FAN TRAY FAN TRAY
FAN TRAY
13 11 9 7 5 3 1 2 4 6 8 10 12 14
5140
CR
ITI
CA
L
RE
SE
T
MA
JO
R
MI
NO
R
US
ER
1
US
ER
2
US
ER
3
5140SAP SERIAL 1 SERIAL 2 ALARM
FILTER
1 2
0 1 2
10/100
link/Act
ETH0
Service
RESET
STATUS
Hot Swap
link/Act
ETH0 ETH1
10/100
5000SM
5001A-SW
ASM-FB4
LINK
ACT
1
2
3
4
LINK
ACT
LINK
ACT
LINK
HS
OOS
PWR
OT
ACT
ADM-FB8
HS
OOS
PWR
OT
1
2
3
4
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
5
6
7
8
PWR
STA
IPM
CONSOLE
USB
1
2
3
4
5
6
7
8
ACC
FIPS 140-2 Security Policy
FortiGate-5140 Chassis with FortiGate 5000 Series Blades
FortiGate-5140 Chassis with FortiGate 5000 Series Blades FIPS 140-2 Security Policy
Document Version: 2.2
Publication Date: May 20, 2014
Description: Documents FIPS 140-2 Level 2 Security Policy issues, compliancy and requirements for
FIPS compliant operation.
Firmware Version: FortiOS 4.0, build3830, 131223
Hardware Version: FortiGate-5140 (C4GL51) ASM-FB4 (AMC4F9)
FortiGate-5001SX (P4CF76-) Shelf Manager (PN 21594 346)
FortiGate-5001A-DW (P4CJ36-04) Alarm Panel (PN 21594 159)
FortiGate-5001A-SW (P4CJ36-02) Air Filter (PN P10938-01)
FortiGate-5001B (P4EV74) Blank Filler Panel - Front (PN P10945-01)
ADM-FB8 (P4FC12) Blank Filler Panel - Rear (PN P10946-01)
FortiGate-5140 Chassis with FortiGate 5000 Series Blades: FIPS 140-2 Security Policy
01-436-177867-20120805
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-5140 with 5000 Series Blades FIPS 140-2 Security Policy
01-436-177867-20120805 1
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Contents
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Security Level Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Module Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Chassis Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Blade Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
AMC Module Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Cryptographic Module Ports and Interfaces . . . . . . . . . . . . . . . . . . . . . 6
FortiGate-5001SX Blade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
FortiGate-5001A-DW and SW Blades . . . . . . . . . . . . . . . . . . . . . . 7
FortiGate-5001B Blade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
ADM-FB8 AMC Component . . . . . . . . . . . . . . . . . . . . . . . . . . 11
ASM-FB4 AMC Component . . . . . . . . . . . . . . . . . . . . . . . . . . 12
FortiGate-5140 Chassis . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Web-Based Manager. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Command Line Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Roles, Services and Authentication . . . . . . . . . . . . . . . . . . . . . . . . 15
Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Authentication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Physical Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Operational Environment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Cryptographic Key Management . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Random Number Generation . . . . . . . . . . . . . . . . . . . . . . . . . 20
Key Zeroization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Cryptographic Keys and Critical Security Parameters . . . . . . . . . . . . . 21
Alternating Bypass Feature . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Key Archiving. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) . . . . . 24
Mitigation of Other Attacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
FIPS 140-2 Compliant Operation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Enabling FIPS-CC mode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Self-Tests. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Non-FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Overview
FortiGate-5140 with 5000 Series Blades FIPS 140-2 Security Policy
01-436-177867-20120805 2
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Overview
This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’s FortiGate-5140
chassis with the FortiGate-5001SX, 5001A-DW, 5001A-SW and 5001B blade based Multi-
Threat Security Systems. This policy describes how the FortiGate-5001SX, 5001A-DW,
5001A-SW and 5001B blades, when installed in the FortiGate-5140 chassis (hereafter
referred to in combination as the ‘module’ or ‘modules’), meet the FIPS 140-2 security
requirements and how to operate the modules in a FIPS compliant manner. This policy
was created as part of the Level 2 FIPS 140-2 validation of the modules.
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
FortiGate-5140 with 5000 Series Blades FIPS 140-2 Security Policy
01-436-177867-20120805 3
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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 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 1.0 in the
FIPS-CC mode of operation.
