FIPS 140-2 Non-Proprietary Security Policy
FortiGate-600D/1200D/1500D/3000D/3700D and FortiGate-5001D with FortiGate-
5144C Chassis
FortiGate-600D/1200D/1500D/3000D/3700D and FortiGate-5001D with FortiGate-5144C Chassis FIPS 140-2 Level 2 Non-Proprietary
Security Policy
Document Version: 2.3
Publication Date: Tuesday, October 26, 2021
Description: Documents FIPS 140-2 Level 2 Security Policy issues, compliancy and requirements for FIPS
compliant operation.
Firmware Version: FortiOS 6.0 build 5445 and FortiOS 6.2 build 5548
Hardware Version: FortiGate-5001D
(C1AA92) with Tamper Evident
Seal Kit: FIPS-SEAL-RED
Blank Filler Panel - Front
(P16708-01)
FortiGate-5144C
(C1AB98) with Tamper Evident
Seal Kit: FIPS-SEAL-RED
Blank Filler Panel - Rear
(P16710-01)
XXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXX
FortiGate-1500D (C1AA64) with
Tamper Evident Seal Kit: FIPS-
SEAL-RED
FortiGate-3700D (C1AA92) with
Tamper Evident Seal Kit: FIPS-
SEAL-RED
FortiGate-3000D (C1AC63) with
Tamper Evident Seal Kit: FIPS-
SEAL-RED
FortiGate-600D (C1AE11) with
Tamper Evident Seal Kit: FIPS-
SEAL-RED
FortiGate-1200D (C1AC57) with
Tamper Evident Seal Kit: FIPS-
SEAL-RED
FORTINET DOCUMENT LIBRARY
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https://www.fortinet.com/support/contact.html
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https://training.fortinet.com/
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https://fortiguard.com
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http://forticast.fortinet.com
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FEEDBACK
Email: techdoc@fortinet.com
Tuesday, October 26, 2021
FortiGate-600D/1200D/1500D/3000D/3700D and FortiGate-5001D with FortiGate-5144C ChassisFIPS 140-2 Non-
Proprietary Security Policy
01-600-582618-20190913
FORTINET DOCUMENT LIBRARY
https://docs.fortinet.com
FORTINET VIDEO GUIDE
https://video.fortinet.com
FORTINET KNOWLEDGE BASE
http://kb.fortinet.com
FORTINET BLOG
https://blog.fortinet.com
CUSTOMER SERVICE & SUPPORT
https://www.fortinet.com/support/contact.html
FORTINET NSE INSTITUTE (TRAINING)
https://training.fortinet.com/
FORTIGUARD CENTER
https://fortiguard.com
FORTICAST
http://forticast.fortinet.com
END USER LICENSE AGREEMENT AND PRIVACY POLICY
https://www.fortinet.com/doc/legal/EULA.pdf
https://www.fortinet.com/corporate/about-us/privacy.html
FEEDBACK
Email: techdoc@fortinet.com
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 7
References 7
Introduction 8
Security Level Summary 9
Module Descriptions 10
FortiGate-5144C Chassis Description 11
Cryptographic Module Ports and Interfaces 11
FortiGate-5144C Chassis 16
FortiGate-600D 19
FortiGate-1200D 20
FortiGate-1500D 22
FortiGate-3000D 23
FortiGate-3700D 25
Web-Based Manager 26
Command Line Interface 26
Roles, Services and Authentication 27
Roles 27
FIPS Approved Services 27
Non-FIPS Approved Services 29
Authentication 30
Physical Security 31
Operational Environment 39
Cryptographic Key Management 39
Random Number Generation 39
Entropy 39
Key Zeroization 40
Algorithms 40
Cryptographic Keys and Critical Security Parameters 43
Alternating Bypass Feature 47
Key Archiving 48
Mitigation of Other Attacks 48
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) 50
FIPS 140-2 Compliant Operation 51
Enabling FIPS-CC mode 52
Self-Tests 53
Startup and Initialization Self-tests 53
Conditional Self-tests 53
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
6
Critical Function Self-tests 54
Error State 54
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Overview 7
Overview
This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’s FortiGate-600D, 1200D, 1500D,
3000D, 3700D and 5144C chassis with the FortiGate-5001D blade based Next Generation Firewall. This policy
describes how the FortiGate-5001D blade, when installed in the FortiGate-5144C chassis (hereafter referred to
in combination as the ‘module’), and the FortiGate-600D, 1200D, 1500D, 3000D, 3700D meet 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 Level 2 FIPS 140-2 validation of the module.
