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FIPS 140-2 Security Policy
FortiMail-3000C
FortiMail-3000C FIPS 140-2 Security Policy
Document Version: 1.8
Publication Date: March 28, 20112
Description: Documents FIPS 140-2 Level 2 Security Policy issues, compliancy and requirements for FIPS
compliant operation.
Hardware Models: C4GY52
Firmware Version: FortiMail 4.0, build0369,110615
FortiMail-3000C FIPS 140-2 Security Policy
28 March 2012
06-420-144598-201100516
for FortiMail 4.0 MR2
© Copyright 2012 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®, FortiMail, 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.
FortiMail-3000C FIPS 140-2 Security Policy
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Contents
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Security Level Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Module Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Cryptographic Module Ports and Interfaces . . . . . . . . . . . . . . . . . . . . . 4
FortiMail-3000C Module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Web-Based Manager. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Command Line Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Roles, Services and Authentication . . . . . . . . . . . . . . . . . . . . . . . . . 7
Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Authentication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Physical Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Operational Environment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Cryptographic Key Management . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Random Number Generation . . . . . . . . . . . . . . . . . . . . . . . . . 11
Key Zeroization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Cryptographic Keys and Critical Security Parameters . . . . . . . . . . . . . 11
Alternating Bypass Feature . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Key Archiving. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) . . . . . 13
Mitigation of Other Attacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
FIPS 140-2 Compliant Operation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Enabling FIPS Mode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Self-Tests. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Non-FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
FortiMail-3000C FIPS 140-2 Security Policy
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Overview
This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’s FortiMail-3000C
Messaging Security Appliance. This policy describes how the FortiMail-3000C appliance
(hereafter referred to as the ‘module’) meets the FIPS 140-2 security requirements and
how to operate the module in a FIPS compliant manner. This policy was created as part of
the Level 2 FIPS 140-2 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
The FortiMail family of messaging security appliances provide an effective barrier against
the ever-rising volume of spam, maximum protection against sophisticated message-
based attacks, and features designed to facilitate regulatory compliance. FortiMail
appliances offer both inbound and outbound scanning, advanced antispam and antivirus
filtering capabilities, IP address black/white listing functionality, and extensive quarantine
Security Level Summary
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and archiving capabilities. Three deployment modes offer maximum versatility:
transparent mode for seamless integration into existing networks with no IP address
changes, gateway mode as a proxy Mail Transfer Agent (MTA) for existing messaging
gateways, or server mode to act as a mail server with functionality for small businesses
(SMBs) and remote offices.
Note: The server mode of operation is not a FIPS approved mode of operation.
Security Level Summary
The module meets the overall requirements for a FIPS 140-2 Level 2 validation.
.
Module Description
The FortiMail-3000C is a 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 firmware versioning information, including
build number and compile date, is FortiMail 4.0, build0369,110615. The firmware consists
of multiple object files. The cryptographic boundary of the FortiGate-3000C consists of the
outer metal chassis.
The module has 6 network interfaces with a status LED for each network interface (4
10/100/1000 Base-T, 2 SFP).
The module has 2 quad core, x86 compatible CPUs.
The module is a 2u rackmount device.
The module has 7 internal ventilation fans.
The evaluated configuration of the module includes 2 1TB hard disk drives. The module
supports up to 6 hard disk drives.
The module includes several components that are not supported by the FortiMail firmware
and are not part of the evaluated configuration:
• Control panel with LCD
• DVD drive
• 2 VGA ports
Table 1: Summary of FIPS security requirements and compliance levels
Security Requirement Compliance Level
Cryptographic Module Specification 2
Cryptographic Module Ports and Interfaces 3
Roles, Services and Authentication 3
Finite State Model 2
Physical Security 2
Operational Environment N/A
Cryptographic Key Management 2
EMI/EMC 2
Self-Tests 2
Design Assurance 3
Mitigation of Other Attacks N/A
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Cryptographic Module Ports and Interfaces
FortiMail-3000C Module
Figure 1: FortiMail-3000C Front and Rear Panels
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FortiMail 3000C
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USB Ethernet
ports 1-4
SFP ports
5-6
Power supplies
>
Back
Front
Gb 1 Gb 2 Gb 3 Gb 4
1 3
4
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2 5 6
I0I0I
Power
button
USB
1 TB hard
drives
Additional hard
drive slots
Serial
connector
Power supply
status indicator
HD activity
LED
HD status
LED
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Table 2: FortiMal-3000C Status LEDs
Table 3: FortiMail-3000C Front Panel Connectors and Ports
Table 4: FortiMail-3000C Rear Panel Connectors and Ports
LED State Description
Power Green The module is powered on.
