FIPS 140-2 Non-Proprietary Security Policy
FortiWeb-3000E/4000E
FortiWeb-3000E/4000E FIPS 140-2 Security Policy
Document Version: 2.3
Publication Date: Thursday, January 04, 2018
Description: Documents FIPS 140-2 Non-Proprietary Level 2 Security Policy issues, compliancy and requirements
for FIPS compliant operation.
Firmware Version: v5.6.0, build 6180,170928
Hardware Version: FortiWeb-3000E (C1AD49) FortiWeb-4000E (C1AF19)
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FortiWeb-3000E/4000E FIPS 140-2 Non-Proprietary Level 2 Security Policy
01-560-0418200-20170410
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TABLE OF CONTENTS
Overview 5
References 5
Introduction 6
Security Level Summary 7
Module Descriptions 8
Cryptographic Module Ports and Interfaces 9
FortiWeb- 3000E 9
FortiWeb-4000E 12
Web-Based Manager 14
Command Line Interface 15
Roles, Services and Authentication 15
Roles 15
FIPS Approved Services 16
Non-FIPS Approved Services 17
Authentication 18
Physical Security 18
Operational Environment 21
Cryptographic Key Management 21
Random Number Generation 21
Entropy 21
Key Zeroization 21
Algorithms 22
Cryptographic Keys and Critical Security Parameters 23
Alternating Bypass Feature 26
Key Archiving 26
Mitigation of Other Attacks 27
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) 28
FIPS 140-2 Compliant Operation 29
Enabling FIPS-CC mode 30
Self-Tests 31
Startup and Initialization Self-tests 31
Conditional Self-tests 32
Critical Function Self-tests 32
Error State 32
Overview References
Overview
This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’s FortiWeb-3000E and 4000E Web
Application Firewall appliances. This policy describes how the FortiWeb-3000E and 4000E (hereafter referred to
as the ‘modules’) meet the FIPS 140-2 security requirements and how to operate the module in a FIPS compliant
manner. This policy was created as part of the FIPS 140-2 Level 2 validation of the modules.
The Federal Information Processing Standards Publication 140-2 - Security Requirements for Cryptographic
Modules (FIPS 140-2) details the United States Federal Government requirements for cryptographic modules.
Detailed information about the FIPS 140-2 standard and validation program is available on the NIST (National
Institute of Standards and Technology) website at http://csrc.nist.gov/groups/STM/cmvp/index.html.
References
This policy deals specifically with operation and implementation of the modules in the technical terms of the FIPS
140-2 standard and the associated validation program. Other Fortinet product manuals, guides and technical
notes can be found at the Fortinet technical documentation website at http://docs.fortinet.com.
Additional information on the entire Fortinet product line can be obtained from the following sources:
l Find general product information in the product section of the Fortinet corporate website at
http://www.fortinet.com/products.
l Find on-line product support for registered products in the technical support section of the Fortinet corporate
website at http://www.fortinet.com/support.
l Find contact information for technical or sales related questions in the contacts section of the Fortinet corporate
website at http://www.fortinet.com/contact.
l Find security information and bulletins in the FortiGuard Center of the Fortinet corporate website at
http://fortiguard.com.
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References Introduction
Introduction
The FortiWeb Web Application Firewall provides specialized, layered application threat protection for medium
and large enterprises, application service providers, and SaaS providers. FortiWeb Web Application Firewall
protects your web-based applications and internet-facing data from attack and data loss. Using advanced
techniques to provide bidirectional protection against malicious sources, application layer DoS Attacks and
Sophisticated Threats like SQL injection and Cross-site scripting.
FortiWeb platforms help you prevent identity theft, financial fraud and denial of service. It delivers the technology
you need to monitor and enforce government regulations, industry best practices, and internal policies.
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Security Level Summary References
Security Level Summary
The modules meets 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 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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References Module Descriptions
Module Descriptions
The FortiWeb- 3000E and FortiWeb- 4000E are multiple chip, standalone cryptographic modules consisting of
production grade components contained in a physically protected enclosure in accordance with FIPS 140-2 Level
2 requirements.