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 3
Roles, Services and Authentication 3
Finite State Model 2
Physical Security 2
Operational Environment 2
Cryptographic Key Management 2
EMI/EMC 2
Self-Tests 2
Design Assurance 3
Mitigation of Other Attacks 2
Module Description
FortiGate-5140 with 5000 Series Blades FIPS 140-2 Security Policy
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Module Description
The FortiGate modules (the blades and chassis in combination) are multiple chip,
standalone cryptographic devices consisting of production grade components contained in
a physically protected enclosure in accordance with FIPS 140-2 Level 2 requirements.
The blades run the FortiOS firmware, perform all of the cryptographic functions and
provide the input/output interfaces. The chassis provide power, cooling and physical
protection for the modules as a whole. The chassis do not run FortiOS firmware.
The modules are Internet devices that provide integrated firewall, VPN, antivirus,
antispam, intrusion prevention, content filtering and traffic shaping 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-5001SX, 5001A-SW, 5001A-DW and 5001B blades are multiple chip,
standalone cryptographic modules consisting of production grade components contained
in a physically protected enclosure (the FortiGate-5140 chassis) in accordance with FIPS
140-2 Level 2 requirements.
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 validated firmware version is FortiOS 4.0, build3830, 131223.
Figure 1, Figure 2, Figure 3, Figure 4, Figure 5, Figure 6, Figure 7 and Figure 8 are
representative of the modules tested.
Chassis Descriptions
The FortiGate-5140 has 3 hot swappable, internal ventilation fan units that draw in air from
the bottom front of the chassis and expel it from the top rear. These fans are excluded
from the requirements of FIPS 140-2, as they provide no security relevant function.
The FortiGate-5140 supports uses two, hot-swappable, DC power entry modules (PEMs).
These PEMs are excluded from the requirements of FIPS 140-2, as they provide no
security relevant function.
The FortiGate-5140 chassis uses an external DC power source.
The FortiGate-5140 chassis supports removable Shelf Manager (2) and Shelf Alarm (1)
panels. One Shelf-Manager and one Alarm Panel are installed by default.
The FortiGate-5140 chassis includes slots for rear-panel blades. However, the rear panel
slots are not populated in the validated configuration.
Blade Descriptions
The blades have a similar appearance and perform the same functions, but have different
numbers and types of network interfaces in order to support different network
configurations:
Module Description
FortiGate-5140 with 5000 Series Blades FIPS 140-2 Security Policy
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The FortiGate-5001SX blade has:
• 8 Gigabit network interfaces with a status LED for each interface (4x Gigabit SFP, 4x
10/100/1000 BaseT)
• 2 x86 compatible CPUs
• 1 DB-9 Serial (console) port
• 2 USB ports
The FortiGate-5001A-DW blade has:
• 2 network interfaces with a status LED for each network interface (2x 10/100/1000
BaseT)
• 2 x86 compatible CPUs
• 1 RJ-45 Serial (console) port
• 2 USB ports
• 1 dual-width AMC slot
The FortiGate-5001A-SW blade has:
• 2 network interfaces with a status LED for each network interface (2x 10/100/1000
BaseT);
• 2 x86 compatible CPUs
• 1 RJ-45 Serial (console) port
• 2 USB ports
• 1 single-width AMC slot
The FortiGate-5001B blade has:
• 10 network interfaces with a status LED for each network interface (2x 10/100/1000
BaseT, 8x 10Gbit SFP+)
• 2 x86 compatible CPUs
• 1 RJ-45 Serial (console) port
• 2 USB ports
• The FortiGate-5001B blade includes a 64G SSD drive
AMC Module Descriptions
The FortiGate-5001A blades support one single or dual-width optional Advanced
Mezzanine Card (AMC) components as described above. The AMC components can
provide hard disk support or additional network interfaces. The validated configuration
uses the following AMC modules:
• The ADM-FB8 dual width AMC networking module with 8x 1Gbit SFP fiber ports,
installed in the FortiGate-5001A-DW blade.
• The ASM-FB4 single width AMC networking module with 4x 1Gbit SFP fiber ports.,
installed in the FortiGate-5001A-SW blade.
Module Description
FortiGate-5140 with 5000 Series Blades FIPS 140-2 Security Policy
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Cryptographic Module Ports and Interfaces
FortiGate-5001SX Blade
Figure 1: FortiGate-5001SX Front Panel
l
Table 2: FortiGate-5001SX Status LEDs
LED State Description
PWR Green The Fortinet module is powered on.