Off The module is powered off.
Ports 1 to 4 Link Green Port is connected at 1000 Mbps.
Amber Port is connected at 10/100 Mbps.
Off Port is disconnected or down.
Activity Blinking Port is receiving or sending data.
Off Port may be on, but is not receiving or
sending data.
Ports 5 to 6 Green Port is online.
Off Port is disconnected or down.
Hard Disk Activity Blinking Disk read/write activity.
Off No disk activity.
Status Green Drive online.
Green, blinking slowly Drive rebuilding RAID.
Amber, blinking 4x/sec Drive failure.
Amber, blinking 2x/sec Identify drive, prepare for removal.
Blinking, green, amber, off Drive failure predicted.
Off Drive ready for removal.
AC Power Green AC power is connected and has power.
Amber Power supply problem.
Blinking, green, amber Power supply mismatch with 2nd power
supply.
Off AC power is not connected.
Connector Type Speed Supported Logical
Interfaces
Description
VGA DB-15 N/A N/A Not supported.
USB USB N/A Key loading and
archiving,
configuration backup
and restore
Optional connection
for USB token.
Connector Type Speed Supported Logical
Interfaces
Description
Ports 1 to 4 RJ-45 10/100/1000
BaseT
Data input, data
output, control input
and status output
Multimode fiber optic
connections to gigabit optical
networks.
Ports 5 and 6 SFP 1Gbps Data input, data
output, control input
and status output
Copper gigabit connection to
10/100/1000 copper networks.
Module Description
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Web-Based Manager
The web-based manager provides GUI 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 FortiMail 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 mode. HTTP
access to the web-based manager is not allowed in FIPS mode and is disabled.
Figure 2: The FortiMail web-based manager
CONSOLE DB-9 9600 bps Control input, status
output
Optional connection to the
management computer.
Provides access to the
command line interface (CLI).
VGA DB-15 N/A N/A Not supported.
USB USB N/A Key loading and
archiving,
configuration backup
and restore
Optional connection for USB
token.
POWER N/A N/A Power 120/240VAC power
connection.
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Command Line Interface
The 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 FortiMail unit and the management computer. The console connection is a
direct serial connection. Terminal emulation software is required on the management
computer using either method. For network access, a Telnet or SSH client that supports
the SSH v2.0 protocol is required (SSH v1.0 is not supported in FIPS mode).
Roles, Services and Authentication
Roles
When configured in FIPS mode, the module provides the following roles:
• Crypto Officer
• 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 also 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 User role can make use of the encrypt/decrypt services, but cannot access the
module for administrative purposes. The User role has access to the quarantine and email
relay services as defined by a Crypto Officer.
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 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 5: Services available to Crypto Officers
Service CO Key/CSP
authenticate to module WE Operator Username,
Operator Password
show system status E N/A
show FIPS mode enabled/disabled
(console only)
E N/A
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Authentication
The module uses identity based authentiction. By default, operators and users
authenticate with a username and password combination to access the module. Remote
operator authentication is done over HTTPS (TLS) or SSH. Local operator authentication
is done over the console connection. Remote user authentication is done over HTTPS
(TLS). Password entry is obfuscated using asterisks.
Operator authentication over HTTPS/SSH and 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.
Note that the user’s username and password are not stored on the module. The module
operates as a proxy for user authentication to a backend server (typically a mail server).
User authentication is done over HTTPS, POP3S, or IMAPS. HTTPS, POP3S and IMAPS
all use the underlying TLS protocol to protect user data between the client and the module
and the module and the back end server during the authentication process.