The modules 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:
FortiWeb-3000E specifications:
l 16 network interfaces (4x 1GB SFP, 4x 10G SFP+, 8x 10/100/1000 Base-T)
l Two x86 compatible CPUs
l 2U rackmount device
l 4TB (2TB x 2) hard disk drives
FortiWeb-4000E specifications:
l 16 network interfaces (4x 1GB SFP, 2x 10G SFP+, 2x SFP+ paired bypass ports, 8x 10/100/1000 Base-T)
l Two x86 compatible CPUs
l 2U rackmount device
l 4TB (2TB x 2) hard disk drives
The validated firmware version is FortiWeb v5.6.0, build 6180,170928
Figure 1 and Figure 2 are representative of the modules tested.
The FortiWeb-4000E module also has 2 bypass interfaces (SFP+ ports 3 and 4) that are paired with SFP+ ports 1
and 2. If bypass is enabled, these interfaces provide a physical bypass of the paired port if the module fails,
hangs or power is lost. Use of the bypass capability is a non-FIPS approved service.
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Module Descriptions Cryptographic Module Ports and Interfaces
Cryptographic Module Ports and Interfaces
FortiWeb- 3000E
Figure 1: FortiWeb-3000E Front and Rear Panels
Table 2: FortiWeb-3000E Status LEDs
LED State Description
Power Blue The module is powered on.
Off The module is powered off.
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Cryptographic Module Ports and Interfaces Module Descriptions
LED State Description
Power Connections Green Power supply operating normally, power on
Flashing Green Power supply operating normally, system standby
Flashing Yellow Power supply malfunction
Off Power not connected
HDD Power Blue HDD power on
Off HDD power off
HDD Activity Flashing Green HDD read/write
Off HDD power off
IPMI,MGMT,SFP+
1- 4, SFP 5-8, RJ-45
9-16
Link/ACT Green Port is online.
Flashing Green Port is receiving or sending data.
Off Port is not in use.
Speed Blue Connected at 10 Gbps.
Yellow Connected at 1 Gbps.
Green Connected at 1000 Mbps.
Off Connected at 10Mbps or not in use
RJ-45 LAN Bypass
Ports 9 & 10, 11 & 12,
13 & 14, 15 & 16
Green Normal
Red Bypass
Off Bypass disabled
Table 3: FortiWeb-3000E Connectors and Ports
Connector Type Speed Supported Logical Interfaces Description
Ports 1 - 4 SFP+ 10 Gbps Data input, data output, control
input, and status output
Multimode fiber optic
connections to gigabit optical
networks.
Ports 5 - 8 SFP 1 Gbps
Data input, data output, control
input, and status output
Multimode fiber optic
connections to gigabit optical
networks.
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Module Descriptions Cryptographic Module Ports and Interfaces
Connector Type Speed Supported Logical Interfaces Description
Ports 9 -16 RJ-45 10/100/1000
Base-T
Data input, data output, control
input, and status output
Copper gigabit connection to
10/100/1000 copper
networks.
Management
Ports (IMPI &
MGMT 1 - 2)
RJ-45
10/100/1000
Base-T
Data input, data output, control
input, and status output
Copper gigabit connection to
10/100/1000 copper
networks.
USB USB-A N/A Key loading and archiving, entropy
input
Optional USB token and
entropy token.
Console RJ-45 9600 bps
Control input, status output
Optional connection to the
management computer.
Provides access to the
command line interface
(CLI).
Power N/A N/A Power 120/240VAC power
connection
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Cryptographic Module Ports and Interfaces Module Descriptions
FortiWeb-4000E
Figure 2: FortiWeb-4000E Front and Rear Panels
Table 4: FortiWeb-4000E Status LEDs
LED State Description
Power Blue The module is powered on.
Off The module is powered off.
Power Connections Green Power supply operating normally, power on
Flashing Green Power supply operating normally, system standby
Flashing Yellow Power supply malfunction
Off Power not connected
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Module Descriptions Cryptographic Module Ports and Interfaces
LED State Description
HDD Power Blue HDD power on
Off HDD power off
HDD Activity Flashing Green HDD read/write
Off HDD power off
IPMI,MGMT1 -
2,SFP+ 1- 2, SFP 5-
8, RJ-45 9-16
Link/ACT Green Port is online.
Flashing Green Port is receiving or sending data.
Off Port is not in use.
Speed Blue Connected at 10 Gbps.
Yellow Connected at 1 Gbps.