ACC Off or
Flashing
red
The ACC LED flashes red when the Fortinet module
accesses the FortiOS flash disk. The FortiOS flash disk
stores the current FortiOS firmware build and
configuration files. The system accesses the flash disk
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.
STA Green Normal operation.
Red The Fortinet is starting or a fault condition exists.
IPM Blue The Fortinet is ready to be hot-swapped (removed from
the chassis). If the IPM light is blue and no other LEDs
are lit the Fortinet module has lost power, possibly
because of a loose or incorrectly aligned left extraction
lever.
Flashing
Blue
The Fortinet is changing from hot swap to running mode
or from running mode to hot swap.
Off Normal operation. The Fortinet module is in contact with
the chassis backplane.
1, 2, 3, 4 Green The correct cable is connected to the gigabit SFP
interface.
Flashing Network activity at the gigabit SFP interface.
5, 6,
7, 8
Link
LED
Green The correct cable is inserted into this interface and the
connected equipment has power.
Flashing Network activity at this interface.
Speed
LED
Green The interface is connected at 1000 Mbps.
Amber The interface is connected at 100 Mbps.
Unlit The interface is connected at 10 Mbps.
PWR STA IPM
CONSOLE USB 1 2 3 4 5 6 7 8
ACC
1 2 3 4
SFP Gigabit fiber
or copper
5 6 7 8
Gigabit Copper
Console
Port
Power Status
Module
Position
Link/Traffic
USB Ports
Extraction
Lever
Mounting
Knot
Mounting
Knot
Locking
Screw
Extraction
Lever
Flash Disk
Access
Module Description
FortiGate-5140 with 5000 Series Blades FIPS 140-2 Security Policy
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Table 3: FortiGate-5001SX Front Panel Connectors and Ports
FortiGate-5001A-DW and SW Blades
Figure 2: FortiGate-5001A-DW Front Panel
Figure 3: FortiGate-5001A-SW Front Panel
Connector Type Speed Supported Logical
Interfaces
Description
1, 2, 3, 4 SFP 1Gbps Data input, data
output, control input
and status output
Gigabit SFP interfaces
that can accept fiber or
copper gigabit
transceivers. These
interfaces only operate at
1000Mbps.
5, 6, 7, 8 RJ-45 10/100/1000
BaseT
Data input, data
output, control input
and status output
Copper gigabit
connection to
10/100/1000Base-T
copper networks.
Console
Port
DB-9 9600 bps Control input, status
output
Optional connection to
the management
computer. Provides
access to the command
line interface (CLI).
USB Ports USB N/A Key loading and
archiving
Optional connection for
FortiUSB token.
port1 and port2
10/100/1000
Copper Interfaces
USB
Fabric and Base
network activity
LEDs
Double-width AMC
opening
RJ-45
Console
Extraction
Lever
Retention
Screw
Extraction
Lever
Retention
Screw
IPM
LED
(board
position)
ACC
OOS
Power
Status
LEDs
5001A-SW
port1 and port2
10/100/1000
Copper Interfaces
USB
Fabric and Base
network activity
LEDs
Single-width AMC
opening
RJ-45
Console
Extraction
Lever
Retention
Screw
Extraction
Lever
Retention
Screw
IPM
LED
(board
position)
ACC
OOS
Power
Status
LEDs
Module Description
FortiGate-5140 with 5000 Series Blades FIPS 140-2 Security Policy
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Table 4: FortiGate-5001A-DW and SW Status LEDs
LED State Description
1,2
(Left LED)
Green The correct cable is connected to the
interface and the connected equipment
has power.
Flashing
Green
Network activity at the interface.
Off No link is established.
1,2
(Right LED)
Green Connection at 1 Gbps.
Amber Connection at 100 Mbps.
Off Connection at 10 Mbps.
Base CH0 Green Base backplane interface 0(base1) is
connected at 1 Gbps.
Flashing
Green
Network activity at base backplane
interface 0.
Base CH1 Green Base backplane interface 1 (base2) is
connected at 1 Gbps.
Flashing
Green
Network activity at base backplane
interface 1.
Fabric CH0 Green Fabric backplane interface 0 (fabric1)
is connected at 1 Gbps.
Flashing
Green
Network activity at fabric backplane
interface 0.
