status
output
Gigabit connection to
10/100/1000 copper
networks.
Ports 1-16 RJ-45 10/100/1000
Base-T
Data input, data output,
control input, and status
output
Gigabit connection to
10/100/1000 copper
networks.
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Module Descriptions 10
Connector Type Speed
Supported Logical Inter-
faces
Description
Ports 17-24 SFP 1 Gbps Data input, data output,
control input, and status
output
Multimode fiber optic
connections to gigabit
optical networks.
Ports 25-28 SFP+ 10 Gbps Data input, data output,
control input, and status
output
Multimode fiber optic
connections to gigabit
optical networks.
Ports 29-32 SFP28 25 Gbps Data input, data output,
control input, and status
output
Multimode fiber optic
connections to gigabit
optical networks.
Ports 33-34 QSFP+ 40 Gbps Data input, data output,
control input, and status
output
Multimode fiber optic
connections to gigabit
optical networks.
USB Port USB-A N/A Data input, data output Configuration loading and
archiving.
Console Port RJ-45 9600 bps Control input, status output
Optional connection to the
management computer.
Provides access to the
command line interface
(CLI).
AC Power N/A N/A Power 120/240VAC power
connection.
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Module Descriptions 11
FortiGate-2000E
Figure 2 - FortiGate-2000E Front and Rear Panels
Table 4: FortiGate-2000E Connectors and Ports
Connector Type Speed
Supported Logical Inter-
faces
Description
MGMT Ports RJ-45 10/100/1000
Base-T
Data input, data output, control
input, and status output
Gigabit connection to
10/100/1000 copper
networks.
Ports 1-32 RJ-45 10/100/1000
Base-T
Data input, data output, control
input, and status output
Gigabit connection to
10/100/1000 copper
networks.
Ports 33-38 SFP+ 10 Gbps Data input, data output, control
input, and status output
Multimode fiber optic
connections to gigabit
optical networks.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 12
Connector Type Speed
Supported Logical Inter-
faces
Description
USB Port USB-A N/A Data input, data output Configuration loading and
archiving.
Console Port RJ-45 9600 bps Control input, status output Optional connection to the
management computer.
Provides access to the
command line interface
(CLI).
AC Power N/A N/A Power 120/240VAC power
connection.
FortiGate-2201E
Figure 3 - FortiGate-2201E Front and Rear Panels
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Module Descriptions 13
Table 5: FortiGate-2201E Connectors and Ports
Connector Type Speed
Supported Logical Inter-
faces
Description
MGMT Ports RJ-45 10/100/1000
Base-T
Data input, data output,
control input, and status
output
Gigabit connection to
10/100/1000 copper
networks.
Ports 1-12 RJ-45 10/100/1000
Base-T
Data input, data output,
control input, and status
output
Gigabit connection to
10/100/1000 copper
networks.
Ports 13-30 SFP+/SFP28 10/25 Gbps Data input, data output,
control input, and status
output
Multimode fiber optic
connections to gigabit
optical networks.
HA Ports SFP+/SFP28 10/25 Gbps Data input, data output,
control input, and status
output
Multimode fiber optic
connections to gigabit
optical networks.
Ports 31-34 QSFP+ 40 Gbps Data input, data output,
control input, and status
output
Multimode fiber optic
connections to gigabit
optical networks.
USB Port USB-A N/A Data input, data output Configuration loading
and archiving.
Console Port RJ-45 9600 bps Control input, status
output
Optional connection to
the management
computer. Provides
access to the command
line interface (CLI).
AC Power N/A N/A Power 120/240VAC power
connection.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 14
FortiGate-2500E
Figure 4 - FortiGate-2500E Front and Rear Panels
Table 6: FortiGate-2500E Connectors and Ports
Connector Type Speed
Supported Logical Inter-
faces
Description
MGMT Ports RJ-45 10/100/1000
Base-T
Data input, data output, control
input, and status output
Gigabit connection to
10/100/1000 copper
networks.
Ports 1-32 RJ-45 10/100/1000
Base-T
Data input, data output, control
input, and status output
Gigabit connection to
10/100/1000 copper
networks.
Ports 33-42 SFP+ 10 Gbps Data input, data output, control
input, and status output
Multimode fiber optic
connections to gigabit
optical networks.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 15
Connector Type Speed
Supported Logical Inter-
faces
Description
Ports 43-44 LC 10 Gbps
Data input, data output, control
input, and status output
Multimode fiber optic
connections to gigabit
optical networks.
