www.fortinet.com
FortiGate-80C/110C/111C
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
Document Version: 1.0
Publication Date: July 8, 2011
Description: Documents FIPS 140-2 Level 2 Security Policy issues, compliancy and requirements for FIPS compliant
operation.
Hardware Models: FortiGate-80C (C4BC61)
FortiGate-110C (C4HA15)
FortiGate-111C (C4BQ31)
Firmware Version: FortiOS 4.0, build6359, 100712
INTERNAL
DMZ 4
5
6
3
2
1
WAN 1 WAN 2
POWER STATUS HA ALARM
HA STATUS POWER
ALARM
1 2 3 4 5 6 7 8 WAN1 WAN2
USB CONSOLE
HA STATUS POWER HDD1 HDD2
ALARM
1 2 3 4 5 6 7 8 WAN1 WAN2
USB CONSOLE
111C
F I P S 1 4 0 - 2 S e c u r i t y P o l i c y
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
v1.0
July 8, 2011
01-420-129845-201000804
This document may be copied without Fortinet Incorporated’s explicit permission provided that it is copied
in it’s entirety without any modification.
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.
Contents
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
01-420-129845-201000804 1
Contents
References.................................................................................................... 3
Introduction........................................................................................................ 4
Security Level Summary................................................................................... 4
Module Description ........................................................................................... 5
Cryptographic Module Ports and Interfaces.................................................. 5
Web-Based Manager .................................................................................... 8
Command Line Interface............................................................................... 9
Roles, Services and Authentication .............................................................. 9
Physical Security......................................................................................... 13
Operational Environment ............................................................................ 15
Cryptographic Key Management................................................................. 16
Alternating Bypass Feature......................................................................... 18
Key Archiving .............................................................................................. 18
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) ... 19
Mitigation of Other Attacks............................................................................. 19
FIPS 140-2 Compliant Operation.................................................................... 20
Enabling FIPS-CC mode............................................................................. 20
Self-Tests.......................................................................................................... 21
Non-FIPS Approved Services......................................................................... 21
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
2 01-420-129845-201000804
Contents
References
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
01-420-129845-201000804 3
This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’s
FortiGate-80C, 110C and 111C Multi-Threat Security Systems. This policy
describes how the FortiGate-80C, 110C and 111Cmodels (hereafter referred to 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.
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
4 01-420-129845-201000804
References
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 module 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 2
Cryptographic Module Ports and Interfaces
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
01-420-129845-201000804 5
Module Description
The FortiGate-80C, 110C and 111C 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:
• The FortiGate-80C has 9 network interfaces with a status LED for each
network interface (6 10/100 BaseT, 3 10/100/1000 BaseT)
• The FortiGate-110C and 111C have 10 network interfaces with a status LED
for each network interface (8 10/100 BaseT, 210/100/1000 BaseT)
The modules have a single, x86 compatible CPU.
The modules are desktop devices.
The modules do not have external ventilation fans.
The FortiGate-111C module has 2 Fortinet Storage Module (FSM) slots that
support removable solid state drives (SSDs). One SSD drive is installed by
default. The module was tested with one SSD drive installed.
Cryptographic Module Ports and Interfaces
FortiGate-80C Module
Figure 1: FortiGate-80C Front and Rear Panels
CONSOLE WAN 2 WAN 1 MODEM
DMZ
INTERNAL
1
2
3
4
5
6
USB
DC+12V
INTERNAL
DMZ 4
5
6
3
2
1
WAN 1 WAN 2
POWER STATUS HA ALARM
Ports 1 to 6
Console
USB
DC Power
DMZ
Port
WAN2
Port
WAN1
Port Modem Port
(Blank/Unused)
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
6 01-420-129845-201000804
Cryptographic Module Ports and Interfaces
Table 2: FortiGate-80C Status LEDs
LED State Description
Power Green The module is powered on.
Off The module is powered off.
Status Flashing Green The module is starting up.
Green The module is running normally.
HA Green The module is part of an HA cluster.
Alarm Red A critical error has occurred.
Amber A minor error has occurred.
Off No errors detected.
Internal, WAN1, WAN2,
DMZ
Green The correct cable is in use and the connected
equipment has power.
Flashing Green Network activity at this interface.
Off No link established.
Table 3: FortiGate-80C Connectors and Ports
Connector Type Speed Supported Logical
Interfaces
Description
Internal RJ-45 10/100
BaseT
Data input, data
output, control input
and status output
Connection to internal
network.
WAN1, WAN2 RJ-45 10/100/1000
BaseT
Data input, data
output, control input
and status output
Connection to the Internet.