The Federal Information Processing Standards Publication 140-2 - Security Requirements for Cryptographic
Modules (FIPS 140-2) details the United States Federal Government requirements for cryptographic modules.
Detailed information about the FIPS 140-2 standard and validation program is available on the NIST (National
Institute of Standards and Technology) website at http://csrc.nist.gov/groups/STM/cmvp/index.html.
References
This policy deals specifically with operation and implementation of the modules in the technical terms of the
FIPS 140-2 standard and the associated validation program. Other Fortinet product manuals, guides and
technical notes can be found at the Fortinet technical documentation website at 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 8
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 9
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 10
Module Descriptions
The FortiGate-5001D is an ATCA, blade based, multiple chip, standalone cryptographic module consisting of
production grade components contained in a physically protected enclosure in accordance with FIPS 140-2
Level 2 requirements.
The FortiGate-5001D blade runs the FortiOS firmware, performs all of the cryptographic functions and provides
the input/output interfaces. The FortiGate-5144C chassis provides power, cooling and physical protection for
the module as a whole. The chassis does not run FortiOS firmware. The extent of the cryptographic boundary
for the module is the outer metal chassis.
The FortiGate-600D, 1200D, 1500D, 3000D, and 3700D 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 are Internet devices that provide integrated firewall, VPN, antivirus, antispam, intrusion
prevention, content filtering and traffic shaping and HA capabilities. This FIPS 140-2 Security Policy specifically
covers the firewall, IPSec and SSL-VPN capabilities of the modules.
The antivirus, antispam, intrusion prevention, content filtering and traffic shaping capabilities of the modules
can be used without compromising the FIPS approved mode of operation.
The FortiGate-5001D has 6 network interfaces with status LEDs for each network interface (2x 40GB QSFP+,
2x 10GB SFP+, 2x 10/100/1000 Base-T).
The FortiGate-600D has 20 network interfaces status LEDs for each network interface (10x 10/100/1000 Base-
T, 8x 1GB SFP, 2x 10GB SFP+).
The FortiGate-1200D has 38 network interfaces with status LEDs for each network interface (18x 10/100/1000
Base-T, 16x 1GB SFP, 4x 10GB SFP+).
The FortiGate-1500D has 42 network interfaces with status LEDs for each network interface (18x 10/100/1000
Base-T, 16x 1GB SFP, 8x 10GB SFP+).
The FortiGate-3000D has 18 network interfaces with status LEDs for each network interface (2x 10/100/1000
Bast-T, 16x 10GB SFP+)
The FortiGate-3700D has 34 network interfaces with status LEDs for each network interface (2x 10/100/1000
Base-T, 28x 10GB SFP+, 4x 40GB QSFP+).
The FortiGate-5001D module has one x86 compatible CPU.
The FortiGate-600D, 1200D, 1500D and 3000D each have one x86 compatible CPU.
The FortiGate-3700D has two x86 compatible CPUs.
The FortiGate-600D is a 1U rackmount device.
The FortiGate-1200D, 1500D and 3000D are 2U rackmount devices.
The FortiGate-3700D is a 3u rackmount device.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 11
The validated firmware versions are FortiOS 6.0 build 5445 and FortiOS 6.2 build 5548. Any firmware loaded
into the 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 is representative of the FortiGate-5001D blade. Figure 2 is representative of the complete module
including the FortiGate-5001D blade and the FortiGate-5144C chassis.
Figures 4 - 8 are representative of the Fortigate-600D, 1200D, 1500D, 3000D, and 3700D.
FortiGate-5144C Chassis Description
The FortiGate-5144C has 4 hot swappable, internal ventilation fan units that draw in air from the bottom front
of the chassis and expel it from the top rear.
The FortiGate-5144C uses four, hot-swappable, DC power entry modules (PEMs). These PEMs are excluded
and only connect to the internal chassis power interface.
The FortiGate-5144C chassis uses an external DC power source.
The FortiGate-5144C chassis supports removable Shelf Managers (2). The module remains opaque without
them. These panels are excluded from the requirements of FIPS 140-2, as they perform no security relevant
function.
The FortiGate-5144C chassis includes slots for rear-panel blades. However, the rear panel slots are not
populated in the validated configuration.
