FIPS 140-2 Security Policy
FortiGate-VM Virtual Appliances
Software Version 4.0 MR3
FortiGate-VM Virtual Appliances FIPS 140-2 Security Policy
Document Version: 1.3
Publication Date: March 20, 2014
Description: Documents FIPS 140-2 Level 1 Security Policy issues, compliancy and requirements for FIPS
compliant operation.
Software Version: FortiGate-VM64, v4.0, build3688, 130430
FortiGate-VM Virtual Appliances: FIPS 140-2 Security Policy
01-436-192877-20130104
for FortiOS 4.0 MR3
© Copyright 2014 Fortinet, Inc.
This document may be freely reproduced and distributed whole and intact including this copyright notice.
Trademarks
Dynamic Threat Prevention System (DTPS), APSecure, FortiASIC, FortiBIOS, FortiBridge, FortiClient,
FortiGate®, FortiGate Unified Threat Management System, FortiGuard®, FortiGuard-Antispam,
FortiGuard-Antivirus, FortiGuard-Intrusion, FortiGuard-Web, FortiLog, FortiAnalyzer, FortiManager,
Fortinet®, FortiOS, FortiPartner, FortiProtect, FortiReporter, FortiResponse, FortiShield, FortiVoIP, and
FortiWiFi are trademarks of Fortinet, Inc. in the United States and/or other countries. The names of actual
companies and products mentioned herein may be the trademarks of their respective owners.
FortiGate-VM Appliances FIPS 140-2 Security Policy
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Contents
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Security Level Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Module Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Module Interfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Web-Based Manager. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Command Line Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Roles, Services and Authentication . . . . . . . . . . . . . . . . . . . . . . . . . 7
Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Authentication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Physical Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Operational Environment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Cryptographic Key Management . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Random Number Generation . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Key Zeroization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Cryptographic Keys and Critical Security Parameters . . . . . . . . . . . . . 10
Alternating Bypass Feature . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Key Archiving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Mitigation of Other Attacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
FIPS 140-2 Compliant Operation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Enabling FIPS-CC mode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Self-Tests. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Non-FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
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Overview
This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’s FortiGate-VM
family of virtual appliances running FortiOS 4.0 MR3. This policy describes how the
appliances (hereafter referred to as the ‘module’) 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 a FIPS 140-2 Level 1 validation of the module.
This document contains the following sections:
• Introduction
• Security Level Summary
• Module Description
• Mitigation of Other Attacks
• FIPS 140-2 Compliant Operation
• Self-Tests
• Non-FIPS Approved Services
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 module in the
technical terms of the FIPS 140-2 standard and the associated validation program. Other
Fortinet product manuals, guides and technical notes can be found at the Fortinet
technical documentation website at http://docs.forticare.com.
Additional information on the entire Fortinet product line can be obtained from the
following sources:
• Find general product information in the product section of the Fortinet corporate
website at http://www.fortinet.com/products.
• Find on-line product support for registered products in the technical support section of
the Fortinet corporate website at http://www.fortinet.com/support
• Find contact information for technical or sales related questions in the contacts section
of the Fortinet corporate website at http://www.fortinet.com/contact.
• Find security information and bulletins in the FortiGuard Center of the Fortinet
corporate website at http://www.fortinet.com/FortiGuardCenter.
Introduction
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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, both physical and virtual, 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.
FortiGate appliances 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 appliances 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 1.0 in the
FIPS-CC mode of operation.
Security Level Summary
The module meets the overall requirements for a FIPS 140-2 Level 1 validation.
.
Module Description
The FortiGate-VM appliances are software modules designed to execute on a General
Purpose Computer (GPC) hardware platform running the VMware hypervisor.
Table 1: Summary of FIPS security requirements and compliance levels
Security Requirement Compliance
Level
Cryptographic Module Specification 1
Cryptographic Module Ports and Interfaces 3
Roles, Services and Authentication 3
Finite State Model 1
Physical Security N/A
Operational Environment 1
Cryptographic Key Management 1
EMI/EMC 1
Self-Tests 1
Design Assurance 3
Mitigation of Other Attacks 1
Module Description
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Figure 1: FortiOS Cryptographic Boundary
The validated software version is FortiGate-VM64 v4.0, build 3688, 130430.
Module Interfaces
The module’s logical interfaces and physical ports are described in Table 2.