Fabric CH1 Green Fabric backplane interface 1 (fabric2) is
connected at 1 Gbps.
Flashing
Green
Network activity at fabric backplane
interface 1.
ACC
Off or
Flashing
green
The ACC LED flashes green when the
FortiGate-5001A blade accesses the
FortiOS flash disk. The FortiOS flash disk
stores the current FortiOS firmware build
and configuration files. The system
accesses the flash disk 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.
OOS
Off Normal operation.
Green A fault condition exists and the FortiGate-
5001A blade is out of service (OOS). This
LED may also flash very briefly during
normal startup.
Module Description
FortiGate-5140 with 5000 Series Blades FIPS 140-2 Security Policy
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Table 5: FortiGate-5001A-DW Front Panel Connectors and Ports
FortiGate-5001B Blade
Figure 4: FortiGate-5001B Front Panel
Power
Green The FortiGate-5001A blade is powered
on.
Status
Green The FortiGate-5001A blade is powered
on.
IPM
Blue The FortiGate-5001A is ready to be hot-
swapped (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-5001A is changing from
hot swap to running mode or from running
mode to hot swap.
Off Normal operation. The FortiGate-5001A
blade is in contact with the chassis
backplane.
Connector Type Speed Supported Logical
Interfaces
Description
1, 2 RJ-45 10/100/1000
Base T
Data input, data
output, control
input and status
output
Copper gigabit
connection to
10/100/1000Base-T
copper networks.
CONSOLE RJ-45 9600 bps Control input,
status output
Optional connection to
the management
computer. Provides
access to the command
line interface (CLI).
USB Ports USB N/A Key loading and
archiving
Optional connection for
FortiUSB token.
1
MGMT 1 and MGMT 2
10/100/1000 Copper
Management Interfaces
1 to 8
10 Gig
SFP+ Interfaces
USB
Fabric and Base
network activity
LEDs
RJ-45
Console
Extraction
Lever
Retention
Screw
Extraction
Lever
Retention
Screw
IPM
LED
(board
position)
OOS
LED
STA
LED
PWR
LED
ACC
LED
Factory use
Module Description
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Table 6: FortiGate-5001B Status LEDs
LED State Description
1 to 8 Green The correct cable is connected to the
interface and the connected equipment
has power.
Flashing
Green
Network activity at the interface.
Off No link is established.
Base 1 Green Base backplane interface is connected at
1 Gbps.
Flashing
Green
Network activity at base backplane
interface.
Base 2 Green Base backplane interface is connected at
1 Gbps.
Flashing
Green
Network activity at base backplane
interface.
Fabric 1 Green Fabric backplane interface is
connected at 10 Gbps.
Flashing
Green
Network activity at fabric backplane
interface.
Fabric 2 Green Fabric backplane interface is connected
at 10 Gbps.
Flashing
Green
Network activity at fabric backplane
interface.
ACC
Off or
Flashing
green
The ACC LED flashes green when the
FortiGate-5001B blade accesses the
FortiOS flash disk. The FortiOS flash disk
stores the current FortiOS firmware build
and configuration files. The system
accesses the flash disk 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.
OOS
Off Normal operation.
Green A fault condition exists and the FortiGate-
5001B blade is out of service (OOS). This
LED may also flash very briefly during
normal startup.
Power
Green The FortiGate-5001B blade is powered
on.
Module Description
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Table 7: FortiGate-5001B Front Panel Connectors and Ports
ADM-FB8 AMC Component
Figure 5: ADM-FB8 AMC Component
Status
Off The FortiGate-5001B blade is powered
on.
Flashing The FortiGate-5001B is starting up. If this
LED is flashing at any time other than
system startup, a fault condition may
exist.
IPM
Blue The FortiGate-5001B is ready to be hot-
swapped (removed from the chassis). If
the IPM light is blue and no other LEDs
are lit the FortiGate-5001A blade has lost
power.
Flashing The FortiGate-5001B is changing from
hot swap to running mode or from running
mode to hot swap.
Off Normal operation. The FortiGate-5001B
blade is in contact with the chassis
backplane.
Connector Type Speed Supported Logical
Interfaces
Description
1 to 8 SFP+ 10Gbps Data input, data
output, control
input and status
output
MGMT1 and
MGMT 2
RJ-45 10/100/1000
Base-T
Data input, data
output, control
input and status
output
CONSOLE 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 N/A Optional
connection for USB
token.