Green Connected at 1000 Mbps.
Off Connected at 10Mbps or not in use
SFP+ LAN Bypass
Ports 3 & 4
RJ-45 LAN Bypass
Ports 9 & 10, 11 & 12,
13 & 14, 15 & 16
Green Normal
Red Bypass
Off Bypass disabled
Table 5: FortiWeb-4000E Connectors and Ports
Connector Type Speed Supported Logical Interfaces Description
Ports 1-2 SFP+ 10 Gbps Data input, data output, control
input, and status output
Multimode fiber optic
connections to gigabit optical
networks.
Ports 3-4 SFP+ 10Gbps
Data input, data output, control
input, and status output
Paired bypass ports.
Multimode fiber optic
connections to gigabit optical
networks.
Ports 5 - 8 SFP 1 Gbps Data input, data output, control
input, and status output
Multimode fiber optic
connections to gigabit optical
networks.
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Web-Based Manager Module Descriptions
Connector Type Speed Supported Logical Interfaces Description
Ports 9 -16 RJ-45
10/100/1000
Base-T
Data input, data output, control
input, and status output
Copper gigabit connection to
10/100/1000 copper
networks.
Management
Ports (IMPI &
MGMT 1 - 2)
RJ-45 10/100/1000
Base-T
Data input, data output, control
input, and status output
Copper gigabit connection to
10/100/1000 copper
networks.
USB USB-A N/A Key loading and archiving, entropy
input
Optional USB token and
entropy token.
Console RJ-45 9600 bps Control input, status output Optional connection to the
management computer.
Provides access to the
command line interface
(CLI).
Power N/A N/A Power
120/240VAC power
connection
Web-Based Manager
The FortiWeb 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 FortiWeb unit and the management computer.
A web-browser that supports Transport Layer Security (TLS) 1.2 is required for remote access to the web-based
manager when the module is operating in FIPS-CC mode. HTTP access to the web-based manager is not
allowed in FIPS mode and is disabled.
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Module Descriptions Command Line Interface
Figure 3: The FortiWeb web-based manager
Command Line Interface
The FortiWeb 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 FortiWeb 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 mode, the module provides the following roles:
l Crypto Officer
l Network User
The Crypto Officer role is initially assigned to the default ‘admin’ operator account. The Crypto Officer role has
read-write access to all of the module’s administrative services. The initial Crypto Officer can create additional
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Roles, Services and Authentication Module Descriptions
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 modules also provide a Network User role for end-users (Users). Network Users can make use of the
encrypt/decrypt services, but cannot access the modules for administrative purposes.
The module does not provide a Maintenance role.
FIPS Approved Services
The following tables detail the types of FIPS approved services available to each role in each mode of
operation, the types of access for each role and the Keys or CSPs they affect.
The access types are abbreviated as follows:
Read Access R
Write Access W
Execute Access E
Table 6: Services available to Crypto Officers
Service Access Key/CSP
authenticate to module* WE Crypto Officer Password, Diffie-Hellman
Key, HTTP/TLS and SSH Server/Host
Keys, HTTPS/TLS and SSH Authentication
Keys, and HTTPS/TLS and SSH Session
Encryption Keys, DRBG Output, DRBG
Seed, NDRNG Output String, DRBG v and
key values
show system status N/A N/A
show FIPS-CC mode enabled/disabled
(console/CLI only)
N/A N/A
enable FIPS-CC mode of operation
(console only)
WE Configuration Integrity Key
key zeroization W All Keys
execute factory reset (disable FIPS-CC
mode, console/CLI only)
W All keys stored in Flash RAM
execute FIPS-CC on-demand self-tests
(console only)
E Configuration Integrity Key, Firmware
Integrity Key
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Module Descriptions Roles, Services and Authentication
Service Access Key/CSP
add/delete Crypto Officer and network
users
WE
Crypto Officer Password, Network User
Password
set/reset Crypto Officer and network
user passwords
WE Crypto Officer Password, Network User
Password
backup/restore configuration file RWE
Configuration Encryption Key,
Configuration Backup Key
read/set/delete/modify module
configuration
N/A N/A
modify user preferences N/A N/A
execute firmware update WE Firmware Update Key
read log data (GUI only) N/A N/A
delete log data (GUI only) N/A N/A
execute system diagnostics
(console/CLI only)
N/A N/A
format log disk (CLI only) WE N/A
enable/disable alternating bypass mode WE N/A
Table 7: Services available to Network Users in FIPS-CC mode
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,
DRBG Output, DRBG Seed, NDRNG
Output String, DRBG v and key values,
Non-FIPS Approved Services
The module also provides the following non-FIPS approved services:
l Configuration backups using password protection
l Services marked with an asterisk (*) Table 4 and Table 5 are considered non-approved when using the following
algorithms:
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Physical Security Module Descriptions
l Non-compliant-strength Diffie-Hellman
l Non-compliant-strength RSA key wrapping
The above services shall not be used in the FIPS approved mode of operation.