Table 2: FortiOS logical interfaces and physical ports
FIPS 140 Interface Logical Interface Physical Port
Data Input API input parameters Network interface
Data Output API output parameters Network interface
Control Input API function calls Network interface, serial interface
Status Output API return values Network interface, serial interface
Power Input N/A The power supply is the power
interface
Module Description
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Web-Based Manager
The FortiGate-VM web-based manager provides GUI based access to the module and is
the primary tool for configuring the module. The manager requires a web browser on the
management computer and an Ethernet connection between the FortiGate-VM unit and
the management computer.
A web-browser that supports Transport Layer Security (TLS) 1.0 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.
Figure 2: The FortiGate-VM web-based manager
Command Line Interface
The FortiGate-VM 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-VM 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.
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Roles, Services and Authentication
Roles
When configured in FIPS-CC mode, the module provides the following roles:
• Crypto Officer
• Network User
The Crypto Officer role is initially assigned to the default ‘admin’ operator account. The
Crypto Officer role has read-write access to all of the module’s administrative services.
The initial Crypto Officer can create additional operator accounts. These additional
accounts are assigned the Crypto Officer role and can be assigned a range of read/write
or read only access permissions including the ability to create operator accounts.
The module provides a Network User role for end-users (Users). Network users can
make use of the encrypt/decrypt services, but cannot access the module 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, the
types of access for each role and the Keys or CSPs they affect.
The role names are abbreviated as follows:
The access types are abbreviated as follows:
Crypto Officer CO
User U
Read Access R
Write Access W
Execute Access E
Table 3: Services available to Crypto Officers - FIPS-CC mode of operation
Service Access Key/CSP
authenticate to module WE Operator Password, Diffie-Hellman Key,
HTTP/TLS and SSH Server/Host Keys,
HTTPS/TLS and SSH Session
Authentication Keys, and HTTPS/TLS
Session Encryption Keys, RNG Seed,
RNG AES Key
show system status WE N/A
show FIPS-CC mode
enabled/disabled
(console/CLI only)
WE N/A
enable FIPS-CC mode of operation
(console only)
WE Configuration Integrity Key
execute factory reset (zeroize keys,
disable FIPS mode, console/CLI only)
E See “Key Zeroization” on page 8
execute FIPS-CC on-demand self-
tests (console only)
E Configuration Integrity Key, Firmware
Integrity Key
add/delete operators and network
users
WE Operator Password,
Network User Password
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Authentication
The modules implement identity based authentication. Operators must authenticate with a
user-id and password combination to access the modules remotely or locally via the
console. Remote operator authentication is done over HTTPS (TLS) or SSH. The
password entry feedback mechanism does not provide information that could be used to
guess or determine the authentication data.
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.
set/reset operator and network user
passwords
WE Operator Password,
Network User Password
backup configuration file WE Configuration Encryption Key,
Configuration Backup Key
read/set/delete/modify module
configuration
WE N/A
enable/disable alternating bypass
mode
WE N/A
read/set/delete/modify IPSec/SSL
VPN configuration
N/A IPSec: IPSec Manual Authentication
Key, IPSec Manual Encryption Key, IKE
Pre-Shared Key, IKE RSA Key
SSL: HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication Key,
HTTPS/TLS SSH Session Encryption
Key
read/set/delete/modify HA
configuration
WE HA Password,
HA Encryption Key
execute software update E Firmware Update Key
read log data WE N/A
delete log data (console/CLI only) N/A N/A
execute system diagnostics
(console/CLI only)
WE N/A
Table 4: Services available to Network Users - FIPS-CC mode of operation
Service/CSP Access Key/CSP
authenticate to module E Network User Password, Diffie-Hellman
Key, HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication Key,
HTTPS/TLS Session Encryption Key,
RNG Seed, RNG AES Key
IPSec VPN controlled by firewall
policies
E Diffie-Hellman Key, IKE and IPSec Keys,
RNG Seed, RNG AES Key
SSL VPN controlled by firewall
policies
E Network User Password, Diffie-Hellman
Key, HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication Key,
HTTPS/TLS Session Encryption Key,
RNG Seed, RNG AES Key
Table 3: Services available to Crypto Officers - FIPS-CC mode of operation
Service Access Key/CSP
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Note that operator authentication over HTTPS/SSH and Network User authentication over
HTTPS are subject to a limit of 3 failed authentication attempts in 1 minute. Operator
authentication using the console is not subject to a failed authentication limit, but the
number of authentication attempts per minute is limited by the bandwidth available over
the serial connection.