Cryptographic Module Ports and Interfaces
Figure 1 - FortiGate-5001D Front Panel
MGMT 1 and MGMT 2
10/100/1000 Copper
Management Interfaces
3 and 4
10 Gig
SFP+ Network
Interfaces
Base and Fabric
network activity
LEDs
RJ-45
Console
Extraction
Lever
Retention
Screw
USB
Extraction
Lever
Retention
Screw
IPM
LED
(board
position)
OOS
LED
STA
LED
PWR
LED
ACC
LED
Factory Use
NMI Switch
1 and 2
40 Gig
QSFP+ Network
Interfaces
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 12
Table 2: FortiGate-5001D Status LEDs, Port 1s and 2, 40Gbit Mode
Green LED (left) Amber LED (right) Description
On Off The correct cable is connected to the interface
and the connected equipment has power.
Off Off No link is established.
Table 3: FortiGate-5001D Status LEDs, Port 1s and 2, 4x 40Gbit Mode
Green LED (left) Amber LED (right) Description
Flashing On The correct cables are connected to the
interface, the connected equipment has power
and all 10Gbit interfaces are connected.
Flashing Flashing The correct cables are connected to the
interface, the connected equipment has power
and only some of the 10Gbit interfaces are
connected.
Off Off No link is established.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 13
Table 4: Other FortiGate-5001D Status LEDs
LED State Description
MGMT 1 and
2
Link/Act
(Left
LED)
Green The correct cable is connected to the interface and the
connected equipment has power.
Flashing Network activity at the interface.
Off No link established.
Speed
(Right
LED)
Green Connected at 1 Gbps.
Amber Connected at 100 Mbps.
Off Connected at 10 Mbps.
Ports 3 and 4 Green The correct cable is connected to the interface and the
connected equipment has power.
Flashing
Green
Port is sending/receiving data.
Off No link established.
Base 1 and 2 Green Base backplane interface is connected at 1 Gbps.
Flashing
Green
Network activity at the interface.
Off No link is established.
Base 1 and 2 Green Base backplane interface is connected at 1 Gbps.
Flashing
Green
Network activity at base backplane interface.
Fabric 1 and 2 Green Fabric backplane interface is connected at 10 Gbps.
Flashing
Green
Network activity at fabric backplane interface.
ACC (Disk Activity) Off or
Flashing
green
The ACC LED flashes green when the FortiGate-5001D blade
accesses its internal storage. The storage contains the current
FortiOS firmware build and configuration files. The system
accesses the storage when starting up, during a firmware
upgrade, or when an administrator is using the CLI or GUI to
change the FortiOS configuration. Under normal operating
conditions this LED flashes occasionally, but is mostly off.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 14
LED State Description
OOS (Out of Service) Off Normal operation.
Green A fault condition exists and the FortiGate- 5001D blade is out
of service (OOS). This LED may also flash very briefly during
normal startup.
PWR (Power) Green The FortiGate-5001D blade is powered on.
STA (Status) Off The FortiGate-5001D blade is powered on.
Flashing
Green
The FortiGate-5001D is starting up. If this LED is flashing at
any time other than system startup, a fault condition may
exist.
IPM Blue The FortiGate-5001D is ready to be hotswapped (removed
from the chassis). If the IPM light is blue and no other LEDs
are lit the FortiGate-5001A blade has lost power.
Flashing
Blue
The FortiGate-5001D board is changing from hot swap to
running mode or from running mode to hot swap. This
happens when the FortiGate-5001D board is starting up or
shutting down.
Off Normal operation. The FortiGate-5001D board is in contact
with the chassis backplane.
Table 5: FortiGate-5001D Front Panel Connectors and Ports
Connector Type Speed Supported Logical Interfaces Description
MGMT Ports
1 & 2
RJ-45 10/100/1000
Base-T
Data input, data output, control
input and status output
Connection to 10/100/1000
networks.
Ports 1 and 2 QSFP+ 40 Gbps Data input, data output, control
input and status output
Connection to QSFP+
networks.
Ports 3 and 4 SFP+ 10 Gbps Data input, data output, control
input and status output
Connection to SFP+
networks.
Console Port RJ-45 9600 bps Control input, status output Optional connection to the
management computer.
Provides access to the
command line interface
(CLI).
USB Port USB A N/A Data input, data output Optional USB token and
entropy token. Key loading
and archiving.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 15
Figure 2 - FortiGate-5001D Rear Blade Connectors
Table 6: FortiGate-5001D Rear Blade Connectors
Connector Type Speed Supported Logical Interfaces Description
Power
Connector
ATCA
Zone 1
N/A N/A High power connection to
ATCA chassis backplane.