Authentication
The module uses identity based authentication. 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.
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 .
Physical Security
The modules meet FIPS 140-2 Security Level 2 requirements by using production grade components and an
opaque, sealed enclosure. Access to the enclosure is restricted through the use of tamper-evident seals to secure
the overall enclosure. The tamper-evident seals shall be installed for the module to operate in a FIPS Approved
mode of operation. All Networking devices need tamper-evident seals to meet the Physical Security requirements
The seals are red wax/plastic with black lettering that reads “Fortinet Security Seal”.
The tamper seals are not applied at the factory prior to shipping. It is the responsibility of the Crypto Officer to
apply the seals before use to ensure full FIPS 140-2 compliance. Once the seals have been applied, the Crypto
Officer must develop an inspection schedule to verify that the external enclosure of the modules and the tamper
seals have not been damaged or tampered with in any way. Upon viewing any signs of tampering, the Crypto
Officer must assume that the device has been fully compromised. The Crypto Officer is required to zeroize the
cryptographic module by following the steps in the Key Zeroization section of the SP. The Crypto Officer is 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.
The Crypto Officer is also responsible for the direct control and observation of any changes to the modules such
as reconfigurations where the tamper-evident labels are removed or installed to ensure the security of the module
is maintained during such changes and the module is returned to a FIPS approved state. Additional seals can be
requested through your Fortinet sales contact. Reference the ‘FIPS-SEAL-RED’ SKU when ordering. Specify the
number of seals required based on the specific model as described below:
The FortiWeb-3000E and FortiWeb-4000E use seven seals in the exact same location to secure:
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Module Descriptions Physical Security
l The front plates (2 seals, see Figure 4)
l The external enclosure (1 seal, see Figure 5)
l The internal fans (4 seals, see Figure 6)
Figure 4: FortiWeb-3000E and FortiWeb-4000E Front Plate Seals
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Physical Security Module Descriptions
Figure 5: FortiWeb-3000E and FortiWeb-4000E External Enclosure seal
Figure 6: FortiWeb-3000E and FortiWeb-4000E Internal Fans Seals
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Module Descriptions Operational Environment
Operational Environment
The module constitutes the entire firmware operating system for a FortiWeb unit and can only be installed and
run on a FortiWeb appliance. The module provides a proprietary and non-modifiable operating system and does
not provide a programming environment.
Cryptographic Key Management
Random Number Generation
The module uses a firmware based, deterministic random bit generator (DRBG) that conforms to NIST Special
Publication 800-90A. The Module generates cryptographic keys whose strengths are modified by available
entropy.
Entropy
The module uses a Fortinet entropy token (part number FTR-ENT-1 or part number FTR-ENT-2) to seed the
DRBG during the modules’ boot process and to periodically reseed the DRBG. The entropy token is not included
in the boundary of the module and therefore no assurance can be made for the correct operation of the entropy
token nor is there a guarantee of stated entropy.
Entropy Strength
The entropy loaded into the approved AES-256 bit DRBG is 256 bits. The entropy source is over-seeded and then
an HMAC-SHA-256 post-conditioning component (as per section 6.4.2 of SP 800-90B) is applied.
Reseed Period
The RBG is seeded from the entropy token during the boot process and then reseeded periodically. The default
reseed period is once every 24 hours (1440 minutes) and is configurable (1 to 1440 minutes). The entropy token
must be installed to complete the boot process and to reseed the DRBG.
Key Zeroization
The zeroization process must be performed under the direct control of the operator. The operator must be
present to observe that the zeroization method has completed successfully.