The minimum password length is 8 characters when in FIPS-CC mode (maximum
password length is 32 characters). The password may contain any combination of upper-
and lower-case letters, numbers, and printable symbols; allowing for 94 possible
characters. The odds of guessing a password are 1 in 94^8 which is significantly lower
than one in a million. Recommended procedures to increase the password strength are
explained in “FIPS 140-2 Compliant Operation” on page 12.
For Network Users invoking the IPSec VPN encrypt/decrypt services, the module acts on
behalf of the Network User and negotiates a VPN connection with a remote module. The
strength of authentication for IPSec services is based on the authentication method
defined in the specific firewall policy: IPSec manual authentication key, IKE pre-shared
key or IKE RSA key (RSA certificate). The odds of guessing the authentication key for
each IPSec method is:
• 1 in 1640
for the IPSec Manual Authentication key (based on a 40 digit, hexadecimal
key)
• 1 in 948
for the IKE Pre-shared Key (based on an 8 character, ASCII printable key)
• 1 in 21024
for the IKE RSA Key (based on a 1024bit RSA key size)
Therefore the minimum odds of guessing the authentication key for IPSec is 1 in 948,
based on the IKE Pre-shared key.
Physical Security
The FortiGate-VM family of virtual appliances are software modules and are defined as
muti-chip, standalone cryptographic modules. As software modules the FIPS 140-2
physical requirements are not applicable.
Operational Environment
The operational environment for the module consists of the FortiGate-VM software and
the VMware hypervisor. The module was tested as meeting level 1 with the FortiGate-VM
firmware on VMWare ESXi 5.0.0 Update 1 running on a Dell PowerEdge R410.
Cryptographic Key Management
Random Number Generation
The modules use a software based, deterministic random number generator that
conforms to ANSI X9.31 Appendix A.2.4.
The ANSI X9.31 RNG is seeded using a 128-bit AES key (estimated strength 128 bits)
and 64 bytes of entropy (estimated strength 60 bits) gathered from a combination of
system data and internal resources such as time, memory addresses, kernel ticks, and
module identifiers. As the module's ANSIX 9.31 RNG implementation only generates
random values of size 16 bytes (128 bits), it would take multiple calls to form a 32 byte
(256 bit) key. The total estimated strength for the two calls required to form a 32 byte (256
bit) key is 188 bits.
Key Zeroization
All keys except the following are zeroized by executing a factory reset:
Module Description
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• ANSI X9.31 RNG AES Key
• Firmware Update Key
• Firmware Integrity Key
• Configuration Integrity Key
• Configuration Backup Key
• SSH Server/Host Key
• HTTPS/TLS Server/Host Key
All keys and CSPs are zeroized by deleting the FortiGate-VM appliance from the VMWare
server.
Algorithms
Some algorithms may be classified as deprecated, restricted, or legacy-use. Please
consult NIST SP 800-131A for details.
Table 5: FIPS Approved Algorithms
Algorithm NIST Certificate Number
RNG (ANSI X9.31 Appendix A) 1192
Triple-DES 1503, 1504
AES 2414, 2415
SHA-1 2071, 2072
SHA-256 2071, 2072
HMAC SHA-1 1500, 1501
HMAC SHA-256 1500, 1501
RSA PKCS1 (digital signature creation and verification) 1248
Table 6: FIPS Allowed Algorithms
Algorithm
RSA (key establishment methodology provides 112 bits of encryption strength; non-
compliant less than 112-bits of encryption strength)
Diffie-Hellman (key agreement; key establishment methodology provides between 112
and 188 bits of encryption strength; non-compliant less than 112-bits of encryption
strength)
Table 7: Non-FIPS Approved Algorithms
Algorithm
RSA PKCS1 (digital signature creation with 1024 or 1536 bit keys)
DES (disabled in FIPS-CC mode)
MD5 (disabled in FIPS-CC mode except for use in the TLS protocol)
HMAC MD5 (disabled in FIPS-CC mode)
Module Description
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The vendor makes no conformance claims to any key derivation function specified in SP
800-135rev1. References to the key derivation functions addressed in SP 800-135rev1
including IKE, SSH, and TLS are only listed to clarify the key types supported by the
module. Keys related to IKE, SSH, and TLS are only used in the Approved mode under
the general umbrella of a non-Approved Diffie-Hellman scheme, with no assurance claims
to the underlying key derivation functions.