High Speed
Signal
Connector
ATCA
Zone 2
10 Gbps Data input, data output, control
input and status output
High speed connection to
ATCA chassis backplane.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 16
FortiGate-5144C Chassis
Figure 3 - FortiGate-5144C Front Panel
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 17
Figure 4 - FortiGate-5144C Rear Panel
All of the FortiGate-600D, 1200D, 1500D, 3000D, and 3700D modules have status LEDs as described in the
following table:
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 18
Table 7: 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+, QSFP+ and
CSFP 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 19
FortiGate-600D
Figure 5 - FortiGate-600D Front and Rear Panels
Table 8: FortiGate-600D Connectors and Ports
Connector Type Speed Supported Logical Interfaces Description
MGMT Ports
and
Ports 9-16
RJ-45 10/100/1000
Base-T
Data input, data output, control
input, and status output
Copper gigabit connection
to 10/100/1000 copper
networks.
Ports 1-8 SFP 1 Gbps Data input, data output, control
input and status output
Multimode fiber optic
connections to gigabit
optical networks.
Ports 17-18 SFP+ 10 Gbps Data input, data output, control
input and status output
Multimode fiber optic
connections to gigabit
optical networks.
USB Ports USB-A N/A Data input, data output Entropy token, 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).
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 20
Connector Type Speed Supported Logical Interfaces Description
DC Power N/A N/A Power +12VDC power connection
AC Power N/A N/A Power 120/240VAC power
connection.
FortiGate-1200D
Figure 6 - FortiGate-1200D Front and Rear Panels
Table 9: FortiGate-1200D Connectors and Ports
Connector Type Speed Supported Logical Interfaces Description
MGMT Ports RJ-45 10/100/1000
Base-T
Data input, data output, control
input, and status output
Copper gigabit connection
to 10/100/1000 copper
networks.
Ports 1-16 SFP 1 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 21
Connector Type Speed Supported Logical Interfaces Description
Ports 17-32 RJ-45 10/100/1000
Base-T
Data input, data output, control
input, and status output
Copper gigabit connection
to 10/100/1000 copper
networks.
Ports 33-36 SFP+ 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.
USB
Management
Port
USB
Mini-B
N/A Control 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 22
FortiGate-1500D
Figure 7 - FortiGate-1500D Front and Rear Panels
Table 10: FortiGate-1500D Connectors and Ports
Connector Type Speed Supported Logical
Interfaces
Description
MGMT Ports RJ-45 10/100/1000
Base-T
Data input, data output,
control input, and status
output
Copper gigabit connection to
10/100/1000 copper networks.
Ports 1-16 SFP 1 Gbps Data input, data output,
control input, and status
output
Multimode fiber optic connections
to gigabit optical networks.
Ports 17-32 RJ-45 10/100/1000
Base-T
Data input, data output,
control input, and status
output
Copper gigabit connection to
10/100/1000 copper networks.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 23
Connector Type Speed Supported Logical
Interfaces
Description
Ports 33-40 SFP+ 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.
USB
Management
Port
USB
Mini-B
N/A Control 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-3000D
Figure 8 - FortiGate-3000D Front and Rear Panels
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 24
Table 11: FortiGate-3000D Connectors and Ports
Connector Type Speed Supported Logical
Interfaces
Description
MGMT Ports RJ-45 10/100/1000
Base-T
Data input, data output,
control input, and status
output
Copper gigabit connection to
10/100/1000 copper networks.
Ports 1-16 SFP+ 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.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 25
FortiGate-3700D
Figure 9 - FortiGate-3700D Front and Rear Panels
Table 12: FortiGate-3700D 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
Connection to 10/100/1000
networks.
Ports 1-4 QSFP+ 40 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 26
Connector Type Speed
Supported Logical Inter-
faces
Description
Ports 5-32 SFP 10 Gbps Data input, data output,
control input and status output
Multimode fiber optic
connections to gigabit
optical networks.
Console Port RJ-45 9600 bps Control input, status output Optional connection to the
management computer.
Provides access to the
command line interface
(CLI).
USB Port USB A N/A Data input, data output Configuration loading and
archiving.
USB
Management
Port
USB B N/A 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.
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.