USB Port USB-A N/A Data input, data output Configuration loading and
archiving.
Console Port RJ-45 9600 bps Control input, status output Optional connection to the
management computer.
Provides access to the
command line interface
(CLI).
AC Power N/A N/A Power 120/240VAC power
connection.
FortiGate-3301E
Figure 5 - FortiGate-3301E Front and Rear Panels
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 16
Table 7: FortiGate-3301E Connectors and Ports
Connector Type Speed
Supported Logical Inter-
faces
Description
MGMT Ports RJ-45 10/100/1000
Base-T
Data input, data output,
control input, and status
output
Gigabit connection to
10/100/1000 copper
networks.
Ports 1-12 RJ-45 10/100/1000
Base-T
Data input, data output,
control input, and status
output
Gigabit connection to
10/100/1000 copper
networks.
Ports 13-16 RJ-45 10 Gbs Data input, data output,
control input, and status
output
Gigabit connection to
10G copper networks.
Ports 17-30 SFP+/SFP28 10/25 Gbps Data input, data output,
control input, and status
output
Multimode fiber optic
connections to gigabit
optical networks.
HA Ports SFP+/SFP28 10/25 Gbps Data input, data output,
control input, and status
output
Multimode fiber optic
connections to gigabit
optical networks.
Ports 31-34 QSFP+ 40 Gbps
Data input, data output,
control input, and status
output
Multimode fiber optic
connections to gigabit
optical networks.
USB Port USB-A N/A Data input, data output Configuration loading
and archiving.
Console Port RJ-45 9600 bps Control input, status
output
Optional connection to
the management
computer. Provides
access to the command
line interface (CLI).
AC Power N/A N/A Power 120/240VAC power
connection.
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) 1.1 or 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-CC mode and is disabled.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 17
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-CC mode). Telnet access to the CLI is not allowed
in FIPS-CC mode and is disabled.
Roles, Services and Authentication
Roles
When configured in FIPS-CC mode, the module provides the following roles:
l Crypto Officer
l Network User
The Crypto Officer role is initially assigned to the default ‘admin’ operator account. The Crypto Officer role has
read-write-execute 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-execute 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.
FIPS Approved Services
The module does not utilize non-compliant NIST SP-800-56Ar3 functionality in the approved mode of operation.
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
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Module Descriptions 18
Table 8: Services available to Crypto Officers
Service Access Key/CSP
connect to module locally using the
console port
WE N/A
connect to module remotely using TLS* WE Diffie-Hellman Keys, EC Diffie Hellman
Keys,TLS Premaster Secret, TLS Master
Secret, HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Integrity Key, and
HTTPS/TLS Session Encryption Key, DRBG
v and key values, DRBG Output, DRBG
Seed, NDRNG Output String, TLS Server
Signatures
connect to module remotely using SSH* WE Diffie-Hellman Keys, SSH Server/Host Key,
SSH Session Authentication Key, SSH
Session Encryption Key, DRBG v and key
values, DRBG Output, DRBG Seed, NDRNG
Output String
authenticate to module WE Crypto Officer Password
show system status N/A N/A
show FIPS-CC mode enabled/disabled
(console/CLI only)
N/A N/A
enable FIPS-CC mode of operation
(console only)
WE Configuration Integrity Key
key zeroization W All Keys
execute factory reset (disable FIPS-CC
mode, console/CLI only)
W N/A
execute FIPS-CC on-demand self-tests
(console only)
E Configuration Integrity Key, Firmware
Integrity Key
add/delete crypto officers and network
users
WE Crypto Officer Password, Network User
Password
set/reset crypto officers and network user
passwords
WE Crypto Officer Password, Network User
Password
backup/restore configuration file RWE Configuration Encryption Key, Configuration
Backup Key
read/set/delete/modify module
configuration*
N/A N/A
execute firmware update WE Firmware Update Key
read log data N/A N/A
delete log data (console/CLI only) N/A N/A
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 19
Service Access Key/CSP
execute system diagnostics (console/CLI
only)
N/A N/A
enable/disable alternating bypass mode N/A N/A