All keys and CSPs are zeroized by erasing the module’s boot device and then power cycling the FortiGate unit. To
erase the boot device, execute the following command from the CLI:
execute erase-disk <boot device>
The boot device ID may vary depending on the FortiGate module. Executing the following command will output a
list of the available internal disks:
execute erase-disk ?
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Cryptographic Key Management Module Descriptions
Algorithms
Table 8: FIPS Approved Algorithms
Algorithm NIST Certificate Number
CTR DRBG (NIST SP 800-90A) with AES 256-bits 1434
AES in CBC mode (128-, 256-bits) 4461
SHA-1 3673
SHA-256 3673
HMAC SHA-1 2960
HMAC SHA-256 2960
RSA PKCS1
l Key Pair Generation: 2048 and 3072 bit
l Signature Generation: 2048 and 3072-bit
l Signature Verification: 1024, 2048 and 3072-bit
l For legacy use, the module supports 1024-bit RSA
keys and SHA-1 for signature verification
2437
CVL (SSH) AES 128-bit, AES 256-bit CBC (using
SHA1)
1169
CVL (TLS 1.0 and 1.1) 1169
CKG (NIST SP 800-133) Vendor Affirmed
KTS (AES Cert. #4461 and HMAC Cert. #2960; key establishment methodology provides between 128 and 256
bits of encryption strength).
In accordance with FIPS 140-2 IG D.12, the cryptographic module performs Cryptographic Key Generation
(CKG)as per SP800-133 (vendor affirmed). The resulting generated symmetric key and the seed used in the
asymmetric key generation are the unmodified output from SP800-90A DRBG.
There are algorithms, modes, and keys that have been CAVs tested but are not available when the module is
configured for FIPS compliant operation. Only the algorithms, modes/methods, and key lengths/curves/moduli
shown in this table are supported by the module in the FIPS validated configuration.
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Module Descriptions Cryptographic Key Management
Table 9: FIPS Allowed Algorithms
Algorithm
RSA (CVL Cert. #1169, key wrapping; key establishment methodology provides 112 or 128 bits of encryption
strength)
Diffie-Hellman (CVL Cert. #1169, key agreement; key establishment methodology provides 112 bits of
encryption strength)
NDRNG (Entropy Token)
MD5 (only used as part of the TLS protocol)
Table 10: Non-FIPS Approved Algorithms
Algorithm
RSA is non-compliant when keys less than 2048 bits are used, since such keys do not provide the minimum
required 112 bits of encryption strength.
Diffie-Hellman is non-compliant when keys less than 2048 bits are used, since such keys do not provide the
minimum required 112 bits of encryption strength.
Note that the SSH and TLS protocols, other than the KDF, have not been tested by the CMVP or CAVP as per
FIPS 140-2 Implementation Guidance D.11.
Cryptographic Keys and Critical Security Parameters
The following table lists all of the cryptographic keys and critical security parameters used by the modules. The
following definitions apply to the tables below.
Table 11: Cryptographic Keys and Critical Security Parameters Descriptions
Key or CSP The key or CSP description.