DMZ RJ-45 10/100
BaseT
Data input, data
output, control input
and status output
Connection to DMZ
network.
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 USB token.
POWER N/A N/A Power +12VDC power connection.
Cryptographic Module Ports and Interfaces
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
01-420-129845-201000804 7
FortiGate-110C and 111C modules
Figure 2: FortiGate-110C Front and Rear Panels
Figure 3: FortiGate-111C Front and Rear Panels
HA STATUS POWER
ALARM
1 2 3 4 5 6 7 8 WAN1 WAN2
USB CONSOLE
Ports 1 to 8
Console
USB
AC Power
WAN2
Port
WAN1
Port
HA STATUS POWER
ALARM
1 2 3 4 5 6 7 8 WAN1 WAN2
USB CONSOLE
HDD2 HDD1
Ports 1 to 8
Console
USB
AC Power
WAN2
Port
WAN1
Port
111C
HDD1 HDD2
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
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Web-Based Manager
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.
Table 4: FortiGate-110C and 111C Status LEDs
LED State Description
Power Green The FortiGate unit is powered on.
Off The FortiGate unit is powered off.
Status Flashing Green The module is starting up.
Green The module is running normally.
HA Green The module is part of an HA cluster.
Alarm N/A Future use.
HDD1/HDD2 Flashing Green Disk activity (FG-111C only).
Ports 1 to 8,
WAN1, WAN2
Amber
(Left LED)
The correct cable is in use and the connected
equipment has power on ports.
Flashing Amber
(Left LED)
Network activity at this interface.
Green
(Right LED)
The interface is connected at 100 Mbps.
Amber
(Right LED)
The interface is connected at 1000 Mbps.
Off No link established. (Left LED)
Connection is at 10Mbps. (Right LED)
Table 5: FortiGate-110C and 111C Connectors and Ports
Connector Type Speed Supported Logical
Interfaces
Description
Ports 1 to 8 RJ-45 10/100
Base_T
Data input, data
output, control input
and status output
Switched ports, connection
to internal network.
WAN1, WAN2 RJ-45 10/100/1000
Base_T
Data input, data
output, control input
and status output
Connection to the Internet.
Console Port RJ-45 9600 bps Control input, status
output
Optional connection to the
management computer.
Provides access to the
command line interface
(CLI).
USB Ports USB N/A Key loading and
archiving
Optional USB token.
POWER N/A N/A Power 120/240VAC power
connection.
Command Line Interface
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
01-420-129845-201000804 9
Figure 4: 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).
Roles, Services and Authentication
Roles
When configured in FIPS-CC mode, the module provides three roles for Crypto
Officers (hereafter referred to as operators): Security Administrator, Crypto
Administrator and Audit Administrator. These roles, or combinations of these
roles, are assumed by an operator after authenticating to the module remotely or
through the console connection using a username/password combination.
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
10 01-420-129845-201000804
Roles, Services and Authentication
An operator assuming the Security Administrator role has read/write access to all
of the administrative functions and services of the module, including resetting or
shutting down the module. An operator with the Security Administrator role can
also create accounts for additional operators and assign roles to those operators.
However, the Security Administrator role has read only access to crypto and audit
related functions and services.
An operator assuming the Crypto Administrator role has read/write access to
crypto related functions and services and read only access to all other functions
and services.
An operator assuming the Audit Administrator role has read/write access to audit
related functions and services and read only access to all other functions and
services.
Operators can be assigned more than one role. An operator that assumes all
three administrative roles has complete administrative access to the module.
Multiple operator accounts can be created. Operator accounts are differentiated
by the username during authentication. More than one operator can be connected
to the module at any given time, however each operator session is authenticated
separately.
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.
Refer to the next section on Services for detailed information on what functions
and services each role has access to.
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:
Security Administrator SA
Crypto Administrator CA
Audit Administrator AA
Network User NU
Read Access R
Write Access W
Execute Access E
Roles, Services and Authentication
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
01-420-129845-201000804 11
Table 6: Services available to Crypto Officers
Service SA CA AA Key/CSP
authenticate to module WE WE WE Operator Password, Diffie-
Hellman Key, Server/Host Key,
HTTPS/TLS Session
Authentication Key, HTTPS/TLS
Session Encryption Key, RNG
Keys
show system status WE N/A N/A N/A
show FIPS-CC mode
enabled/disabled
(console/CLI only)
WE N/A N/A N/A
enable FIPS-CC mode of
operation (console only)
WE N/A N/A Configuration Integrity Key
execute factory reset (zeroize
keys, disable FIPS mode,
console/CLI only-)
E N/A N/A See “Key Zeroization” on
page 16
execute FIPS-CC on-demand
self-tests (console only)
E E E Configuration Integrity Key,
Firmware Integrity Key
add/delete operators and
network users
WE N/A N/A N/A
set/reset operator and network
user passwords
WE N/A N/A Operator Password,
Network User Password
backup configuration file WE N/A N/A See “Key Archiving” on page 18
read/set/delete/modify module
configuration
WE N/A N/A N/A
enable/disable alternating
bypass mode
WE N/A N/A N/A
read/set/delete/modify
IPSec/SSL VPN configuration
N/A WE 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
Session Encryption Key
read/set/delete/modify HA
configuration
WE N/A N/A HA Password,
HA Encryption Key
execute firmware update E N/A N/A Firmware Update Key
read log data WE WE WE N/A
delete log data (console/CLI
only)
N/A N/A WE N/A
execute system diagnostics
(console/CLI only)
WE WE WE N/A
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
12 01-420-129845-201000804
Roles, Services and Authentication
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.