read/set/delete/modify IPsec/SSL VPN
configuration*
W IPsec: IPsec Manual Authentication Key,
IPsec Manual Encryption Key, IKE Pre-
Shared Key, IKE RSA Key, IKE ECDSA Key,
Diffie-Hellman Keys, EC Diffie-Hellman Keys
SSL: HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Integrity Key,
HTTPS/TLS Session Encryption Key
read/set/modify HA configuration WE HA Password, HA Encryption Key
log offloading to remote FortiAnalyzer
device*
E OFTP Client Key, Diffie-Hellman Keys, EC
Diffie-Hellman Keys, TLS Premaster Secret,
TLS Master Secret, HTTPS/TLS Session
Integrity Key, HTTPS/TLS Session
Encryption Key, HTTPS/TLS Server/Host
Key, DRBG v and key values, DRBG Output,
DRBG Seed, NDRNG Output String
generate CSR with RSA or ECDSA WE RSA keys, ECDSA keys
Table 9: Services available to Network Users in FIPS-CC mode
Service/CSP Access Key/CSP
connect to module remotely using TLS* WE Diffie-Hellman Keys, EC Diffie-Hellman Keys,
TLS Premaster Secret, TLS Master Secret,
HTTPS/TLS Server/Host Key, HTTPS/TLS
Session Integrity Key, HTTPS/TLS Session
Encryption Key, DRBG v and key values,
DRBG Output, DRBG Seed, NDRNG Output
String, TLS Server Signatures
authenticate to module WE Network User Password
IPsec VPN controlled by firewall policies* E IPsec: IPsec Manual Authentication Key,
IPsec Manual Encryption Key, IPsec Session
Authentication Key, IPsec Session
Encryption Key, IKE Pre-Shared Key, IKE
RSA Key, IKE ECDSA Key, IKE SKEYSEED,
IKE Authentication Key, IKE Key Generation
Key, IKE Session Encryption Key, Diffie-
Hellman Keys, EC Diffie-Hellman Keys
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Module Descriptions 20
Service/CSP Access Key/CSP
SSL VPN controlled by firewall policies* E Network User Password, Diffie-Hellman
Keys, EC Diffie-Hellman Keys, TLS
Premaster Secret, TLS Master Secret,
HTTPS/TLS Server/Host Key, HTTPS/TLS
Session Integrity Key, HTTPS/TLS Session
Encryption Key, DRBG v and key values,
DRBG Output, DRBG Seed, NDRNG Output
String
Non-FIPS Approved Services
The module also provides the following non-FIPS approved services:
l Configuration backups using password protection
l L2TP and PPTP VPN
l Services marked with an asterisk (*) in Tables 8 and 9 are considered non-approved when using the following
algorithms:
l Non-compliant-strength Diffie-Hellman
The above services shall not be used in the FIPS approved mode of operation.
Authentication
The module implements identity based authentication. Crypto Officers must authenticate with a user-id and
password combination to access the modules remotely or locally via the console. Remote Crypto Officer
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.
Authentication at level 3 is only applicable when identity-based authentication is enforced for the User role.
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.
The minimum password length is 8 characters when in FIPS-CC mode (maximum password length is 32
characters) chosen from the set of ninety four (94) characters. New passwords are required to include 1
uppercase character, 1 lowercase character, 1 numeric character, and 1 special character. The odds of
guessing a password are 1 in 3,346,172,314,938,369 which is significantly lower than one in a million.
Note that Crypto Officer 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 3,346,172,314,938,369 which is less than 1/100,000.
Crypto Officer 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
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 21
would be no more than 108,000 passwords attempts per minute. Therefore the probability of success would be
1/({3,346,172,314,938,369}/108,000) which is less than 1/100,000.
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, IKE RSA key (RSA certificate) or IKE ECDSA key (ECDSA certificate). The odds of
guessing the authentication key for each IPsec method is:
l 1 in 16^40 for the IPsec Manual Authentication key (based on a 40 digit, hexadecimal key)
l 1 in 94^8 for the IKE Pre-shared Key (based on an 8 character, ASCII printable key)
l 1 in 2^112 for the IKE RSA Key (based on a 2048 bit RSA key size)
l 1 in 2^128 for the IKE ECDSA Key (based on a P-256 curve ECDSA key size)
A gigabit ethernet connection is 1,048,576,000 bits per second which is 62,914,560,000 bits per minute. An 8-
byte key would have 64 bits, so there could be no more than 983,040,000 password attempts per minute.