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
Module Descriptions 27
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 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 13: 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
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Service Access Key/CSP
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
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
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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
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 14: 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
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 13 and 14 are considered non-approved when using the following
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Module Descriptions 30
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
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
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Module Descriptions 31
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:
The FortiGate-5001D uses 19 seals to secure the external enclosure:
l the front panel cooling fan bay cover (2 seals, see Figures 9,10 and 11)
l the front panel NMI and Factory Use switches (1 seal, see Figure 11)
l the front panel blades and blank face plates (7 seals, see Figure 11)
l the real panel blank face plates (7 seals, see Figure 12)
l the top panel fan trays (2 seals, see Figure 13)
The FortiGate-600D uses one seal to secure the external enclosure (see Figure 14).
The FortiGate-1200D and 1500D use three seals to secure the power supplies and the external enclosure (see
Figure 15 and Figure 16).
The FortiGate-3000D uses three seals to secure the external enclosure (see Figure 17 and Figure 18).
The FortiGate-3700D uses three seals to secure the external enclosure and power supplies (see Figure 19 and
Figure 20).
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Figure 10 - FortiGate-5001D seals, left side view
Figure 11 - FortiGate-5001D seals, right side view
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Figure 12 - FortiGate-5001D seals, front view
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Module Descriptions 34
Figure 13 - FortiGate-5001D seals, rear view
Figure 14 - FortiGate-5001D seals, top view
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Module Descriptions 35
Figure 15 - FortiGate-600D external enclosure seal, top, rear
Figure 16 - FortiGate-1200D and 1500D power supply seals. bottom, rear
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Figure 17 - FortiGate-1200D and 1500D external enclosure seal, top, left side
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Module Descriptions 37
Figure 18 - FortiGate-3000D external enclosure seals, rear, bottom
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Figure 19 - FortiGate-3000D external enclosure seal, top, left side
Figure 20 - FortiGate-3700D external enclosure seal and power supply seal, right, rear
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Module Descriptions 39
Figure 21 - FortiGate-3700D power supply seal, rear, left
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
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 an entropy token (Araneus Alea II) to seed the DRBG during the modules’ boot process and
to periodically reseed the DRBG. The entropy token is not included in the boundary of the module and therefore
no assurance can be made for the correct operation of the entropy token nor is there a guarantee of stated
entropy.
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Module Descriptions 40
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 Entropy Token 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). The
entropy token must be installed to complete the boot process and to reseed the main PCB DRBG instance.
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 15: FIPS approved algorithms
Algorithm NIST Cert Number
CTR DRBG (NIST SP 800-90A) with AES 256 bits C1571, C1573
AES in CBC mode (128, 192, and 256 bits) (192 bits for
C1797 only)
C1548, C1549, C1572, C1575, C1797
AES in GCM mode (128, 256 bits) C1572, C1574, C1575, C1576
SHA-1 C1572, C1574, C1575, C1576, C1797
SHA-224 A1186, A1187
SHA-256 C1572, C1574, C1575, C1576, C1797
SHA-384 C1572, C1574, C1575, C1576, C1797
SHA-512 C1572, C1574, C1575, C1576, C1797
HMAC SHA-1 C1572, C1574, C1575, C1576, C1797
HMAC SHA-256 C1572, C1574, C1575, C1576, C1797
HMAC SHA-384 C1572, C1574, C1575, C1576
HMAC SHA-512 C1572, C1574, C1575, C1576
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Algorithm NIST Cert Number
RSA PKCS 1.5
Key Pair Generation: 2048 and 3072-bit (** C1574,
C1576, and C1797 only)
Signature Generation: 2048 and 3072-bit (**
C1797 only includes 2048 bit)
Signature Verification: 1024, 2048 and 3072-bit
For legacy use, the module supports 1024-bit RSA
keys and SHA-1 for signature verification
C1574, C1576, C1797, A1252, A1293
RSA PSS
Signature Generation: 2048 and 3072-bit
Signature Verification: 1024, 2048 and 3072-bit
A1186, A1187
ECDSA
Key Pair Generation: curve P-256
C1572, C1574, C1575, C1576
ECDSA
Key Pair Generation: curve P-384
C1572, C1575
ECDSA
Key Pair Generation: curve P-521
C1572, C1574, C1575, C1576
ECDSA
Signature Generation: curves P-256, P-384 and P-
521
C1572, C1574, C1575, C1576
ECDSA
Signature Verification: curves P-256, P-384 and P-
521
C1572, C1574, C1575, C1576
CVL (KDF SSH) - AES 128 bit-, AES 256 bit -CBC (using
SHA1, SHA-256)