Cryptographic Keys and Critical Security Parameters
The following table lists all of the cryptographic keys and critical security parameters used
by the module. The following definitions apply to the table:
Key or CSP The key or CSP description.
Storage Where and how the keys are stored
Usage How the keys are used
Table 8: Cryptographic Keys and Critical Parameters used in FIPS-CC Mode
Key or CSP Storage Usage
Diffie-Hellman Keys SDRAM
Plaintext
Key agreement and key establishment
IPSec Manual Authentication
Key
Flash RAM
AES encrypted
Used as IPSec Session Authentication
Key
IPSec Manual Encryption Key Flash RAM
AES encrypted
Used as IPSec Session Encryption Key
IPSec Session Authentication
Key
SDRAM
Plain-text
IPSec peer-to-peer authentication using
HMAC SHA-1
IPSec Session Encryption
Key
SDRAM
Plain-text
VPN traffic encryption/decryption using
Triple-DES or AES
IKE Pre-Shared Key Flash RAM
AES encrypted
Used to generate IKE protocol keys
IKE Authentication Key SDRAM
Plain-text
IKE peer-to-peer authentication using
HMAC SHA-1 (SKEYID_A)
IKE Key Generation Key SDRAM
Plain-text
IPSec SA keying material (SKEYID_D)
IKE Session Encryption Key SDRAM
Plain-text
Encryption of IKE peer-to-peer key
negotiation using Triple-DES or AES
(SKEYID_E)
IKE RSA Key Flash Ram
Plain text
Used to generate IKE protocol keys
RNG Seed (ANSI X9.31
Appendix A.2.4)
Flash RAM
Plain-text
Seed used for initializing the RNG
RNG AES Key (ANSI X9.31
Appendix A.2.4)
Flash RAM
Plain-text
AES Seed key used with the RNG
Firmware Update Key Flash RAM
Plain-text
Verification of firmware integrity when
updating to new firmware versions
using RSA public key
Firmware Integrity Key Flash RAM
Plain-text
Verification of firmware integrity in the
firmware integrity test using RSA public
key
HTTPS/TLS Server/Host Key Flash RAM
Plain-text
RSA private key used in the
HTTPS/TLS protocols
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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.
HTTPS/TLS Session
Authentication Key
SDRAM
Plain-text
HMAC SHA-1 key used for HTTPS/TLS
session authentication
HTTPS/TLS Session
Encryption Key
SDRAM
Plain-text
AES or Triple-DES key used for
HTTPS/TLS session encryption
SSH Server/Host Key Flash RAM
Plain-text
RSA private key used in the SSH
protocol
SSH Session Authentication
Key
SDRAM
Plain-text
HMAC SHA-1 key used for SSH
session authentication
SSH Session Encryption Key SDRAM
Plain-text
AES or Triple-DES key used for SSH
session encryption
Operator Password Flash RAM
SHA-1 hash
Used to authenticate operator access to
the module
Configuration Integrity Key Flash RAM
Plain-text
SHA-1 hash used for configuration/VPN
bypass test
Configuration Encryption Key Flash RAM
Plain-text
AES key used to encrypt CSPs on the
flash RAM and in the backup
configuration file (except for operator
passwords in the backup configuration
file)
Configuration Backup Key Flash RAM
Plain-text
HMAC SHA-1 key used to encrypt
operator passwords in the backup
configuration file
Network User Password Flash RAM
AES encrypted
Used during network user
authentication
HA Password Flash RAM
AES encrypted
Used to authenticate FortiGate units in
an HA cluster
HA Encryption Key Flash RAM
AES encrypted
Encryption of traffic between units in an
HA cluster using AES
Table 8: Cryptographic Keys and Critical Parameters used in FIPS-CC Mode
Key or CSP Storage Usage
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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 actions must be taken by a CO to create bypass firewall
policies: the CO must create the bypass policy and then specifically enable that policy.
Key Archiving
The module supports key archiving to a management computer or USB token as part of a
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-1 using the Configuration Backup Key.