Therefore, the minimum odds of guessing the IKE Preshared key for IPSec within a one-minute period is 1 in
94^8/983,040,000 which is less than 1 in 100,000. Similarly, for the IPsec Manual Authentication key, the
minimum odds of Network Users guessing the key within a minute would be 1 in 16^40/393,216,000. Guessing
the IKE RSA key within a minute would be 1 in 2^112/561,737,143. Guessing the IKE ECDSA key within a
minute would be 1 in 2^128/491,520,000.
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 tamper-evident seals shall be installed for the module to operate in a FIPS
Approved mode of operation. All Networking devices need tamper-evident seals to meet the FIPS 140-2 Level 2
Physical Security requirements.
The seals are red wax/plastic with black lettering that reads “Fortinet Security Seal”.
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 responsible for securing and controlling any unused seals. The Crypto Office is also
responsible for the direct control and observation of any changes to the modules such as reconfigurations
where the tamper-evident seals are removed or installed to ensure the security of the module is maintained
during such changes and ensuring the module is returned to a FIPS approved state.
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:
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Module Descriptions 22
l All of the modules use either one or three seals to secure the external enclosure (see Figures below).
Figure 6 - FortiGate-2000E and 2500E external enclosure seal, top, right side
Figure 7 - FortiGate-1101E external enclosure seal, top, left side
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Module Descriptions 23
Figure 8 - FortiGate-1101E external enclosure seals, bottom, rear
Figure 9 - FortiGate-2201E and 3301E external enclosure seal, left side, top
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Module Descriptions 24
Figure 10 - FortiGate-2201E and 3301E external enclosure seal, left side, back
Figure 11 - FortiGate-2201E and 3301E external enclosure seal, right side, back
Operational Environment
The modules consist of the combination of the FortiOS operating system and the FortiGate appliances. The
FortiOS operating system can only be installed, and run, on a FortiGate appliance. The FortiOS operating
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Module Descriptions 25
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.
Entropy
The module uses the Fortinet's CP9 Security Processor to seed the DRBG during the modules’ boot process
and to periodically reseed the DRBG. The CP9 is used by default as the FortiOS entropy source - i.e. no
configuration changes are required.
Entropy Strength
The entropy loaded into the approved AES-256 bit DRBG is 256 bits. The entropy source is over-seeded and
then an HMAC-SHA-256 post-conditioning component (as per section 6.4 of SP 800-90B) is applied.
Reseed Period
The RBG is seeded from the CP9 Security Processor during the boot process and then reseeded periodically.
The default reseed period is once every 24 hours (1440 minutes) and is configurable (1 to 1440 minutes).
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 ?
Algorithms
Table 10: FIPS approved algorithms
Algorithm NIST Cert Number
CTR DRBG (NIST SP 800-90A) with AES 256 bits C1573
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Module Descriptions 26
Algorithm NIST Cert Number
AES in CBC mode (128, 192, and 256 bits) (192 bits for
C1578 only)
C1549, C1575, C1578
AES in GCM mode (128, 256 bits) C1575, C1576, C1578
SHA-1 C1575, C1576, C1578
SHA-224 A1187
SHA-256 C1575, C1576, C1578
SHA-384 C1575, C1576, C1578
SHA-512 C1575, C1576, C1578
HMAC SHA-1 C1575, C1576, C1578
HMAC SHA-256 C1575, C1576, C1578
HMAC SHA-384 C1575, C1576, C1578
HMAC SHA-512 C1575, C1576, C1578
RSA PKCS 1.5
Key Pair Generation: 2048 and 3072-bit (** C1576,
C1578 only)
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
C1576, C1578, A1252
RSA PSS
Signature Generation: 2048 and 3072-bit
Signature Verification: 1024, 2048 and 3072-bit
A1187
ECDSA
Key Pair Generation: curve P-256
C1575, C1576, C1578
ECDSA
Key Pair Generation: curve P-384
C1575, C1578
ECDSA
Key Pair Generation: curve P-521
C1575, C1576, C1578
ECDSA
Signature Generation: curves P-256, P-384 and P-
521
C1575, C1576, C1578
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Module Descriptions 27
Algorithm NIST Cert Number
ECDSA
Signature Verification: curves P-256, P-384 and P-
521
C1575, C1576, C1578
CVL (KDF SSH) - AES 128 bit-, AES 256 bit -CBC (using
SHA1, SHA-256)
C1576
CVL (KDF TLS 1.1 and 1.2 (using SHA-256, SHA-384)) C1576, C1578
CVL (KDF TLS 1.1 and 1.2 (using SHA-512)) C1578
CVL (KDF IKE v1 (using SHA-1, SHA2-256, SHA2-384,
SHA2-512))
C1575, C1578
CVL (KDF IKE v2 (using SHA-1, SHA2-256, SHA2-384,
SHA2-512))
C1575, C1578
CVL (ECDSA SigGen Component: Curves P-256, P-384 and
P-521)
C1575, C1576, C1578
KAS-ECC-SSC SP-800-56Ar3: Scheme ephemeralUnified.