ADM-FB8
HS
OOS
PWR
OT
1 2 3 4
LINK
ACT LINK
ACT LINK
ACT LINK
ACT LINK
ACT LINK
ACT LINK
ACT LINK
ACT
5 6 7 8
Module Description
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ASM-FB4 AMC Component
Figure 6: ASM-FB4 AMC Component
Table 8: ADM-FB8 Status LEDs
LED State Description
HS Blue Ejection latch open.
Flashing
Blue
Ejection latch opened during system operation.
OOS Reserved for future use.
PWR Amber The module is properly inserted in the FortiGate unit.
Off The module is not receiving power from the FortiGate
unit.
OT Reserved for future use
LINK Green The correct cable is in use and the connected
equipment has power.
Off No link established.
ACT Flashing
Amber
Network activity at this interface.
Off No network activity at this interface.
Table 9: ADM-FB8 Front Panel Connectors and Ports
Connector Type Speed Supported Logical
Interfaces
Description
1-8 LC-SFP 1Gbps Data input, data
output, control
input and status
output
Accelerated gigabit
SFP interfaces that
can accept fiber or
copper gigabit
transceivers.
Table 10: ASM-FB4 Status LEDs
LED State Description
HS Blue Ejection latch open.
Flashing
Blue
Ejection latch opened during system operation.
OOS Reserved for future use.
PWR Amber The module is properly inserted in the FortiGate unit.
Off The module is not receiving power from the FortiGate
unit.
ASM-FB4
LINK ACT
1 2 3 4
LINK ACT LINK ACT LINK
HS
OOS
PWR
OT
ACT
Module Description
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FortiGate-5140 Chassis
Figure 7: FortiGate-5140 Front Panel
OT Reserved for future use.
LINK Green The correct cable is in use and the connected
equipment has power.
Off No link established.
ACT Flashing
Amber
Network activity at this interface.
Off No network activity as this interface.
Table 11: ASM-FB4 Front Panel Connectors and Ports
Connector Type Speed Supported Logical
Interfaces
Description
Ports 1 to 4 SERDES
compatible
SX fiber
1000
BaseSX
Data input, data
output, control
input and status
output
Fiber network
connections.
Table 10: ASM-FB4 Status LEDs
LED State Description
FAN TRAY FAN TRAY
FAN TRAY
13 11 9 7 5 3 1 2 4 6 8 10 12 14
5140
CRITICAL
RESET
MAJO
R
MINOR
USER1
USER2
USER3
5140SAP SERIAL 1 SERIAL 2 ALARM
FILTER
1 2
0 1 2
10/100
link/Act
ETH0
Service
RESET
STATUS
Hot Swap
link/Act
ETH0 ETH1
10/100
5000SM
5001A-SW
ASM-FB4
LINK
ACT
1
2
3
4
LINK
ACT
LINK
ACT
LINK
HS
OOS
PWR
OT
ACT
ADM-FB8
HS
OOS
PWR
OT
1
2
3
4
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
5
6
7
8
PWR
STA
IPM
CONSOLE
USB
1
2
3
4
5
6
7
8
ACC
Primary
shelf manager
Cooling fan
trays 0, 1, 2
Front cable
tray
ESD socket
Slot
numbers
Shelf alarm
panel (SAP)
Front accessible
air filter
Module Description
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Figure 8: FortiGate-5140 Rear Panel
Web-Based Manager
The FortiGate 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 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.
1
2
3
4
1
2
3
4
HS
HS
operate
Alarm
1
2
3
4
1
2
3
4
HS
HS
operate
Alarm
-48V/-60 VDC nom RTN
1
2
3
4
1
2
3
4
-48V/-60 VDC nom RTN
1
2
3
4
1
2
3
4
B
PEM PEM A
Power
Entry Module A
(terminal block
cover removed)
Power
Entry Module B
Chassis
ground
connector
(green)
-48V/-60 VDC
nom (black)
RTN
(red)
RTN
(red)
Back cable
tray
ESD
socket
TERMINAL BLOCK COVER
Remove terminal block cover and
decable before removing PEM.
TERMINAL BLOCK COVER
Remove terminal block cover and
decable before removing PEM.
