FIPS 140-2 Non-Proprietary Security Policy
FortiOS 5.6
FortiOS 5.6FIPS 140-2 Security Policy
Document Version: 2.4
Publication Date: Wednesday, March 25, 2020
Description: Documents FIPS 140-2 Level 1 Security Policy issues, compliancy and requirements for FIPS
compliant operation.
Firmware Version: FortiOS 5.6, build6022,190808
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FortiOS 5.6 FIPS 140-2 Security Policy
01-566-508917-20180820
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
Module Interfaces 9
Web-Based Manager 10
Command Line Interface 10
Roles, Services and Authentication 10
Roles 10
FIPS Approved Services 11
Non-FIPS Approved Services 13
Authentication 14
Operational Environment 15
Cryptographic Key Management 15
Random Number Generation 15
Entropy 15
Key Zeroization 15
Algorithms 16
Cryptographic Keys and Critical Security Parameters 18
Alternating Bypass Feature 22
Key Archiving 22
Mitigation of Other Attacks 22
FIPS 140-2 Compliant Operation 24
Enabling FIPS-CC Mode 25
Self-Tests 26
Startup and Initialization Self-tests 26
Conditional Self-tests 26
Critical Function Self-tests 27
Error State 27
FIPS 140-2 Security Policy Fortinet, Inc.
Overview
This document is a FIPS 140-2 Security Policy for the FortinetFortiOS 5.6 firmware, which runs on the FortiGate family
of security appliances. This policy describes how the FortiOS 5.6 firmware (hereafter referred to as the ‘module’) meets
the FIPS 140-2 security requirements and how to operate the module in a FIPS compliant manner. This policy was
created as part of the FIPS 140-2 Level 1 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 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 Security Policy Fortinet, Inc.
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.
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 Security Policy Fortinet, Inc.
Security Level Summary
The module meets the overall requirements for a FIPS 140-2 Level 1 validation.
Table 1: Summary of FIPS security requirements and compliance levels
Security Requirement Compliance Level
Cryptographic Module Specification 1
Cryptographic Module Ports and Interfaces 1
Roles, Services and Authentication 3
Finite State Model 1
Physical Security 1
Operational Environment N/A
Cryptographic Key Management 1
EMI/EMC 1
Self-Tests 1
Design Assurance 3
Mitigation of Other Attacks 1
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions
The module is a firmware operating system that runs exclusively on Fortinet’s FortiGate product family. FortiGate units
are PC-based, purpose built appliances.
The FortiGate appliances are multiple chip, standalone cryptographic modules consisting of production grade
components contained in a physically protected enclosure. The extent of the physical cryptographic boundary is the
FortiGate-301E, however the validated module is the FortiOS 5.6 firmware module.
Figure 1: FortiOS physical cryptographic boundary
The Boot Device in the diagram above can refer to a separate, internal component or a partition on the Mass Storage
device. All references herein of ‘boot device’ shall refer to the configuration specific to the FortiGate appliance.
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 8
Figure 2: FortiOS logical cryptographic boundary
For the purposes of FIPS 140-2 conformance testing, the module was tested on a FortiGate-301E appliance.
The validated firmware version is FortiOS 5.6, build6022,190808. Only this firmware version, executed on the
FortiGate-301E, constitutes the validated cryptographic module. Any other firmware version is outside the scope of this
validation and requires a separate FIPS 140-2 validation.
The module can also be executed on any of the following FortiGate/FortiWiFi appliances and remain vendor affirmed
FIPS-compliant.
Table 2: Vendor affirmed FIPS-compliant appliances
FortiGateRugged-35D FortiGate-240D-PoE
FortiGateRugged-60D FortiGate-200E
FortiGateRugged-90D FortiGate-201E
FortiGate/FortiWiFi-30D FortiGate-280D-PoE
FortiGate/FortiWiFi-30E FortiGate-300D
FortiGate/FortiWiFi-50E FortiGate-300E
FortiGate/FortiWiFi-51E FortiGate-400D
FortiGate-52E FortiGate-500D
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 9
FortiGate/FortiWiFi-60D FortiGate-500E
FortiGate-60D-PoE FortiGate-501E
FortiGate/FortiWiFi-60E FortiGate-600C
FortiGate-61E FortiGate-600D
FortiGate-80C FortiGate-800D
FortiGate/FortiWiFi-80CM FortiGate-900D
FortiGate-80D FortiGate-1200D
FortiWiFi-81CM FortiGate-1500D/DT
FortiGate-80E FortiGate-2000E
FortiGate-81E FortiGate-2500E
FortiGate-81E-PoE FortiGate-3000D
FortiGate-90/FortiWiFi-90D FortiGate-3100D
FortiGate-90D-PoE FortiGate-3200D
FortiGate-Rugged-90D FortiGate-3240C
FortiGate-91E FortiGate-3600C
FortiGate/FortiWiFi-92D FortiGate-3700D/DX
FortiGate-94D-PoE FortiGate-3800D
FortiGate-98D-PoE FortiGate-3810D
FortiGate-100D FortiGate-3815D
FortiGate-100E/EF FortiGate-3950D
FortiGate-101E FortiGate-3960E
FortiGate-140D FortiGate-3980E
FortiGate-140D-PoE FortiGate-5001C
FortiGate-200D FortiGate-5001D
FortiGate-200D-PoE FortiGate-5001E
FortiGate-240D FortiGate-5001E1
Note that no claim can be made as to the correct operation of the module or the security strengths of the generated keys
when ported to an operational environment which is not listed on the validation certificate.