curves P-256, P-384, and P-521
A1187
KAS-FFC-SSC SP-800-56Ar3: Scheme dhEphem: FC A1187
CVL (KDF SNMP) - Password length: 64 - 128 C1576
KTS (AES Cert. #C1549 and HMAC Cert. #C1576; key establishment methodology provides 128 or 256 bits of
encryption strength). The relevant mode is AES-CBC with HMAC.
KTS (AES Cert. #C1576; key establishment methodology provides 128 or 256 bits of encryption strength). The
relevant mode is AES-GCM.
KAS-ECC-SSC SP-800-56Ar3 (Cert. #A1187; provides between 128 and 256 bits of encryption strength).
KAS-FFC-SSC SP-800-56Ar3 (Cert. #A1187; provides between 112 and 196 bits of encryption strength).
For AES GCM IPsec/IKEv2, RFC 7296 is used to establish the shared secret SKEYSEED from which the AES
GCM encryption keys are derived.
Table 11: FIPS allowed algorithms
Algorithm
NDRNG (FortiASIC CP9)
Table 12: Non-FIPS approved algorithms
Algorithm
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.
4096-bit RSA signature generation is non-compliant.
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Module Descriptions 28
Algorithm
The following ECC curves shall not be used in the Approved mode of operation: brainpoolP224r1,
brainpoolP256r1, brainpoolP384r1, brainpoolP512r1, Curve25519 and Curve448.
Note that the IKE, SSH, SNMP, and TLS protocols, other than the KDF, have not been tested by the CMVP or
CAVP as per FIPS 140-2 Implementation Guidance D.11.
The module is compliant to IG A.5: GCM is used in the context of TLS and IKEv2/IPSec.
For TLS, The GCM implementation is used in a manner compliant with SP 800-52, and in accordance with RFC
5246 for TLS key establishment. The AES GCM IV generation is in compliance with RFC 5288 and shall only be
used for the TLS protocol version 1.2. The cipher suites implemented in the module that utilize AES-GCM are
consistent with those specified in Section 3.3.1.1.2 of [SP800-52, Rev2]. During operational testing, the module
was tested against an independent version of TLS and found to behave correctly.
For IPsec/IKEv2, the GCM implementation meets Option 1 of IG A.5: it is used in a manner compliant with RFCs
4106 and 7296. During operational testing, the module was tested against an independent version of IPsec with
IKEv2 and found to behave correctly.
In case the module’s power is lost and then restored, the key used for the AES GCM encryption or decryption
shall be re-distributed.
There are algorithms, modes, and keys that have been CAVs tested but are not used by the module. Only the
algorithms, modes/methods, and key lengths/curves/moduli shown in the above tables are used by the module.
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 table.