C1574, C1576
CVL (KDF TLS 1.1 and 1.2 (using SHA-256, SHA-384)) C1574, C1576
CVL (KDF IKE v1 (using SHA2-256)) C1572
CVL (KDF IKE v1 (using SHA-1, SHA2-256, SHA2-384,
SHA2-512))
C1575
CVL (KDF IKE v2 (using SHA2-512)) C1572
CVL (KDF IKE v2 (using SHA-1, SHA2-256, SHA2-384,
SHA2-512))
C1575
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Algorithm NIST Cert Number
CVL (ECDSA SigGen Component: Curves P-256, P-384 and
P-521)
C1572, C1574, C1575, C1576
CVL (KAS-FFC Component) - FB: SHA2-256 | FC: SHA2-256 C1572, C1574, C1575, C1576
CVL (KAS-ECC Component) - EC: SHA2-256, Curve: P-256 |
ED: SHA2-384, Curve: P-384 | EE: SHA2-512, Curve: P-521
C1572, C1574, C1575, C1576
CVL (KDF SNMP) - Password length: 64 - 128 C1574, C1576
KTS (AES Certs. #C1548 and #C1549 and HMAC Certs. #C1574 and #C1576; key establishment methodology
provides 128 or 256 bits of encryption strength); and
KTS (AES Certs. #C1574 and #C1576; key establishment methodology provides 128 or 256 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 16: FIPS allowed algorithms
Algorithm
Diffie-Hellman (CVL Certs. #C1572, #C1574, C1575 and #C1576 , key agreement; key establishment
methodology provides between 112 and 196 bits of encryption strength)
EC Diffie-Hellman (CVL Certs. #C1572, #C1574, C1575 and #C1576 , key agreement; key establishment
methodology provides between 128 and 256 bits of encryption strength)
NDRNG (Araneus Alea II entropy token is not part of the validation)
Table 17: 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.
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 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,
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Module Descriptions 43
Option 1 (“TLS protocol IV generation”); thus, those 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 18: 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
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
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Module Descriptions 44
Key or CSP Generation Storage Usage Zeroization
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
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
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Key or CSP Generation Storage Usage Zeroization
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
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
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Key or CSP Generation Storage Usage Zeroization
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
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
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Module Descriptions 47
Key or CSP Generation Storage Usage Zeroization
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
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.
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Module Descriptions 48
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.
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.
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Module Descriptions 49
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 Non-Proprietary Security Policy Fortinet, Inc.
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) 50
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-5001D Bay Area Compliance Laboratories Corp.
1274 Anvilwood Ave. Sunnyvale, CA 94086
(408)-732-9162
R1406092-15
FG-600D
Spectrum Research & Testing Lab., Inc.
No. 167, Ln. 780, Shan-Tong Rd., Ling 8, Shan-Tong Li,
Chung-Li City, Taoyuan County 320, Taiwan
FCAA14061702-02
FG-1200D SPORTON International Inc.
No. 52, Hwa Ya 1st Rd., Hwa Ya Technology Park,
Kwei-shan Dist., Taoyuan City, Taiwan
FV381374-05
FG-1500D
SPORTON International Inc.
No. 52, Hwa Ya 1st Rd., Hwa Ya Technology Park,
Kwei-shan Dist., Taoyuan City, Taiwan
FV381374-05
FG-3000D Veritas Consumer Products Services (H.K.) Ltd.
No. 19, Hwa Ya 2nd Rd., Hwa Ta Technology Park,
Kwei-shan Dist., Taoyuan City, Taiwan
FV141124C09D
FG-3700D
Bay Area Compliance Laboratories Corp.
1274 Anvilwood Ave. Sunnyvale, CA 94086
R1309162-15
FIPS 140-2 Non-Proprietary Security Policy Fortinet, Inc.
FIPS 140-2 Compliant Operation 51
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 from the Fortinet Support site at
https://support.fortinet.com/
2. Verify the integrity of the firmware image
3. Install the FIPS validated firmware image
4. Install the entropy token
5. Enable the FIPS-CC mode of operation
These steps are described in detail in the "FIPS 140-2 and Common Criteria Compliant Operation for FortiOS
5.6" document that can be found on the Fortinet Technical Documentation website.
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 The entropy token remains in the USB port during operation.
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.
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FIPS 140-2 Compliant Operation 52
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-CC Approved
mode of operation. Using any of the non-approved algorithms and services switches the module to a non-FIPS
mode of operation. Prior to switching between modes the CO should ensure 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 53
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 (DH and ECDH)
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
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Self-Tests 54
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.
Copyright© 2021 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.