Module Interfaces
The module’s logical interfaces and physical ports are described in the table below.
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 10
Table 3: FortiOS logical interfaces and physical ports
FIPS 140 Interface Logical Interface Physical Interface
Data Input API input parameters Network interface, USB port
Data Output API output parameters Network Interface, USB port
Control Input API function calls Network Interface, serial interface, CP9
Status Output API return values Network interface, serial interface
Power Input N/A The power supply is the power interface
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 mode and is disabled.
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:
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.
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 11
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 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 4: 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 Authentication Key, and
HTTPS/TLS Session Encryption Key, DRBG v
and key values, DRBG Output, DRBG Seed,
NDRNG Output String
connect to module remotely using SSH* WE Diffie-Hellman Keys, SSH Server/Host Keys,
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
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 12
Service Access Key/CSP
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
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 Authentication Key,
HTTPS/TLS Session Encryption Key
read/set/modify HA configuration WE HA Password, HA Encryption Key
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 13
Service Access Key/CSP
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
Authentication Key, HTTPS/TLS Session
Encryption Key, DRBG v and key values,
DRBG Output, DRBG Seed, NDRNG Output
String
Table 5: 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 Authentication Key, HTTPS/TLS
Session Encryption Key, DRBG v and key
values, DRBG Output, DRBG Seed, NDRNG
Output String
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
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 Authentication 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
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 14
l Services marked with an asterisk (*) in Tables 4 and 5 are considered non-approved when using the following algorithms:
l Non-compliant-strength Diffie-Hellman
l Non-compliant-strength RSA key wrapping
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.
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. This option is
configured as part of the firewall policy. 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 {94^8}
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 {94^8} 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 would be no more
than 108,000 passwords attempts per minute. Therefore the probability of success would be 1/({94^8} /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 2048bit 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 passwords attempts per minute. Therefore, the
minimum odds of guessing the authentication key for IPSec within a one-minute period is 1 in 94^8/983,040,000 which
is less than 1 in 100,000.
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 15
Operational Environment
The module constitutes the entire firmware operating system for a FortiGate unit and can only be installed and run on a
FortiGate unit. The module provides a proprietary and non-modifiable operating system and does not provide a
programming environment.
For the purposes of FIPS 140-2 conformance testing, the module was tested on a FortiGate-301E unit.
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 6.4.2 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 ?
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 16
Algorithms
Table 6: FIPS approved algorithms
Algorithm NIST Cert Number
CTR DRBG (NIST SP 800-90A) with AES 256 bits C529
AES in CBC mode (128, 256 bits) C468, C530, C531
AES in GCM mode (128, 256 bits) C468, C530, C531
SHA-1 C468, C530, C531
SHA-256 C468, C530, C531
SHA-384 C468, C530, C531
SHA-512 C468, C530, C531
HMAC SHA-1 C468, C530, C531
HMAC SHA-256 C468, C530, C531
HMAC SHA-384 C468, C530, C531
HMAC SHA-512 C468, C530, C531
RSA PKCS 1.5
l Key Pair Generation: 2048 and 3072 bit
l Signature Generation: 2048 and 3072 bit
l Signature Verification: 1024, 2048 and 3072 bit
l For legacy use, the module supports 1024 bit RSA keys and SHA-1 for signature
verification
l C530
l C530, C531
l C530, C531
ECDSA
l Key Pair Generation: curves P-256, P-384 and P-521
l Signature Generation: curves P-256, P-384 and P-521
l Signature Verification: curves P-256, P-384 and P-521
l C530, C531
l C468, C530, C531
l C468, C530, C531
CVL (SSH) - AES 128 bit, AES 256 bit -CBC (using SHA1) C530
CVL (TLS 1.1 and 1.2 (SHA2-256) ) C530
CVL (IKE v1 and v2 (SHA-1, SHA2-256, SHA2-384, SHA2-512) ) C468
CVL (ECDSA SigGen Component: Curves P-256, P-384 and P-521) C468, C530, C531
CVL (KAS-FFC Component) - FB: SHA2-256 | FC:SHA2-256 C468, C530
CVL (KAS-ECC Component) - EC: SHA2-256, Curve: P-256 | ED: SHA2-384,
Curve: P-384 | EE: SHA2-512, Curve: P-521
C530
KTS (AES Cert. #C530 and HMAC Cert. #C530; key establishment methodology provides 128 or 256 bits of encryption
strength); and
KTS (AES Cert. #C530; key establishment methodology provides 128 or 256 bits of encryption strength)
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 17
There are algorithms, modes, and keys that have been CAVs tested but are not available when the module is configured
for FIPS compliant operation. Only the algorithms, modes/methods, and key lengths/curves/moduli shown in this table
are supported by the module in the FIPS validated configuration.