Table 13: Cryptographic Keys and Critical Security Parameters used in FIPS-CC mode
Key or CSP Generation Storage Usage Zeroization
NDRNG output
string
NDRNG Boot device
Plain-text
Input string for the
entropy pool
By erasing the Boot
device and power
cycling the module
DRBG seed Internally
generated
SDRAM
Plain-text
256 bit seed used by the
DRBG (output from
NDRNG)
By erasing the Boot
device and power
cycling the module
DRBG output Internally
generated
SDRAM
Plain-text
Random numbers used
in cryptographic
algorithms (256 bits)
By erasing the Boot
device and power
cycling the module
DRBG v and key
values
Internally
generated
SDRAM
Plain-text
Internal state values for
the DRBG 128 and 256
By erasing the Boot
device and power
cycling the module
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Module Descriptions 29
Key or CSP Generation Storage Usage Zeroization
IPsec Manual
Authentication Key
Electronic key
entry
Boot device
AES
encrypted
Used as IPsec Session
Authentication Key
By erasing the Boot
device and power
cycling the module
IPsec Manual
Encryption Key
Electronic key
entry
SDRAM
Plain-text
Used as IPsec Session
Encryption Key using
AES (128, 256 bit)
By erasing the Boot
device and power
cycling the module
IPsec Session
Authentication Key
Internally
generated using
DRBG
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
Internally
generated via
DH or ECDH
KAS
SDRAM
Plain-text
VPN traffic
encryption/decryption
using AES (128, 256 bit)
By erasing the Boot
device and power
cycling the module
IKE SKEYSEED Derived via KDF
defined in
SP800-135
(IKEv2)
SDRAM
Plain-text
Used to generate IKE
protocol keys
By erasing the Boot
device and power
cycling the module
IKE Pre-Shared
Key
Electronic key
entry
Boot device
AES
encrypted
Used to generate IKE
protocol keys
By erasing the Boot
device and power
cycling the module
IKE Authentication
Key
Internally
generated using
DRBG
SDRAM
Plain-text
IKE peer-to-peer
authentication using
HMAC SHA-1 , -256, -
384 or -512
By erasing the boot
device and power
cycling the module
IKE Key
Generation Key
Internally
generated using
DRBG
SDRAM
Plain-text
IPsec SA keying
material
By erasing the boot
device and power
cycling the module
IKE Session
Encryption Key
Internally
generated via
DH or ECDH
KAS
SDRAM
Plain-text
Encryption of IKE peer-
to-peer key negotiation
using or AES (128, 256
bit)
By erasing the boot
device and power
cycling the module
IKE RSA Key Externally
generated
Boot device
Plain-text
RSA private key used in
the IKE protocol (2048
and 3072 bit signatures)
By erasing the boot
device and power
cycling the module
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Module Descriptions 30
Key or CSP Generation Storage Usage Zeroization
IKE ECDSA Key Externally
generated
Boot device
Plain-text
ECSDA private key used
in the IKE protocol
(signatures using P-256,
P-384 and P-521
curves)
By erasing the boot
device and power
cycling the module
Diffie-Hellman
Keys
Internally
generated using
DRBG
SDRAM
Plain-text
Key agreement and key
establishment (Public
key size of 2048 to 8192
bits with Private key size
of 224 to 400 bits)
By erasing the boot
device and power
cycling the module
EC Diffie-Hellman
Keys
Internally
generated using
DRBG
SDRAM
Plain-text
Key agreement and key
establishment (key pairs
on the curves
secp256r1, secp384r1
and secp521r1)
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, 2048
bit signature)
By erasing the boot
device and power
cycling the module
Firmware Integrity
Key
Preconfigured Boot device
Plain-text
Verification of firmware
integrity in the firmware
integrity test using RSA
public key (firmware
integrity test, 2048 bit
signature)
By erasing the boot
device and power
cycling the module
TLS Premaster
Secret
Internally
generated via
DH or ECDH
KAS
SDRAM
Plain-text
HTTPS/TLS keying
material
By erasing the boot
device and power
cycling the module
TLS Master Secret Internally
generated from
the TLS
Premaster
Secret
SDRAM
Plain-text
384 bit master key used
in the HTTPS/TLS
protocols
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, 2048 or
3072 bit)
By erasing the boot
device and power
cycling the module
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Module Descriptions 31
Key or CSP Generation Storage Usage Zeroization
HTTPS/TLS
Session Integrity
Key
Internally
generated using
DRBG
SDRAM
Plain-text
HMAC SHA-1, -256 or -
384 key used for
HTTPS/TLS session
integrity
By erasing the boot
device and power
cycling the module
TLS Server
Signatures
Preconfigured Boot device
Plain-text
rsa_pkcs1 & rsa_pss_
rsae signatures used in
TLS
By erasing the boot
device and power
cycling the module
HTTPS/TLS
Session Encryption
Key
Internally
generated via
DH or ECDH
KAS
SDRAM
Plain-text
AES (128, 256 bit) 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, 2048 or
3072 bit)
By erasing the boot
device and power
cycling the module
SSH Session
Authentication Key
Internally
generated using
DRBG
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
Internally
generated via
DH or ECDH
KAS
SDRAM
Plain-text
AES (128, 256 bit) key
used for SSH session
encryption
By erasing the boot
device and power
cycling the module
Crypto Officer
Password
Electronic key
entry
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
bypass test
By erasing the boot
device and power
cycling the module
Configuration
Encryption Key
Preconfigured Boot device
Plain-text
AES 256 bit 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
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Module Descriptions 32
Key or CSP Generation Storage Usage Zeroization
Configuration
Backup Key
Preconfigured Boot device
Plain-text
HMAC-SHA-256 key
used to hash crypto
officer passwords in the
backup configuration file
By erasing the boot
device and power
cycling the unit
Network User
Password
Electronic key
entry
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 Electronic key
entry
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 Externally
generated
Boot device
AES
encrypted
Encryption of traffic
between units in an HA
cluster using AES 128
bit key
By erasing the boot
device and power
cycling the unit
OFTP Client Key Externally
generated
Boot device
Plain-text
RSA private key used in
the OFTP/TLS protocol
(key establishment,
2048 bit signature)
By erasing the boot
device and power
cycling the module
RSA Keys Internally
generated using
DRBG
Boot device
Plain-text
RSA Key Pair from RSA
CSR generation
By erasing the boot
device and power
cycling the module
ECDSA Keys Internally
generated using
DRBG
Boot device
Plain-text
ECDSA Key Pair from
ECDSA CSR generation
By erasing the boot
device and power
cycling the module
Shared Secret "Z" Computed using
random inputs
and predefined
functions
SDRAM
Plain-text
SSC Shared Secret Z for
NIST SP 800-56Ar3
By erasing the boot
device and power
cycling the module
The Generation column lists all of the keys/CSPs and their
entry/generation methods. Electronically 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.