enable FIPS mode of operation (console
only)
WE Configuration Integrity Key
execute factory reset (zeroize keys,
disable FIPS mode)
WE All keys stored in Flash RAM
execute FIPS on-demand self-tests
(console only)
WE N/A
add/delete operators and users RWE Operator Username,
User Username
set/reset operator passwords WE Operator Password
modify user preferences RWE N/A
backup / restore configuration file WE Operator Password
read/set/delete/modify module
configuration
RWE N/A
enable/disable alternating bypass mode RWE N/A
execute firmware update WE Firmware Update Public Key
read log data (GUI only) R N/A
delete log data (GUI only) WE N/A
format log disk (CLI only) WE N/A
Table 6: Services available to Users
Service/CSP U Key/CSP
authenticate to module WE User Username,
User Password
access to quarantined email RWE SSL Server/Host Key, RNG keys,
Diffie-Hellman Keys, SSL session
keys
modify user preferences RWE N/A
encrypt/decrypt mail messages using
SMTPS protocol
E SSL Server/Host Key, RNG keys,
Diffie-Hellman Keys, SSL session
keys
Table 5: Services available to Crypto Officers
Service CO Key/CSP
Module Description
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The minimum password length is 8 characters when in FIPS-CC mode (maximum
password length is 80 characters). Using a strong password policy, where operator and
network user passwords are at least 8 characters in length and use a mix of alphanumeric
(printable) characters from the ASCII character set (as explained in “FIPS 140-2
Compliant Operation” on page 13), the odds of guessing a password are 1 in
8!x26x10x32x945
.
The module can also be configured to use RSA certificates (1024bit or 2048bit) for
operator authentication over HTTPS. Using RSA certificated, the odds of guessing the
authentication key are 1 in 21024
(based on a 1024bit RSA key size).
Physical Security
The modules meet FIPS 140-2 Security Level 2 requirements by using production grade
components and an opaque, sealed enclosure. Access to the enclosure is restricted
through the use of tamper-evident seals to secure the overall enclosure.
The seals are blue wax/plastic with white lettering that reads “Fortinet Inc. Security Seal”.
The tamper seals are not applied at the factory prior to shipping. It is the responsibility of
the Secuirty Administrator to apply the seals before use to ensure full FIPS 140-2
compliance. Once the seals have been applied, the Security Administrator must develop
an inspection schedule to verify that the external enclosure of the module and the tamper
seals have not been damaged or tampered with in any way. The Security Administrator is
also responsible for securing and controlling any unused seals.
The surfaces should be cleaned with rubbing 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.
The FortiMail-3000C uses 2 seals to secure:
• the external enclosure (one seal, see Figure 3)
• the front cover plate (one seal, see Figure 4
Module Description
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Figure 3: FortiMail-3000C external enclosure seal
Figure 4: FortiMail-3000C front cover plate seal
Operational Environment
This section is not applicable to the modules. The module utilizes a firmware based,
proprietary and non-modifiable operating system that does not provide a programming
environment.
Module Description
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Cryptographic Key Management
Random Number Generation
The module uses a firmware-based deterministic random number generator that conforms
to the FIPS 186-2 standard, Appendix 3.1, modified as per Change Notice 1.
Key Zeroization
Key zeroization is performed when resetting the module to the default configuration
parameters using the CLI execute factory reset command or through the web-
manager command equivalent. All keys except plaintext keys stored on the flash RAM are
zeroized during a factory reset. The plaintext keys stored on the flash RAM are zeroized
by formatting the flash RAM and then performing a firmware update. See Table 9 on
page 12 for a complete list of keys and CSPs.
Algorithms
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:
Table 7: FIPS Approved or Allowed Algorithms
Algorithm NIST Certificate Number
RNG (ANSI X9.31 Appendix A) 860
Triple-DES 1049
AES 1604
SHA-1 1417
HMAC SHA-1 940
RSA PKCS1 (digital signature creation and verification) 786
Table 8: Non-FIPS Approved Algorithms
Algorithm
DES (disabled in FIPS mode)
MD5 (disabled in FIPS mode except for use in the TLS protocol)
HMAC MD5 (disabled in FIPS mode)
Diffie-Hellman (key agreement; key establishment methodology provides between 96 and
196 bits of encryption strength)
RSA (key wrapping; key establishment methodology provides 80 or 112 bits of encryption
strength)
SHA-256 (non-compliant)
HMAC SHA-256 (non-compliant)
Key or CSP The key or CSP description.
Storage Where and how the keys are stored
Usage How the keys are used
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Alternating Bypass Feature
The primary cryptographic function of the module is encrypting/decrypting email
messages sent/received using SMTP over TLS (SMTPS). The module can also
send/received plain-text email messages using SMTP. The module implements an
alternating bypass feature based on the module’s configuration and the direction of traffic.
If the traffic is sent/received using SMTPS, the module is operating in a non-bypass state.