Storage Where and how the keys are stored
Usage How the keys are used
Zeroization The key zeroization method
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Cryptographic Key Management Module Descriptions
Table 12: Cryptographic Keys and Critical Security Parameters used in FIPS-CC mode
Key or CSP Generation Storage Usage Zeroization
NDRNG output
string
Automatic Flash RAM
Plain-text
Input string for the
entropy pool (5120
bits)
By erasing the flash
memory and power
cycling the module
DRBG seed Automatic Flash RAM
Plain-text
256-bit seed used by
the DRBG (output
from NDRNG)
By erasing the flash
memory and power
cycling the module
DRBG output Automatic Flash RAM
Plain-text
Random numbers
used in cryptographic
algorithms (256-bits)
By erasing the flash
memory and power
cycling the module
DRBG v and key
values
Automatic Flash RAM
Plain-text
Internal state values
for the DRBG 128 and
256
By erasing the flash
memory and power
cycling the module
Diffie-Hellman
Keys
Automatic SDRAM
Plain-text
Key agreement and
key establishment
By erasing the flash
memory and power
cycling the module
Firmware Update
Key
Preconfigured Flash RAM
Plain-text
Verification of
firmware integrity
when updating to new
firmware versions
using RSA public key
(firmware load test,
2048-bit signature)
By erasing the flash
memory and power
cycling the module
Firmware Integrity
Key
Preconfigured Flash RAM
Plain-text
Verification of
firmware integrity in
the firmware integrity
test using RSA public
key (firmware integrity
test, 2048-bit
signature)
By erasing the flash
memory and power
cycling the module
HTTPS/TLS
Server/Host Key
Preconfigured Flash RAM
Plain-text
RSA private key used
in the HTTPS/TLS
protocols (key
establishment, 2048-
bit signature)
By erasing the flash
memory and power
cycling the module
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Module Descriptions Cryptographic Key Management
Key or CSP Generation Storage Usage Zeroization
HTTPS/TLS
Session
Authentication Key
Automatic SDRAM
Plain-text
HMAC SHA-1 or
HMAC SHA-256 key
used for HTTPS/TLS
session
authentication
By erasing the flash
memory and power
cycling the module
HTTPS/TLS
Session Encryption
Key
Automatic SDRAM
Plain-text
AES (128-, 256- bit)
key used for
HTTPS/TLS session
encryption
By erasing the flash
memory and power
cycling the module
SSH Server/Host
Key
Preconfigured Boot device
Plain-text
RSA private key used
in the SSH protocol
(key establishment,
2048-bit signature)
By erasing the flash
memory and power
cycling the module
SSH Session
Authentication Key
Automatic SDRAM
Plain-text
HMAC SHA-1 or
HMAC SHA-256 key
used for SSH session
authentication
By erasing the flash
memory and power
cycling the module
SSH Session
Encryption Key
Automatic SDRAM
Plain-text
AES (128-, 256- bit)
key used for SSH
session encryption
By erasing the flash
memory and power
cycling the module
Crypto Officer
Password
Manual Flash RAM
SHA-256 hash
Used to authenticate
operator access to the
module
By erasing the flash
memory and power
cycling the module
Configuration
Integrity Key
Preconfigured Flash RAM
Plain-text
HMAC SHA-256 hash
used for configuration
and firmware integrity
(bypass) tests
By erasing the flash
memory and power
cycling the module
Configuration
Encryption Key
Preconfigured Flash RAM
Plain-text
AES 256-bit key used
to encrypt CSPs on
the Boot device and in
the backup
configuration file
(except for crypto
officer passwords in
the backup
configuration file)
By erasing the flash
memory and power
cycling the module
Configuration
Backup Key
Preconfigured Flash RAM
Plain-text
HMAC SHA-256 key
used to encrypt crypto
officer passwords in
the backup
configuration file
By erasing the flash
memory and power
cycling the module
FortiWeb 5.6 FIPS 140-2 Level 2 Security Policy
Fortinet, Inc.
25
Alternating Bypass Feature Module Descriptions
Key or CSP Generation Storage Usage Zeroization
Network User
Password
Manual Flash RAM
SHA-256 hash
Used during user
authentication
By erasing the flash
memory and power
cycling the module
The Generation column lists all of the keys/CSPs and their entry/generation methods.
Manual entered keys are entered by the operator electronically (as defined by FIPS)
using the console or a management computer. Pre-configured keys are set as part of
the firmware (hardcoded) and are not operator modifiable. Automatic keys are
generated as part of the associated protocol.
Alternating Bypass Feature
The primary cryptographic function of the module is encrypting/decrypting web application traffic sent using
HTTPS. The module can also send/receive plain-text web traffic using HTTP. The module implements an
alternating bypass feature based on the module's configuration. If the traffic from the client is sent/received using
HTTPS , the module is operating in a non-bypass state. If traffic from the client is passed directly to the backend
webserver using HTTP, the module is operating in bypass state.
Two independent actions must be taken by a CO to create the bypass HTTPs policy: the CO must select HTTPS
and then specifically save that policy.
Incoming traffic is processed according to the module configuration. If HTTPS option is selected, the module
handles SSL negotiations and encryption/decryption, instead of the web servers. Connections between the client
and the module are encrypted using TLS (non-bypass state). If HTTP option is selected the module accepts
connections to the web servers in plain-text (bypass state).