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.
The minimum password length is 8 characters when in FIPS-CC mode (maximum
password length is 32 characters). Using a strong password policy, where
operator and network user passwords are at least 8 characters in length and use a
mix of alphanumeric (printable) characters from the ASCII character set, the odds
of guessing a password are 1 in 968
.
For Network Users invoking the IPSec 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.
Table 7: Services available to Network Users
Service/CSP NU Key/CSP
authenticate to module E Network User Password, Diffie-
Hellman Key, Server/Host Key,
HTTPS/TLS Session Authentication
Key, HTTPS/TLS Session
Encryption Key, RNG Keys
IPSec VPN controlled by firewall
policies
E Diffie-Hellman Key, IKE and IPSec
Keys, RNG Keys
SSL VPN controlled by firewall
policies
E Network User Password, Diffie-
Hellman Key, Server/Host Key,
HTTPS/TLS Session Authentication
Key, HTTPS/TLS Session
Encryption Key, RNG Keys
Physical Security
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
01-420-129845-201000804 13
Physical Security
The modules meet FIPS 140-2 Security Level 2 requirements by using production
grade components and an opaque, sealed enclosure. Access to the enclosure is
restricted through the use of tamper-evident seals to secure the overall enclosure.
The seals are blue wax/plastic with white lettering that reads “Fortinet Inc.
Security Seal”.
The tamper seals are not applied at the factory prior to shipping. It is the
responsibility of the Security Administrator to apply the seals before use to ensure
full FIPS 140-2 compliance. Once the seals have been applied, the Security
Administrator must develop an inspection schedule to verify that the external
enclosure of the module and the tamper seals have not been damaged or
tampered with in any way. The Security Administrator is also responsible for
securing and controlling any unused seals.
The surfaces should be cleaned with rubbing alcohol to remove dirt and oil before
applying the seals. Ensure the surface is completely clean and dry before
applying the seals. If a seal needs to be re-applied, completely remove the old
seal and clean the surface with an adhesive remover before following the
instructions for applying a new seal.
The FortiGate-80C uses two seals to secure:
• the external enclosure (two seals, see Figure 5 and Figure 6)
The FortiGate-110C uses three seals to secure:
• the external enclosure (two seals, see Figure 7 and Figure 8)
• the rear cover plate (one seal, see Figure 9)
The FortiGate-111C uses two seals to secure:
• the external enclosure (two seals, see Figure 7 and Figure 8)
Figure 5: FortiGate-80C external enclosure seal
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
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Physical Security
Figure 6: FortiGate-80C external enclosure seal
Figure 7: FortiGate-110C and 111C external enclosure seal
Operational Environment
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
01-420-129845-201000804 15
Figure 8: FortiGate-110C and 111C external enclosure seal
Figure 9: FortiGate-110C cover plate seal
Operational Environment
This section is not applicable to the modules. The modules utilize a firmware
based, proprietary and non-modifiable operating system that does not provide a
programming environment.
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
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Cryptographic Key Management
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.
Key Zeroization
The following keys are zeroized by executing a factory reset followed by a
firmware update.
• ANSI X9.31 RNG AES Key
• Firmware Update Key
• Firmware Integrity Key
• Configuration Integrity Key
• Configuration Backup Key
All other keys and CSPs are zeroized when the operator executes a factory reset
or when enabling or disabling the FIPS-CC mode of operation.
See Table 10 on page 17 for a complete list of keys and CSPs.