-48V
RTN
-48V/-60 VDC
nom (black)
Backplane
slot filler
panels
Module Description
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Figure 9: The FortiGate web-based manager
Command Line Interface
The FortiGate Command Line Interface (CLI) is a full-featured, text based management
tool for the module. The CLI provides access to all of the possible services and
configuration options in the module. The CLI uses a console connection or a network
(Ethernet) connection between the FortiGate unit and the management computer. The
console connection is a direct serial connection. Terminal emulation software is required
on the management computer using either method. For network access, a Telnet or SSH
client that supports the SSH v2.0 protocol is required (SSH v1.0 is not supported in FIPS-
CC mode). Telnet access to the CLI is not allowed in FIPS-CC mode and is disabled.
Roles, Services and Authentication
Roles
When configured in FIPS-CC mode, the module provides the following roles:
• 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.
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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 12: Services available to Crypto Officers
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 20
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
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
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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. Password
entry is obfuscated using asterisks and the module does not provide feedback on the
authentication process - i.e. the module does not indicate if the password or the
user/operator account is incorrect for a failed authentication attempt.
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.
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.
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 firmware 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 13: Services available to Network Users
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 12: Services available to Crypto Officers
Service Access Key/CSP
Module Description
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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 25.
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 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 serialized 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 module and the tamper seals have not
been damaged or tampered with in any way. The Crypto Officer is also responsible for
securing and controlling any unused seals.
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 ordered through your Fortinet sales contact. Reference the
following SKU when ordering: FIPS-SEAL-RED. Specify the number of seals required
based on the specific module as described below.
The FortiGate-5140 uses 25 seals to secure:
• the blades, shelf-manager, shelf-alarm, blank face plates and filter (1 seals, see
Figure 10)
• the rear panel blank face plates (13 seals, see Figure 11)
Module Description
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Figure 10: FortiGate-5140 front seals
Figure 11: FortiGate-5140 rear panel seals
FAN TRAY FAN TRAY
FAN TRAY
Fortinet Security Seal
01000
13 11 9 7 5 3 1 2 4 6 8 10 12 14
5140
CRITICAL
RES
ET
MAJO
R
MINOR
USE
R1
USE
R2
USE
R3
5140SAP SERIAL 1 SERIAL 2 ALARM
FILTER
1 2
0 1 2
10/100
link/Act
ETH0
Service
RESET
STATUS
Hot Swap
link/Act
ETH0 ETH1
10/100
5000SM
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet Security Seal
01000
5001A-SW
ASM-FB4
LINK
ACT
1
2
3
4
LINK
ACT
LINK
ACT
LINK
HS
OOS
PWR
OT
ACT
ADM-FB8
HS
OOS
PWR
OT
1
2
3
4
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
LINK
ACT
5
6
7
8
PWR
STA
IPM
CONSOLE
USB
1
2
3
4
5
6
7
8
ACC
Fortinet Security Seal
01000
Fortinet Security Seal
01000
Fortinet Security Seal
01000
Fortinet Security Seal
01000
Fortinet Security Seal
01000
Fortinet Security Seal
01000
Fortinet Security Seal
01000
Seals 3 to 9 of 25
Seal 12 of 25
Seal 11 of 25
Seal 2 of 25
FortiGate-5001SX
FortiGate-5001B
FortiGate-5001A-DW
FortiGate-5001A-SW
ADM-FB8
ASM-FB4
Fortinet Security Seal
01000
Seal 1 of 25
Seal 11 of 25
1
2
3
4
1
2
3
4
HS
HS
operate
Alarm
1
2
3
4
1
2
3
4
HS
HS
operate
Alarm
-48V/-60 VDC nom RTN
1
2
3
4
1
2
3
4
-48V/-60 VDC nom RTN
1
2
3
4
1
2
3
4
B
PEM PEM A
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Fortinet
Security
Seal
01000
Seals 13 to 25 of 25
Module Description
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Operational Environment
The module consists 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 number generator that
conforms to ANSI X9.31 Appendix A.2.4.
The ANSI X9.31 RNG is seeded using a 128-bit AES seed key generated external to the
module (estimated entropy 128 bits) and 256 bits of seed (estimated entropy 60 bits)
gathered from a random pool filled with 64 bytes of system data and internal resources
such as time, memory addresses, kernel ticks, and module identifiers. As the module's
ANSI X9.31 RNG implementation only generates random values of size 128 bits, it would
take multiple calls to form a 256-bit key. Each time a key is generated with a bit length of
more than 128 bits, the key is refreshed with an additional 12 bits of entropy. The total
estimated strength for the two calls required to form a 256 bit key would be at theoretical
best 200 bits.