Mitigation of Other Attacks
The module includes a real-time Intrusion Prevention System (IPS) as well as antivirus
protection, antispam and content filtering. Use of these capabilities is optional.
The FortiOS IPS has two components: a signature based component for detecting attacks
passing through the FortiGate-VM 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-VM appliance. FortiOS antivirus protection also controls the
blocking of oversized files and supports blocking by file extension. Virus signatures are
updated through the FortiGuard antivirus service. The antivirus engine can also be
updated through the FortiGuard antivirus service.
FortiOS antispam protection tags (SMTP, IMAP, POP3) or discards (SMTP only) email
messages determined to be spam. Multiple spam detection methods are supported
including the FortiGuard managed antispam service.
FortiOS web filtering can be configured to provide web (HTTP) content filtering. FortiOS
web filtering uses methods such as banned words, address block/exempt lists, and the
FortiGuard managed content service.
Whenever a IPS, antivirus, antispam or filtering event occurs, the modules can record the
event in the log and/or send an alert email to an operator.
FIPS 140-2 Compliant Operation
FIPS 140-2 compliant operation requires both that you use the module in its FIPS-CC
mode of operation and that you follow secure procedures for installation and operation of
the FortiGate-VM appliance. You must ensure that:
• The FortiGate-VM unit is configured in the FIPS-CC mode of operation.
• The VMWare server and FortiGate-VM appliance are installed in a secure physical
location.
• Physical access to the VMWare server and FortiGate-VM appliance unit are restricted
to authorized operators.
Self-Tests
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• Administrative passwords are at least 8 characters long.
• Administrative passwords are changed regularly.
• Administrator account passwords must have the following characteristics:
• One (or more) of the characters must be capitalized
• One (or more) of the characters must be numeric
• One (or more) of the characters must be non alpha-numeric (e.g. punctuation mark)
• Administration of the module is permitted using only validated administrative methods.
These are:
• Console connection
• Web-based manager via HTTPS
• Command line interface (CLI) access via SSH
• Diffie-Hellman groups of less than less than 2048 bits (Group 14) are not used.
• Client side RSA certificates must use 2048 bit or greater key sizes.
• LDAP based authentication must use secure LDAP (LDAPS).
• Only approved and allowed algorithms are used (see “Algorithms” on page 9).
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.
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
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
Note that enabling/disabling the FIPS-CC mode of operation will automatically invoke the
key zeroization service. The key zeroization is performed immediately after FIPS-CC
mode is enabled/disabled.
Self-Tests
The module executes the following self-tests during startup and initialization:
Non-FIPS Approved Services
FortiGate-VM Appliances FIPS 140-2 Security Policy
01-436-192877-20130104 14
• Firmware integrity test using RSA signatures
• Configuration/VPN bypass test using HMAC SHA-1
• Triple-DES, CBC mode, encrypt known answer test
• Triple-DES, CBC mode, decrypt known answer test
• AES, CBC mode, encrypt known answer test
• AES, CBC mode, decrypt known answer test
• HMAC SHA-1 known answer test
• SHA-1 known answer test (test as part of HMAC SHA-1 known answer test)
• HMAC SHA-256 known answer test
• SHA-256 known answer test (test as part of HMAC SHA-256 known answer test)
• RSA signature generation known answer test
• RSA signature verification known answer test
• RNG known answer test
The results of the startup self-tests are displayed on the console during the startup
process. The startup self-tests can also be initiated on demand using the CLI command
execute fips kat all (to initiate all self-tests) or execute fips kat <test> (to initiate a
specific self-test).
When the self-tests are run, each implementation of an algorithm is tested - e.g. when the
AES self-test is run, all AES implementations are tested.
The module executes the following conditional tests when the related service is invoked:
• Continuous RNG test
• RSA pairwise consistency test
• Configuration/VPN bypass test using HMAC SHA-1
• Firmware load test using RSA signatures
If any of the self-tests or conditional tests fail, the module enters an error state as shown
by the console output below:
Self-tests failed
Entering error mode...
The system is going down NOW !!
The system is halted.
All data output and cryptographic services are inhibited in the error state.
Non-FIPS Approved Services
The module also provides the following non-FIPS approved services:
• Configuration backups using password protection
• LLTP and PPTP VPN
If the above services are used, the module is not considered to be operating in the FIPS
approved mode of operation.