Externally generated keys are generated outside the module and loaded
by the operator electronically and are not compliant with SP 800-133
unless they were generated by another FIPS validated module.
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Module Descriptions 33
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.
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 interface, 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 internal actions must be taken to create a bypass firewall policies.
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.
Mitigation of Other Attacks
The module includes a real-time Intrusion Prevention System (IPS) as well as antivirus protection, web content
filtering, DNS filtering, application control and data leak prevention. 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.
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.
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Module Descriptions 34
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.
FortiOS DNS filtering can be configured to provide web content (HTTP/HTTPS) content filtering based on DNS
domain lookup. FortiOS DNS filtering uses the FortiGuard DNS database.
FortiOS application control can detect and take action against network traffic depending on the application
generating the traffic. FortiOS application control uses the FortiGuard application control database.
FortiOS data leak prevention is used to prevent sensitive data from leaving your network. After sensitive data
patterns are defined, data matching the patterns will either be blocked or logged and then allowed.
Whenever a IPS, antivirus, or other 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.
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Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) 35
Electromagnetic Interference/Electromagnetic
Compatibility (EMI/EMC)
The modules comply with EMI/EMC requirements for Class A 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.
FCC Report Information
Module Lab Information FCC Report Number
FG-1101E DEKRA Testing and Certification Co., Ltd.
No.372-2, Sec. 4, Zhongxing Rd.,
Zhudong Township, Hsinchu County 31061,
Taiwan
1940014R-
ITUSP01V00
FG-2000E Spectrum Research & Testing Lab., Inc.
No. 167, Ln. 780, Shan-Tong Rd., Ling 8,
Shan-Tong Li, Chung-Li City, Taoyuan County 320,
Taiwan
FCAA16012001-01
FG-2201E SPORTON INTERNATIONAL INC. EMC & Wireless
Communications Laboratory
No. 52, Huaya 1st Rd.,
Guishan Dist., Taoyuan City,
Taiwan
FD942531
FG-2500E Spectrum Research & Testing Lab., Inc.
No. 167, Ln. 780, Shan-Tong Rd., Ling 8,
Shan-Tong Li, Chung-Li City, Taoyuan County 320,
Taiwan
FCAA16012001-01
FG-3301E SPORTON INTERNATIONAL INC. EMC & Wireless
Communications Laboratory
No. 52, Huaya 1st Rd.,
Guishan Dist., Taoyuan City,
Taiwan
FD942531
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
FIPS 140-2 Compliant Operation 36
FIPS 140-2 Compliant Operation
The Fortinet hardware is shipped in a non-FIPS 140-2 compliant configuration. The following steps must be
performed to put the module into a FIPS compliant configuration:
1. Download the model specific FIPS validated firmware image and checksum from the Fortinet
Support site at https://support.fortinet.com/
2. Use a hashing utility on the downloaded firmware image to compare and verify the output against the
result from the checksum listing.
3. Install the FIPS validated firmware image from a TFTP server using the BIOS boot menu. To access
the BIOS boot menu, use the console connection and press any key when the "Press any key to
display the configuration menu" option is displayed during the boot process. Then select "[T]: Initiate
TFTP firmware transfer" and follow the instructions to complete the installation of the firmware image.