Outgoing traffic is processed according to the HTTP service configured on the module. If HTTPS is selected, web
traffic will be encrypted using TLS (non-bypass state). If HTTP is configured, web traffic is sent in plain-text
(bypass state).
Use of HTTPS for incoming/outgoing traffic is enabled by selecting " HTTPS" as the HTTPS Service via Server
Policy configuration.
Key Archiving
The module supports key archiving to a directly attached management computer as part of the module
configuration file backup. Operator entered keys are archived as part of the module configuration file. The
configuration file is stored in plain text, but keys in the configuration file are either AES encrypted using the
Configuration Encryption Key or stored as a keyed hash using HMAC SHA-256 using the Configuration Backup
Key.
26 FortiWeb 5.6 FIPS 140-2 Level 2 Security Policy
Fortinet, Inc.
Module Descriptions Mitigation of Other Attacks
Mitigation of Other Attacks
The module does not mitigate against any other attacks.
FortiWeb 5.6 FIPS 140-2 Level 2 Security Policy
Fortinet, Inc.
27
Mitigation of Other Attacks Electromagnetic Interference/ElectromagneticCompatibility (EMI/EMC)
Electromagnetic Interference/Electromagnetic
Compatibility (EMI/EMC)
The modules comply with EMI/EMC requirements for Class A or B devices as specified by Part 15, Subpart B, of
the FCC rules. The following table lists the specific lab and report information for the modules.
FCC Report Information
Module Lab Information
FCC Report
Number
FWB-3000E Xindian lab.
Compliance Certification Services Inc.
No.163-1, Jhongsheng Rd., Xindian Dist.,
New Taipei City, 23151 Taiwan.
+886-2-22170894
T160304D09-F
FWB-4000E
Xindian lab.
Compliance Certification Services Inc.
No.163-1, Jhongsheng Rd., Xindian Dist.,
New Taipei City, 23151 Taiwan.
+886-2-22170894
T160304D09-F
28 FortiWeb 5.6 FIPS 140-2 Level 2 Security Policy
Fortinet, Inc.
FIPS 140-2 Compliant Operation Mitigation of Other Attacks
FIPS 140-2 Compliant Operation
The Fortinet hardware is shipped in a non-FIPS 140-2 compliant configuration. The following steps must be
performed to put the module into a FIPS compliant configuration:
1. Download the model specific FIPS validated firmware image from the Fortinet Support site
athttps://support.fortinet.com/
2. Verify the integrity of the firmware image
3. Install the FIPS validated firmware image
4. Install the entropy token
5. Enable the FIPS-CC mode of operation
These steps are described in detail in the "FIPS 140-2 and Common Criteria Compliant Operation for FortiWeb
5.6" document that can be found on the Fortinet Technical Documentation website.
In addition, FIPS 140-2 compliant operation requires that you follow secure procedures for installation and
operation of the FortiWeb unit. You must ensure that:
l The FortiWeb unit is configured in the FIPS-CC mode of operation.
l The FortiWeb unit is installed in a secure physical location.
l The Fortinet entropy token is enabled.
l The Fortinet entropy token remains in the USB port during opration.
l Physical access to the FortiWeb unit is restricted to authorized operators.
l Administrative passwords are at least 8 characters long.
l Administrative passwords are changed regularly.
l Administrator account passwords must have the following characteristics:
l One (or more) of the characters must be capitalized
l One (or more) of the characters must be numeric
l One (or more) of the characters must be non alpha-numeric (e.g. punctuation mark)
l Administration of the module is permitted using only validated administrative methods. These are:
l Console connection
l Web-based manager via HTTPS
l Command line interface (CLI) access via SSH
l Diffie-Hellman groups of less than less than 2048 bits are not used.
l Client side RSA certificates must use 2048 bit or greater key sizes.
l Only approved and allowed algorithms are used (see “Algorithms” on page 12).
l The module is configured in reverse proxy mode.
Once the FIPS validated firmware has been installed and the module properly configured in the FIPS-CC mode of
operation, the module is running in a FIPS compliant configuration. It is the responsibility of the CO to ensure the
module only uses approved algorithms and services to maintain the module in a FIPS-CC Approved mode of
operation. Using any of the non-approved algorithms and services switches the module to a non-FIPS mode of
operation. Prior to switching between modes the CO should ensure all keys and CSPs are zeroized to prevent
sharing of keys and CSPs between the FIPS Approved and non-FIPS mode of operation.