If the traffic is sent/received using SMTP, the module is operating in a bypass state.
Incoming traffic is processed according to the protocol used and the domain configuration.
An SMTPS message received by the module is decrypted before being processed. Once
processed, if the specified domain is configured to use SMTPS, the message is encrypted
before being sent to the mail server (non-bypass state). If the specified domain is
configured to use SMTP, then the message is sent to the mail server in plain-text (bypass
state).
Table 9: Cryptographic Keys and Critical Security Parameters used in FIPS Mode
Key or CSP Storage Usage
Diffie-Hellman Key SDRAM
Plaintext
Key agreement and key establishment
RNG Seed (ANSI X9.31
Appendix A.2.4)
SDRAM
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 for
download of new firmware versions
using RSA public key
Firmware Integrity Key Flash RAM
Plain-text
Verification of firmware integrity during
firmware integrity testing using RSA
public key
HTTPS/TLS Server/Host Key Flash RAM
Plain-text
RSA private key used in the
HTTPS/TLS protocols
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
Configuration Integrity Hash Flash RAM
Plain-text
SHA-1 hash used for configuration and
firmware integrity (bypass) tests
Operator Password Flash RAM
SHA-1 hash
Used during operator authentication
Operator Public Key SDRAM RAM,
Plain-text
RSA public key used for operator
authentication
User Password SDRAM
Plain-text
Used during user authentication
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Outgoing traffic is processed according to the message delivery configuration. If the
destination domain is configured to use SMTPS, then the message is encrypted before it
is sent (non-bypass state). If the destination domain is configured to use SMTP, then the
message is sent in plain-text (bypass state).
Use of SMTPS for incoming traffic is enabled/disabled by checking/unchecking the “Use
SMTPS” checkbox in the domain configuration.
Use of SMTPS for outgoing traffic is enabled/disabled by creating a delivery policy with
valid TLS and encryption profiles.
Key Archiving
The module supports key archiving to a management computer or USB token as part of a
module configuration file backup. Passwords and non-hard-coded keys are archived as
part of the module configuration file. The configuration file is stored in plain text, but
passwords and keys in the configuration file are AES encrypted (except for the operator
passwords, which are stored as SHA1 hashes).
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC)
The module complies with the US CFR Title 47, FCC Part 2, 15, Subpart B requirements
for Class A (business use) devices.
Mitigation of Other Attacks
The module does not mitigate against any other attacks.
FIPS 140-2 Compliant Operation
FIPS 140-2 compliant operation requires both that you use the module in its FIPS mode of
operation and that you follow secure procedures for installation and operation of the
FortiMail unit. You must ensure that:
• The FIPS mode of operation is enabled
• The FortiMail unit is installed in a secure physical location.
• Physical access to the FortiMail unit is restricted to authorized operators.
• 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 should be capitalized
• One (or more) of the characters should be numeric
• One (or more) of the characters should 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 (using TLS)
• Command line interface (CLI) access via SSH
• Diffie-Hellman key sizes of less than 1536 bits (Group 5) are not used.
To remain FIPS 140-2 compliant, the module can only be configured to operate in either
gateway or transparent mode.
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Enabling FIPS 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
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 compliant 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
compliant mode by executing the following command from the CLI:
get system status
If the module is running in FIPS compliant mode, the system status output will display the
line:
FIPS status: enabled
Self-Tests
The module executes the following self-tests during startup and initialization:
• Firmware integrity test using RSA 1024-bit signature verification
• Configuration bypass test using SHA-1 hash (Configuration table integrity test)
• Triple-DES, CBC mode, encrypt/decrypt known answer test
• AES, CBC mode, encrypt/decrypt known answer test
• HMAC SHA-1 known answer test
• RSA signature generation/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:
• to initiate all self-tests:
execute fips kat all
• To initiate a specific self-test:
execute fips kat <test>
The module executes the following conditional tests when the related service is invoked:
• Continuous RNG test
• RSA pairwise consistency test
• Configuration bypass test using SHA-1 hash (Configuration table integrity test)
• Firmware download integrity 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:
Non-FIPS Approved Services
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Self-tests failed
Entering error mode...
The system is going down NOW !!
The system is halted.
Non-FIPS Approved Services
The module also provides the following non-FIPS approved service:
• SHA-256 and HMAC SHA-256
If the above service is used, the module is not considered to be operating in the FIPS
approved mode of operation.