4. Enable the FIPS-CC mode of operation as per the "Enabling FIPS-CC Mode" section.
Additional information can be found in the FortiOS 6.0 and 6.2 "FIPS 140-2 and Common Criteria Technote"
that can be found on the Fortinet technical documentation website at https://docs.fortinet.com.
In addition, 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:
l The FortiGate unit is configured in the FIPS-CC mode of operation.
l The FortiGate unit is installed in a secure physical location.
l Physical access to the FortiGate unit is restricted to authorized operators.
l Administrative passwords are at least 8 characters long.
l Administrative passwords are changed regularly.
l Administrator account passwords must have the following characteristics:
l One (or more) of the characters must be capitalized
l One (or more) of the characters must be lower case
l One (or more) of the characters must be numeric
l One (or more) of the characters must be non alpha-numeric (e.g. punctuation mark)
l Administration of the module is permitted using only validated administrative methods. These are:
l Console connection
l Web-based manager via HTTPS
l Command line interface (CLI) access via SSH
l Diffie-Hellman groups of less than 2048 bits are not used.
l Client side RSA certificates must use 2048 bit or greater key sizes.
l Only approved and allowed algorithms are used.
l IPSec VPN tunnels using AES-GCM should be configured with a key lifetime of 98,000 KB to ensure a rekey after
a maximum of 2^16 encryptions.
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
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FIPS 140-2 Compliant Operation 37
is displayed on the web-based manager status page and in the output of the get system status CLI
command.
Once the FIPS validated firmware has been installed and the module properly configured in the FIPS-CC mode
of operation, the module is running in a FIPS compliant configuration. It is the responsibility of the CO to ensure
the module only uses approved algorithms and services to maintain the module in a FIPS Approved mode of
operation. Using any of the non-approved algorithms and services will mean that the module is operating in a
non-FIPS approved mode of operation for the duration of time that the non-approved algorithm or service is
being utilized. When switching back to the use of approved or allowed algorithms and services, the module is
considered to be operating in the approved mode again. This is not enforced by the module itself, but by this
policy. Prior to switching between modes, the CO shall ensure that all keys and CSPs are zeroized to prevent
sharing of keys and CSPs between the FIPS Approved and non-FIPS mode of operation.
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 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
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Self-Tests 38
Self-Tests
Startup and Initialization Self-tests
The module executes the following self-tests during startup and initialization:
l Firmware integrity test using RSA 2048-bit signatures
l Configuration/VPN bypass test using HMAC SHA-256
l AES (128, 256 bit), CBC mode, encrypt known answer test
l AES (128, 256 bit) CBC mode, decrypt known answer test
l AES (128, 256 bit), GCM mode, encrypt known answer test
l AES (128, 256 bit), GCM mode, decrypt known answer test
l HMAC SHA-1 known answer test
l SHA-1 known answer test (tested as part of HMAC SHA-1 known answer test)
l HMAC SHA-256 known answer test
l SHA-256 known answer test (tested as part of HMAC SHA-256 known answer test)
l HMAC SHA-384 known answer test
l SHA-384 known answer test (tested as part of HMAC SHA-384 known answer test)
l HMAC SHA-512 known answer test
l SHA-512 known answer test (tested as part of HMAC SHA-512 known answer test)
l RSA 2048-bit signature generation known answer test
l RSA 2048-bit signature verification known answer test
l ECDSA pairwise consistency test
l DRBG known answer tests (as per SP 800-90A)
l Primitive-Z known answer test (KAS-FFC-SSC and KAS-ECC-SSC)
l TLS 1.1 KDF known answer test
l TLS 1.2 KDF known answer test
l IKEv1 KDF known answer test
l IKEv2 KDF known answer test
l SSH KDF 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 - i.e. when the AES self-test is run, all
AES implementations are tested.
Conditional Self-tests
The module executes the following conditional tests when the related service is invoked:
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Self-Tests 39
l Continuous NDRNG test
l Continuous DRBG test
l RSA pairwise consistency test
l ECDSA pairwise consistency test
l Configuration/VPN bypass test using HMAC SHA-256
l Firmware load test using RSA 2048-bit signatures
Critical Function Self-tests
The module also performs the following critical function self-tests applicable to the DRBG, as per NIST SP 800-
90A Section 11:
l Instantiate test
l Generate test
l Reseed test
Error State
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.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
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