FortiWeb 5.6 FIPS 140-2 Level 2 Security Policy
Fortinet, Inc.
29
Enabling FIPS-CC mode FIPS 140-2 Compliant Operation
Enabling FIPS-CC mode
To enable the FIPS 140-2 compliant mode of operation, the operator must execute the following command from
the Local Console:
config system fips-cc
set entropy-token enable
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: enabled
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.
30 FortiWeb 5.6 FIPS 140-2 Level 2 Security Policy
Fortinet, Inc.
Self-Tests Startup and Initialization Self-tests
Self-Tests
Startup and Initialization Self-tests
The module executes the following self-tests during startup and initialization:
l Firmware integrity test using RSA 2048-bit signatures
l Configuration integrity test using HMAC SHA-256
l Triple-DES, CBC mode, encrypt known answer test
l Triple-DES, CBC mode, decrypt known answer test
l AES, CBC mode, encrypt known answer test
l AES, CBC mode, decrypt known answer test
l HMAC SHA-1 known answer test
l SHA-1 known answer test (tested as part of HMAC SHA-1 known answer test)
l HMAC SHA-256 known answer test
l SHA-256 known answer test (tested as part of HMAC SHA-256 known answer test)
l RSA signature generation known answer test
l RSA signature verification known answer test
l DRBG known answer test
l RBG Instantiate test
l RBG Generate test
l RBG Reseed 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 output for successful self-tests is shown below:
FIPS-CC mode: Starting self-tests.
Running Configuration Integrity test... passed
Running AES test... passed
Running SHA1 HMAC test... passed
Running SHA256 HMAC test... passed
Running 3DES test... passed
Running RSA test... passed
Running Firmware integrity test... passed
Running RBG instantiate test... passed
Running RBG reseed test... passed
Running RBG generate test... passed
Self-tests passed
FortiWeb 5.6 FIPS 140-2 Level 2 Security Policy
Fortinet, Inc.
31
Conditional Self-tests Self-Tests
Conditional Self-tests
The module executes the following conditional tests when the related service is invoked:
l Continuous NDRNG test
l Continuous DRBG test
l RSA pairwise consistency test
l Configuration integrity test using HMAC SHA-256
l Firmware load test using RSA signatures
Critical Function Self-tests
The module also performs the following critical function self-tests appicable to the DRBG, as per NIST SP 800-
90A Section 11:
l Instantiate test
l Generate test
l Reseed test
l Uninstantiate test
Error State
If any of the self-tests or conditional tests fail, the module enters an error state as shown by the console output
below:
Self-tests failed
Entering error mode...
The system is going down NOW !!
The system is halted.
All data output and cryptographic services are inhibited in the error state.
32 FortiWeb 5.6 FIPS 140-2 Level 2 Security Policy
Fortinet, Inc.
Copyright© 2018 Fortinet, Inc. All rights reserved. Fortinet®, FortiGate®, FortiCare® and FortiGuard®, and certain other marks are registered trademarks of Fortinet,
Inc., in the U.S. and other jurisdictions, and other Fortinet names herein may also be registered and/or common law trademarks of Fortinet. All other product or company
names may be trademarks of their respective owners. Performance and other metrics contained herein were attained in internal lab tests under ideal conditions, and
actual performance and other results may vary. Network variables, different network environments and other conditions may affect performance results. Nothing herein
represents any binding commitment by Fortinet, and Fortinet disclaims all warranties, whether express or implied, except to the extent Fortinet enters a binding written
contract, signed by Fortinet’s General Counsel, with a purchaser that expressly warrants that the identified product will perform according to certain expressly-identified
performance metrics and, in such event, only the specific performance metrics expressly identified in such binding written contract shall be binding on Fortinet. For
absolute clarity, any such warranty will be limited to performance in the same ideal conditions as in Fortinet’s internal lab tests. In no event does Fortinet make any
commitment related to future deliverables, features, or development, and circumstances may change such that any forward-looking statements herein are not accurate.
Fortinet disclaims in full any covenants, representations,and guarantees pursuant hereto, whether express or implied. Fortinet reserves the right to change, modify,
transfer, or otherwise revise this publication without notice, and the most current version of the publication shall be applicable.