Algorithms
Table 8: FIPS Approved or Allowed Algorithms
Algorithm NIST Certificate Number
RNG (ANSI X9.31 Appendix A) 770
Triple-DES 957, 961, 962
AES 1404, 1408, 1409
SHA-1 1274, 1278, 1279
HMAC SHA-1 825, 829, 830
RSA ANSI X9.31 (key generation, signature generation
and verification)
685, 686
RSA PKCS1 (digital signature creation and verification) 685, 686
Table 9: 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)
Diffie-Hellman (key agreement; key establishment methodology provides between 80 and
201 bits of encryption strength; non-compliant less than 80-bits of encryption strength)
RSA (key wrapping; key establishment methodology provides between 80 and 112 bits of
encryption strength)
SHA-256
HMAC SHA-256
Cryptographic Key Management
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
01-420-129845-201000804 17
Cryptographic Keys and Critical Security Parameters
The following table lists all of the cryptographic keys and critical security
parameters used by the module. The following definitions apply to the table:
Key or CSP The key or CSP description.
Storage Where and how the keys are stored
Usage How the keys are used
Table 10: Cryptographic Keys and Critical Parameters used in FIPS 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)
SDRAM
Plain-text
Seed used for initializing the RNG
RNG AES Key (ANSI X9.31
Appendix A.2.4)
Flash RAM
Plain-text
AES Seed key used with the RNG
Firmware Update Key Flash RAM
Plain-text
Verification of firmware integrity 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
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
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Alternating Bypass Feature
Alternating Bypass Feature
The primary cryptographic function of the module is as a firewall and VPN device.
Encrypt/decrypt operations are performed on outgoing/incoming traffic based on
firewall policies. 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 accordingly. Firewall
policies with an action of allow mean that the firewall is accepting/sending
plaintext data for the specified source/destination addresses.
The module implements an alternating bypass feature that is based on the firewall
policies. 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.
Two independent actions must be taken by an SA to create bypass firewall
policies: the SA 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.
SSH Session Authentication
Key
SDRAM
Plain-text
HMAC SHA-1 key used for SSH
session authentication
SSH Session Encryption Key SDRAM
Plain-text
AES or Triple-DES key used for SSH
session encryption
Operator Password Flash RAM
SHA-1 hash
Used to authenticate operator access to
the module
Configuration Integrity Key Flash RAM
Plain-text
SHA-1 hash used for configuration/VPN
bypass test
Configuration Encryption Key Flash RAM
Plain-text
AES key used to encrypt CSPs on the
flash RAM and in the backup
configuration file (except for operator
passwords in the backup configuration
file)
Configuration Backup Key Flash RAM
Plain-text
HMAC SHA-1 key used to hash
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 10: Cryptographic Keys and Critical Parameters used in FIPS Mode
Key or CSP Storage Usage
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC)
FortiGate-80C/110C/111C FIPS 140-2 Security Policy
01-420-129845-201000804 19
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.
Table 11: FCC Report Information
Module Lab Information FCC Report
Number
FG-80C Spectrum Research and Testing Laboratory,
Inc
No. 101-10, Ling 8
Shan-Tong Li Chung-Li City
Taoyuan, Taiwan
03-498-7684
03-498-6528
FCBA10030506
FG-110C Bay Area Compliance Laboratories Corp
6/F, WanLi industrial Building, 3rd Phase
ShiHua Road, FuTian Free Trade Zone
Shenzhen, Guandong, China
86-755-33320018
86-755-33320008
RBJA09040751
FG-111C Bay Area Compliance Laboratories Corp
6/F, WanLi industrial Building, 3rd Phase
ShiHua Road, FuTian Free Trade Zone
Shenzhen, Guandong, China
86-755-33320018
86-755-33320008
RBJA09040752
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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.
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).
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-CC mode of operation:
1 Log in to the FortiGate unit using the console connection and the default
administrator account.
Enabling FIPS-CC mode
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2 Enable the FIPS-CC mode of operation and when prompted enter an
administrator account name and password for each of the administrator roles
(Security Administrator, Crypto Administrator and Audit Administrator).
3 Verify FIPS-CC mode is enabled after the unit reboots by checking the results of
the get system status CLI command.
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/decrypt known answer test
• AES, CBC mode, encrypt/decrypt known answer test
• HMAC SHA-1 known answer test
• RSA signature generation/verification known answer test
• RNG known answer test
The results of the startup self-tests are displayed on the console during the startup
process. The startup self-tests can also be initiated on demand using the CLI
command execute fips kat all (to initiate all self-tests) or execute fips kat <test>
(to initiate a specific self-test).
The module executes the following conditional tests when the related service is
invoked:
• Continuous RNG test
• RSA pairwise consistency test
• Configuration/VPN bypass test using HMAC SHA-1
• Firmware load test using RSA signatures
Non-FIPS Approved Services
The module also provides the following non-FIPS approved services:
• Encrypted configuration backups using the backup configuration password
• 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.
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