Table 7: FIPS allowed algorithms
Algorithm
RSA (key wrapping; key establishment methodology provides 112 or 128 bits of encryption strength)
Diffie-Hellman (CVL Certs. #C468 and #C530 , key agreement; key establishment methodology provides between
112 and 196 bits of encryption strength)
EC Diffie-Hellman (CVL Cert. #C530 , key agreement; key establishment methodology provides between 128 and
256 bits of encryption strength)
NDRNG (FortiASIC CP9)
MD5 (Used in the TLS 1.1 protocol only)
Table 8: Non-FIPS approved 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.
4096-bit RSA signature generation is non-compliant.
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.
SNMP (The SNMP KDF has not undergone CAVP testing in accordance with NIST SP 800-135, Rev1, and thus
SNMP shall not be used in the Approved mode. Any use of SNMP will cause the module to operate in a non-
Approved mode.)
Note that the IKE, SSH 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 meets Option 1 of IG A.5: it 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 to be compliant with FIPS140-2 IG A.5, Option 1 (“TLS protocol
IV generation”); thus, those cipher suites implemented in the module that utilize AES-GCM are consistent with those
specified in Sections 3.3.1.1.2 of [SP800-52, Rev2]. 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. During operational testing, the module was tested
against an independent version of TLS and found to behave correctly.
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 18
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.
While Diffie-Hellman and EC Diffie-Hellman are both compliant with CAVP component validation, please be advised
that neither scheme is tested at power-up.
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 9: 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
Boot device
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
Boot device
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
Boot device
Plain-text
Internal state values for
the DRBG 128 and 256
By erasing the Boot
device and power cycling
the module
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
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 19
Key or CSP Generation Storage Usage Zeroization
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
IKE ECDSA Key Externally
generated
Boot device
Plain-text
RSA private key used in
the IKE protocol
(signatures using P-256, -
384 and -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
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 20
Key or CSP Generation Storage Usage Zeroization
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
HTTPS/TLS
Session
Authentication Key
Internally
generated using
DRBG
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
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
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 21
Key or CSP Generation Storage Usage Zeroization
SSH Session
Encryption Key
Automatic 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
Configuration
Backup Key
Preconfigured 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
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
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 22
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.
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 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, at least two independent internal actions must be taken to create a bypass. The actions required are
policy creation, application of the policy (save), followed by explicit configuration.
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.
FIPS 140-2 Security Policy Fortinet, Inc.
Module Descriptions 23
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. 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.
FIPS 140-2 Security Policy Fortinet, Inc.
FIPS 140-2 Compliant Operation 24
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 md5sum.txt file 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 md5sum.txt file.
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 "[G]: Get firmware image from
TFTP server" 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.
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 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
FIPS 140-2 Security Policy Fortinet, Inc.
FIPS 140-2 Compliant Operation 25
module only uses approved algorithms and services to maintain the module in a FIPS-CC Approved mode of operation.
Using any of the non-approved algorithms and services switches the module to a 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 Security Policy Fortinet, Inc.
Self-Tests 26
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 with P-256 curve
l DRBG known answer tests (as per SP 800-90A)
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:
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
FIPS 140-2 Security Policy Fortinet, Inc.
Self-Tests 27
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 Security Policy Fortinet, Inc.
Copyright© 2020 Fortinet, Inc. All rights reserved. Fortinet®, FortiGate®, FortiCare® and FortiGuard®, and certain other marks are registered trademarks of Fortinet,
Inc., in the U.S. and other jurisdictions, and other Fortinet names herein may also be registered and/or common law trademarks of Fortinet. All other 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 other results may vary. Network variables, different network environments and other conditions may affect performance results. Nothing herein
represents any binding commitment by Fortinet, and Fortinet disclaims all warranties, whether express or implied, except to the extent Fortinet enters a binding written
contract, signed by Fortinet’s General Counsel, with a purchaser that expressly warrants that the identified product will perform according to certain expressly-identified
performance metrics and, in such event, only the specific performance metrics expressly identified in such binding written contract shall be binding on Fortinet. For
absolute clarity, any such warranty will be limited to performance in the same ideal conditions as in Fortinet’s internal lab tests. In no event does Fortinet make any
commitment related to future deliverables, features, or development, and circumstances may change such that any forward-looking statements herein are not accurate.
Fortinet disclaims in full any covenants, representations,and guarantees pursuant hereto, whether express or implied. Fortinet reserves the right to change, modify,
transfer, or otherwise revise this publication without notice, and the most current version of the publication shall be applicable.