Key Zeroization
The zeroization process must performed under the direct control of the operator. The
operator must be present to observe that the zeroization method has completed
successfully.
All keys except the following are zeroized by executing a factory reset:
• 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 formatting the modules’ flash memory storage. To
format the flash memory, connect a computer to the modules’ console port and reboot the
module. Access the configuration menu by pressing any key when prompted (see
example below). Select “F” to format the flash memory (boot device).
Press any key to display configuration menu...
[G]: Get firmware image from TFTP server.
[F]: Format boot device.
[B]: Boot with backup firmware and set as default.
[I]: Configuration and information.
[Q]: Quit menu and continue to boot with default firmware.
[H]: Display this list of options.
Enter G,F,B,I,Q,or H:
Module Description
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Algorithms
Some algorithms may be classified as deprecated, restricted, or legacy-use. Please
consult NIST SP 800-131A for details.
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:
Table 14: FIPS Approved Algorithms
Algorithm NIST Certificate Number
RNG (ANSI X9.31 Appendix A) 1234
Triple-DES 1423, 1424, 1425,1572, 1573
AES 2276, 2277, 2278, 2607, 2608
SHA-1 1957, 1958, 1959, 2191, 2192
SHA-256 1957, 1958, 1959, 2191, 2192
HMAC SHA-1 1394, 1395, 1396,1615, 1616
HMAC SHA-256 1394, 1395, 1396,1615, 1616
RSA PKCS1 (digital signature creation and verification) 1168, 1169, 1334
Table 15: FIPS Allowed Algorithms
Algorithm
RSA (key establishment methodology provides 80 or 112 bits of encryption strength)
Diffie-Hellman (key agreement; key establishment methodology provides between 80 and
201bits of encryption strength; non-compliant less than 80-bits of encryption strength)
NDRNG
Table 16: Non-FIPS Approved Algorithms
Algorithm
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)
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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Table 17: 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
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
Module Description
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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.
When traffic is routed over the non-virtual interfaced, the module is operating in a bypass
state. When traffic is routed over the virtual interface, the module is operating in a non-
bypass state.
In both cases, 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.
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 17: Cryptographic Keys and Critical Parameters used in FIPS-CC Mode
Key or CSP Storage Usage
Mitigation of Other Attacks
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Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC)
The modules comply with EMI/EMC requirements for Class A (business use) devices as
specified by Part 15, Subpart B, of the FCC rules. The following table lists the specific lab
and FCC report information for the modules.
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 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.
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.
For complete information refer to the FortiGate Installation Guide for the specific module in
question, the FortiGate Administration Guide and the FortiGate IPS Guide.
Table 18: FCC Report Information
Module Lab Information FCC Report
Number
FG-5001SX Compliance Certification Services
Inc.
561F Monterey Road
Morgan Hill, CA, 95037, USA
(408) 463-0885
06U10772-1
FG-5001A-DW and SW Bay Area Compliance Laboratories
Corp.
1274 Anvilwood Ave.
Sunnyvale, CA 94089
(408) 732-9162
R0805134
FG-5001B The module is declared to conform
with EMI/EMC requirements for
Class A (business use) devices as
specified by Part 15, Subpart B, of
the FCC rules.
N/A
FIPS 140-2 Compliant Operation
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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 unit. You must ensure that:
• The FortiGate unit is configured in the FIPS-CC mode of operation.
• The FortiGate unit is installed in a secure physical location.
• Physical access to the FortiGate 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
• Command line interface (CLI) access via SSH
• Diffie-Hellman groups of less than less than 1024 bits (Group 5) are not used.
• Client side RSA certificates must use 1024 bit or greater key sizes.
• LDAP based authentication must use secure LDAP (LDAPS).
• Only approved and allowed algorithms are used (see “Algorithms” on page 21).
• The tamper evident seals are applied (see “Physical Security” on page 18).
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. Also, on LCD-equipped modules, Transparent mode is indicated by “FIPS-CC-
TP” and NAT/Route by “FIPS-CC-NAT” on the LCD display.
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:
Self-Tests
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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:
• 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
• Continuous NDRNG 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
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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.